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8. Right Livelihood and the Problem of Work

My daughter delivers the Sun newspaper and this morning’s issue contained a long article about people who are better off collecting welfare than going after jobs. The reporter, posing as an unemployed labourer, was able to find no less that seven full time jobs. But he claimed to understand why many would prefer to stay on welfare. If one includes the benefits that one gets on welfare, he pointed out, the difference between welfare and a low wage is insignificant.

This simple equation between remuneration and work seems to me to obscure some of the most profound problems surrounding the conception and reality of work in the modern age. The reporter seemed not to appreciate the importance of the stand made by one individual that he described. This individual has back and kidney problems which leave him with few jobs to chose from. So he collects welfare. At the same time, he goes to Yonge and King every day with his dog Hobo and his guitar and sings. He treats it like a job although he only makes $25 a day.

How does one account for the number of people who avoid the contemporary workplace? And how does one begin to understand Hobo’s owner who is willing to put in long hours as a busker in order to earn a mere $25 dollars per day.

I think we need to take a quick trip back into history or into some accounts of modern day anthropologists to look at societies which functioned differently and which did not have a ‘work problem’. Peter Timmerman has already told you a little about this, so perhaps I can cut a bit to the chase. Medieval society divided its social order into those who pray, those who protect and those who work. The clerisy — those who prayed — were the first order. The aristocracy — those who protected were the second order. And everybody else — those who worked — were the third order. Now, while those who worked may have been at the bottom of the social order, this turned out to be no great problem for them. They learned something about work that too many of us have forgotten. They learned that it was a natural part of life, and they got satisfaction from the things that they produced — be they crops or crafts.

Preindustrial societies don’t have a work problem. In fact, their members get a deep sense of identity from the work that they do. In one sense, it was easier for them than us — despite our much higher standard of living — because the work that they did — and in some places still do — is closer to the rhythms of nature and life. Many of us work in large and complex bureaucracies or engage in a specialized division of labour which robs us of feelings of identity with what we do and the satisfaction that derives from the results. Some of us are deeply alienated from our work, and view ourselves in terms of our leisure activities, our home lives and our spiritual exercises rather than what we do in the increasingly abstract and alien world of work. Alienation is a fact of modern working life and helps to explain why — if given a choice — Hobo’s master might prefer to collect welfare and to sing on street corners. Singing on street corners is in a very real sense a more human and natural activity that working on a conveyor belt or accepting work that is degrading.

All of my commentary so far is the stock in trade of social historians, sociologists and cultural anthropologists — to which tribe I belong. My most recent job configuration is to help those same university professors and future university professors to teach as well as they can. I’m still a relative beginner as a Zen Buddhist but I do want to get closer to making what I think are some important connections.

Like many of my colleagues, I became a professor precisely because I didn’t want to be an alienated worker. I liked the more natural rhythms of student and academic life — which are task oriented rather than clock dominated. I loved the master-disciple relationship and aspired to become a master myself. I liked the entire set of medieval preindustrial values of university life and viewed them as ideals for preserving human curiosity and creativity and as a protection against the inexorable mechanization of human life. And I hoped that — even if the universities could not help to mould a more humane existence — I would at least be free to follow my own values and promote them among my students.

If you have been following what has been happening to the universities and colleges over the last decade, you may recognize that institutions of higher learning have been going through some very difficult times. They can no longer easily set themselves apart as ‘ivory towers’. They are beginning to be run much more like corporations and their administration keeps growing while the percentage of teachers is in steady decline. They are being forced by governments and by the electorate to be much more cost effective and accountable in what they do. And, typically, accountability is being measured in terms of creating individuals who fit into the requirements of the job market. This pattern is reflected in the attitudes and choices which are students make. More and more of our students are shunning personal development in favour of job certification.

Far from being a refuge and a corrective to alienating labour, the universities and colleges are becoming their handmaidens. In this environment, even those who love to teach and encourage students to explore their potential are becoming increasingly dispirited and, in some cases, even bitter. And its my job to rejuvenate them, to make them think of teaching as fun again, and to help them understand their students.

Zen Buddhism is helping me here — to do this job properly and to maintain my ethical underpinnings. I would not have been attracted to traditional Buddhism because it appeared to me to be too medieval in its emphasis on those who pursued the spiritual path. I would have found its definition of ‘right livelihood’ too limiting since I never had any intention of entering a harmful occupation and since I had a cultural historian’s understanding of the ’spiritual value’ of work in everyday life.

My personal definition of ‘right livelihood’ in my admittedly neophyte Zen Buddhist terms might be as follows:

  • everyone needs to work, it is a fundamental component of human life
  • meditation is a critical life affirming activity — it is not something which is confined to the mat, it is an integral part of practising one’s livelihood
  • practising mindfulness in one’s work is personally rewarding and exhilarating
  • practising mindfulness towards others helps create non-alienating workplaces and, ultimately, a harmonious social universe

The other speakers have told you something about the way that Buddhism helps them. I hope you will bear with me while I give you one simple example of the way in which Zen effects what I do. Sunim and Samso may not suspect this, but they have taught me to be much more disciplined and attentive to my environment than I was formerly and to begin to understand what it means to change behaviour that is not effective. A big part of my job is making people more comfortable and accepting of change. Now when individuals come to me for advice — who are frustrated about the increasing size of their university classrooms, and the lack of appreciation for what they do on the part of both students and the general public — I try to give back some of what I have learned. I ask my colleagues to put aside their fear of the changes that are taking place around them and to take charge of those things that they can control. Then I give them some very easy exercises for getting in touch with their students, understanding where their are coming from and what their needs and expectations might be.

I’m always surprised by the power of mindfulness and honest communication. It can be a powerful weapon for good teaching. When I talk to my colleagues later, they invariably have a much stronger connection with their students. That’s when they can begin to excite their curiosity and advance their learning in a relationship based on trust.

By accepting the inevitability of change, teachers can promote values which seem to me to be timeless. And they can discover ways to restore the entire personality of the teacher and the student to learning process.

Then all the arts of teaching can come into play, arts which the great Zen masters seem to have understood in very profound ways. We can try to relate to those beginning their intellectual journey by grounding our examples in concrete ‘real life’ experiences. We can encourage more sophisticated students to explore the different realms of meaning that allow them to free themselves of customary patterns and to begin to make intellectual choices. Finally, we can put them on the path to developing — for themselves and in their own way — higher order values. We may encourage, cajole and even trick them into taking any steps that they might be reluctant to take. And we will know that we are successful when they become autonomous agents and no longer require our help.


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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7. The Social and Political Vision of Buddhism

Background

It’s fascinating that so many people think of Buddhism as a religion that is ‘other worldly’ — that is a religion that doesn’t much pay attention to events in the world. Its equally puzzling that it is so often described as a ‘selfish’ religion in the sense that the Buddhist meditator seeks the harmony and peace of his or her own mind, without reference to others. These are fairly common stereotypes, but they bear little resemblance to the spirit of Buddhism as a living religion.

Few westerners would ever thing of describing Christianity in this way, and yet there is probably as much, if not more, reason to stereotype Christianity as another worldly religion. In the first place, its focus in clearly on the world to come — the heavenly kingdom is quite distinct from the world that we live in and the focal point of Christian believers. An important theme in Christianity is personal salvation and an obsession with one’s own spiritual development, in an often hostile world where Satan and his forces provide a constant threat of temptation.

The connection between Christianity and social and political change, at least on the face of it, would appear to be just as complex and problematic as the Buddhist involvement in the world of every life and social organization. Any yet we have no problem recognizing the powerful role that Christianity plays in human interaction and politics. We might occasionally think that Christians are misguided — say in the case of those religious fundamentalists who might oppose things that we believe in — but we accept that their motivations are genuine and that their actions are influenced by their beliefs.

So, let’s begin by saying that, while Buddhists may sometimes disagree about the details, they are equally likely to want to view their religion as a guide to their social behavior and to their political action. And they are likely to be at least as committed to an ‘earthly’ social and political vision as their Christian brothers and sisters, because they:

  1. do not believe in God or heaven as an alternative to ‘human’ life
  2. are committed to living entirely ‘in the present’ or the ‘here and now’
  3. feel a connection to all living things
  4. have a cyclical, rather than millenarian view, of life

Meditational Practice

There’s usually a grain of truth in every stereotype. I’d like to take a moment to describe why it is that ZEN BUDDHISTS have a bad rap as unconcerned spectators in the things of human life. Zen is focussed particularly on meditation. The goal of that meditation to escape from suffering that characterizes all life by connecting with emptiness or the void and understanding that all forms — and especially the most problematic for us, the self — are ultimately illusory. The eventual ideal is to melt into nirvana and to completely leave the cycle of birth, death and determination. One major traditional school of Buddhism — Hinayana –pushes this theme so far as to suggest that the only sensible form of activity is to enter a monastery, to meditate, and to seek enlightenment through personal effort.

Hanayana Buddhism is not Zen Buddhism, however. Zen has a similar emphasis on meditational absorption, but it places this meditation within a much broader framework. Zen is an offshoot of Mahayana Buddhism. Mahayana doesn’t concentrate on individual liberation, but seeks enlightenment for the sake of all other beings. In other words, a Zen Buddhist doesn’t place its highest emphasis on monasticism but upon service to other beings. This emphasis clearly has ramifications for social practice.

Why does a Zen Buddhist meditate? A Zen Buddhist meditates to eliminate cravings and to attain enlightenment. But a Zen Buddhist falls short of seeking entry into final nirvana until such a time as all beings are liberated. A Zen Buddhist seeks decrease the emphasis on self and to help all others to attain enlightenment. The ideal for a Zen Buddhist is to become a bodhisattva — someone who helps others, someone who takes on their suffering and transfers his or her own merit to help them.

When a Buddhist meditates within this framework, his or her way of looking at the world is changed utterly. An increased understanding of the nature of suffering leads to greater compassion for others and a desire to help them in whatever way one can. And because meditation is something quite different from a monastic exercise, one practices meditation or the focus on the present moment in all aspects of ones daily life. The compassion one feels isn’t abstract, isn’t produced merely under ideal conditions of peace and quiet, but is exercised constantly. And the form that it takes is service to others.

In fact, compassion has to be exercised constantly if selfishness is to be overcome. It has to be exercised constantly if it is to develop the strength that the Dalai Lama talks about and that we all know is needed in practice. If compassion is not deeply rooted, it will be crushed by the ‘nay sayers’ out there, some of whom are just confused but others who are really hostile and toxic beings who will try to harm you rather than repay your kindness. Buddhists like Christians realize how important it is that compassion is rooted in religious principle and practiced as part of the religious life.

There are two impulses towards a social vision for Zen Buddhists. One is the natural impulse that comes from compassion. The other is the imperative to decrease ones attention to oneself by extending it towards others. Both the impulse and the imperative have implications for social and political practice.

Towards a Buddhist Social and Political Vision

Non-Violence

The social and political thrust of Buddhism is best summed up in the words of the Dalai Lama. He said: “We should realize that the purpose of taking birth in this world is to help others. If we cannot do that, at least we should not harm other living beings.” The fundamental axiom of Buddhist society and politics, therefore, is non violence. Human beings have a historical tendency to be violent towards one another in both speech and action. Good Buddhists try not to hurt one another in any way. Buddhists’ first priority in the social sphere is to avoid gossip and stereotype and to seek to diffuse anger. Buddhists’ first priority in political sphere is to seek vehicles for preventing conflict between nations.

I am sometimes surprised at the way in which non-Buddhists fail to realize the pervasiveness and power of the principle of non-violence. In the social realm, it has enormous significance that one individual simply stops gossiping or speaking ill of others. It helps to create a sense of community where non had existed before. Best of all, its a kind of behavior pattern that, while it may be difficult at times, is certainly within our attainment and it opens us up to others and prompts us to more positive patterns. The political ramifications are if anything more dramatic. Buddhism enjoins us to be activists for peace and to follow in the footsteps of those preachers on non-violent protest against injustice like Ghandi and Martin Luther King.

Charity

Compassion as impulse and imperative implies active charity. There is no better way to develop ones feelings towards others while decreasing them towards oneself than to practice and to encourage charity. This is a Christian as well as a Buddhist axiom but, whereas Christ asked his followers to ‘love thy neighbors as thy self’, Buddhists go even farther by saying ‘love your neighbors and forget about yourself’. For Buddhists, charity in the form of comforting and helping others is one of the most important ways of combating the cravings that keep us attached to the world of forms and exercising our compassion. Buddhists are convinced that charity that simply comes from impulse is too weak to help society or to form one’s spiritual character. Thus, the Dalai Lama enjoins us to “cultivate a deep-felt sense of responsibility to work for their benefit and shoulder the task of relieving sentient beings of suffering and providing them with happiness. Throughout your daily life and activities, wherever the occasion arises, you should immediately seize that opportunity to train in this mediation. Only then can you begin to hope for progress in the realization.”

Charity cannot merely be something personal. It is crucial to the attainment of enlightenment that we understand the interconnectedness of all beings. We cannot separate ourselves from the good or evil that others do. Therefore, we must try to create and support organizations and governments that have a deep sense of responsibility for other’s welfare. We need to constantly remind governments of their duty towards weaker members of society. And we need to need to cultivate their altruism. Buddhism calls upon us not to distinguish between ourselves and others. That clearly means that we must do all that we can to cultivate the charity of the representatives of the collective — political parties and governments.

There is one thing that must be said about the exercise of charity if it is to have a truly Buddhist character. It needs to be done for the right reasons. It should not be tied to abstractions like the eradication of poverty. Nor should it be connected to feelings of pity that denies the fundamental equality of the other person and our intimate connection with them. It should not be done with an attitude of discrimination, even though it is clear that we should pay particular attention to the sufferings of the very poor and helpless. To pit one group against another, or to favor one constituency more than others, goes against the very essence of Buddhism; it is socially divisive ; and it is politically unjust.

Social Justice

I come now to a more delicate and specifically political area of concern, that of social justice. When we enter the realm of social justice, we are in the domain of both law and the economy and these are human contrivances that are subject to many inconveniences and differing interpretations. More important, perhaps, than talking about specific social and political relations is talking about the Buddhist principles that should inform them.

Societies need to affirm the essential equality of all their members: When the Buddha developed his ideas in India, they flew in the face of case and hierarchy; his were ideas of progress and emancipation not a rigid status quo.

Societies need to protect and support their weakest members: Individuals cannot achieve enlightenment if they are constantly subject to poverty or oppression; the Buddha achieved enlightenment under the banyan tree only after he had rejected the path of the half starved aesthetic; we need to do our utmost to provide our fellow human beings with the minimum to achieve liberation

Societies need to limit greed and the effects of egoism: Buddhism is all about letting go of one’s cravings and desires; the ethical spirit of Buddhism ensures that the attachment to life is circumscribed by ideas of fairness, sharing of wealth, and protection of all living things; a Buddhist society disapproves of those who place the making of wealth above all other things

Societies must not allow the exploitation of one human being by another: A Buddhist society is one in which individuals with power or wealth are not permitted to exploit one another ; it also seeks out and condemns hidden more hidden forms of exploitation

Social and Political Practice

Buddhism is not deterministic. In social and political life, Buddhists typically seek to find a middle way — an avoidance of extremes or the choosing between opposite opinions. That is why, for example, many Buddhists can find things of value in materialistic political philosophies like Marxism, in literary theories like postmodernism, and among scientific theories like chaos. Even more surprising, they appear capable of dramatic revitalization even within highly consumerist and competitive capitalist societies like our own. In practice, of course, Buddhism has not always been so resilient. As the famous sociologist Max Weber noticed, traditional Indian Buddhism fell victim to Hinduism a religion that, at is time, was more supportive of economic change and growth. After being virtually eradicated in India, Buddhism continued to thrive in the fairly closed environments like Ceylon, Burma and Tibet. Even here, it demonstrated considerable weakness under the dominion of the British empire and the rise of Indian immigration. Buddhism needed to redefine itself in the very changed conditions of a world so very different from the one in which it was born.

Buddhism in North America is still in its infancy and it is difficult to know precisely the political and social directions that it will take. At the present time, it is so highly dependent upon the charisma of foreign masters from foreign cultures or highly dependent upon the teachings of foreign masters that it has had trouble establishing an identity of its own. The key to its development, I would argue is the development and extension of what Akizuki Ryomin calls ‘lay Buddhism’. The key to this development resides in the evolution North American sanghas. A recent book entitled Buddhism in America mentions the sangha only twice, and then in a way that shows the obstacles faced rather than the opportunity available. When asked about the development of the sangha in North America, a Issei minister was too eager to suggest that the message of Buddha remained unchanged; it only required some very minor cultural adaptations to make it more comfortable.

The social and political history of Buddhism in Ceylon, Burma, Tibet and Japan indicates otherwise. There Buddhism became a potent social and political force during the 1950s and 1960s, largely because of the ways that its ethical spirit was revitalized by national leaders and local sanghas. The founders of modern Burma, U Nu and U Ba Swe, for example, advocated a revolution on Buddhist principles. Pointing to the Buddhist principles of equality, the ravages of greed, and the non reality of possessions, they felt justified in demanding the nationalization of land. The Japanese Society for the Creation of Values, which began among a small group of lay people in 1940 numbered in the hundreds of thousands by 1960. It supported political candidates who were dedicated to improving social and political conditions in Japan. Another Lotus sect, the Reiyo-kai had 3,000,000 members in 1960. Their political philosophy revolved around social altruism and, particularly the construction of modern hospitals and homes for the aged.

The Japanese Lotus sects indicate the kind of dynamism that results from lay movements that begin small in the sanghas but begin to spread their ideals of community and social justice outwards. Despite their successes, these sects remained very faithful to Buddhist principles. The female founder of the Rissho-kosei-kai sect, for example, pointed out that:

“As long as a person is governed by his selfish ego, he cannot grow up. We are therefore not important people, and all our education counts for nothing in the eyes of Buddha. All of us are nothing.”

Only through humility and social service can individuals free themselves from their selfish ego.

My point in describing these Japanese developments — and you should know that my knowledge of these matters is very limited — is to show the extent of social and political involvement that Buddhism not merely condones but actually enjoins. The patterns in Burma, Ceylon and Japan are not necessarily the ones that will fit the culture in North America. But they show that a religion is vital and relevant.

Embarking on the North America Path

Buddhism in North America still hasn’t outgrown its leading strings. It will show that it has done so if and when it becomes a powerful cultural force. And it will perhaps demonstrate that it has become a powerful cultural force when it enters more forcefully into the social and political domain.

Until it does this, North American Buddhism remains in a problematic cultural position. It runs the risk of being a form of ‘psychic masturbation’ and a highly individualist one at that. At present contemporary North American Buddhism parallels psychology in highly capitalist societies — it is regarded as a method for exploring and repairing the self rather than dissolving it in a sense of oneness. It is my guess that most North American sanghas are still a group of disparate and constantly fluctuating individuals rather than a real community. And until the sangha itself becomes a community, how can it begin to dissolve the chains of ego and begin to create community throughout the world?


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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6. Intellectualizing Buddhism

The Thick-Headed Monk

There is a fairly common Zen story about the ‘thick-headed’ monk who, no matter what his master tried to do, seemed incapable of grasping the nature of his mind. He just didn’t get it. One day, his master got him to carry a sack of barley up to the top of the mountain without stopping. By the time he reached the top, he was so overcome with exhaustion that his everyday mind completely relaxed and he understood the nature of his true mind.

This simple story is interesting in a number of ways. In the first place, it shows us that you don’t have to be brilliant to achieve enlightenment — you have be able to let go of your ego, attachments, expectations and cravings. Second, it shows us that the point of Buddhism is not the understanding of dogma or doctrine but to break through to a completely different level of awareness. Third, it illuminates the critical importance of the Zen master who has achieved a certain measure of enlightenment and who knows how to guide and occasionally push a person into this new comprehension.

What is easy to overlook in the story is the archetypic nature of the ‘thick-headed’ monk. There’s a tendency for us to think of him as stupid. If only he were a little more intelligent, we suspect, he’d probably get the message. The Zen master had to resort to extreme measures to drum some sense into his head. But when we think this way, we are missing the point. The monk could be ‘thick-headed’ and be an intellectual. The ‘thick-headed’ monk could be someone who was capable of elucidating all the intricate metaphysics of Buddhism and still ‘not get it’. The ‘thick-headed monk’ could especially be someone like me who has been asked to talk to you about the dangers of intellectualizing Buddhism. ‘Thick-headed’ people can often have interesting, impressive, and practical things to say. What they often lack is the authentic insight and the practiced discipline that give there words authority.

So let’s admit up front that I’m not enlightened, have only arrived at short glimmers of understanding that have certainly not transformed my usual perceptions let along my life. I speak with absolutely no sense of authority. What I hope that I can provide in what follows is a certain ‘authenticity’ and perhaps some ‘insights’ into the problems the westerners who confront Buddhism may have.

Intellectualization and Buddhism

Intellectualization is something that seems to happen in all sophisticated cultures and the culture that gave rise to Buddhism is no exception. You all may have heard of dueling dharmas where clever Hindus or Buddhists vied with one another in order to attract disciples. There’s one story about a monk who had an inflated idea of his own learning. He confronted a Dzogchen yogi who had no intellectual training but had acquired a large following because of his teaching. He scorned the yogi for meditating too much rather than teaching the dharma. The yogi replied in the form of a question “What is there to meditate on?” The monk thought he now had him in his intellectual grasp and said “See, you don’t even meditate.” To this the yogi answered “But when am I ever distracted?”

I think that the religious point of the story is that, while intellectualization can serve as a tool to help us to arrive at a state of concentration and ‘no thought’, it can be a real hindrance if it detracts us from the purpose of our search. The yogi had achieved a state of profound wisdom and clarity, the scholarly monk was still driven by ego. The yogi had a deep intuitive awareness of spiritual practice while the scholarly monk was obsessed with competing and humiliating others. To put it in a somewhat deeper language, the yogi knew that ultimately all dharmas are empty while the scholarly monk was piling dharma upon dharma as a measure of his own brilliance.

When we say something like all dharmas are empty, many of you immediately recognize that we are speaking the language of the very famous Prajnaparamita Texts and particularly the relatively short Heart Sutra that is so often chanted in this temple. Those of you who have sturdy constitutions might want to try reading some of the longer Prajnaparamita Texts if only to see just how intellectually sophisticated Buddhism can be. Those who have philosophical training, in particular, will soon realize that Buddhist metaphysics rivals anything that Western philosophy has to offer. It is an intellectual system of considerable subtlety and almost impossible to refute on is own grounds. The description of perfect wisdom as something that goes beyond any system that can be incorporated in symbols shows a sophistication that is lacking in most religious tracts and even seems to anticipate our modern philosophical ideas that symbols, signs and texts can never tell us what philosophy really is. And Buddhism is the most self-critical and self-negating system that I have ever encountered. The Buddha explains, for example, that the ‘cutting off’ of any outflows or conceptual categories that prevent us connecting with the absolute is simple a convenient phrase. No teaching, Buddhist or otherwise, can really describe an experience that completely beyond categorization. Hence the saying, if you are enlightened and you see the Buddha in the street kill him. With true enlightenment, all conventional categorizations cease.

It’s tempting to look for philosophical parallels then you read the Prajnaparamita Texts. I found many, including links to Plato, to Nietzsche, to Postmodernism, to Einstein’s Theory of Relativity and even to chaos theory. Being a publishing academic, I felt the immediate temptation to work up some of these things as articles in scholarly journals. I’ve notice that the magazine Tricycle likes to do this sort of thing occasionally too. But I think that it’s dangerous to intellectualize Buddhism in these ways. It focuses on the wrong aspects of Buddhism and leaves us open to all of the egoism displayed by the scholarly monk. Even when generated within a traditional Buddhist culture, intellectualization needs to follow, rather than precessed, realization. It is always counterproductive when the intellectual wagon precedes the spiritual horse.

What I’d like to do now is to talk for a few minutes about the relationship between spirit and intellect in Buddhist teaching and to make it more clear why I view intellectualization as a dangerous process if not carefully contained. Then I’d like to say why I think it is that intellectualization is a particular problem for those of us living in the West and something that we really need to come to grips with if Buddhism is to make strides within our culture.

The Spirit and the Intellect

The nature of human intellect, no matter how refined, is spiritually problematic. In fact, the human mind is crowded with all kinds of thoughts that interfere with the attainment of spiritual wisdom. Whereas intellectual training might conceivably get rid of some of the rubbishy thoughts that we carry around, it ain’t necessarily so. Many so-called intellect’s minds are crowded with philosophical notions, ideas and assertions. And even when people of real intelligence work hard to come up with a few ideas or an idea that is more cogent, they fall into another kind of trap. They become so attached to those ideas and so egotistical about their ownership that they often interfere with their own spiritual growth. To put it in Buddhist terms, they are no closer to understanding their own nature.

The more sophisticated an intellect is in conventional terms, the more it can be an enemy to spiritual development. The well-honed intellect is taught to distrust, to be suspicious and to hold back. Religion, on the other hand, always calls for a leap of faith, a movement based upon trust and a putting aside of doubt.

In Zen Buddhism, the problem of intellect is confounded for several reasons. First, Zen Buddhism calls for a training of the mind that allows it to see itself as it really is. Our intellects often try to sabotage this process and, the more sophisticated the intellect, the more capable it will be of sabotaging a process — a process, remember, that seriously threatens to eradicate its hegemony. This is why we see so many smart people being attracted to Buddhism but having greater difficulty making progress within it.

Second, the concept of concentrating in a state of no-thought , complete emptiness or the “self-nature of immaculate thought” is much more threatening for those who have learned to control their environment and their fellows through the use of intellect. ‘Letting-go’ of our intellectual controls is like being completely naked and defenseless.

Third, those who like to intellectualize typically view rational thought as the very height of human abilities. They find it the most difficult to let go of reason, will and memory. Even when they meditate and begin to get in touch with emptiness, they have a naturally tendency to begin reflecting upon and deconstructing the process.

Fourth, those who like to intellectualize are usually the same people who have lost a great deal of their ability to understand things intuitively and common sensically. We all know stories about absent minded professors who are completely out of touch with the obvious or who feel that they have to analyze everything. And yet Zen Buddhism is largely about knowing the intrinsic nature of ourselves and reality directly.

Zen in the West

All of this leads me to the particular historical experiences and associated problems that we Westerners have when we are introduced to Zen Buddhism. Buddhism has a considerable attraction for westerners but especially for western intellectuals. Many of us are beginning to realize that we live in a society that has done serious damage to our psyches and our sense of inter connectedness to nature and the universe. We therefore have begun to look to our own past — for example, in the Celtic Revival and the New Age Movement — in order to get back part of what we have lost. Many of us also feel that modern life is far too rational, bureaucratic and disenchanting. So we have begun to explore the spiritual worlds of other cultures — particularly Eastern cultures — in order to see whether there are alternative ways of looking at ourselves and the cosmos.

For the longest time Buddhism’s appeal in the West was largely confined to intellectuals. In the early decades of the nineteenth-century it appealed to those who felt that all their values had been rendered meaningless by philosophy, war and the inability of western civilization to provide people with meaning. In Buddhism they discovered a philosophy that was not merely exotic but very deep, and one that allowed sensitive people to make sense of change, destruction and death. They found Buddhism compelling because to a certain degree at least it looked to the individual to explore himself and his own mind as a path out of alienation and despair. This jived with the ever increasing emphasis on ‘self’ that had become a part of the western tradition and the exploration of the unconscious that had been begun by Freud.

For nearly a century, the crucible of Western Buddhism has been the Universities. I certainly remember being introduced to some Buddhist concepts in Herman Hesse’s Steppenwolf, a book written by a German intellectual looking for his soul in a soulless world. We were impressed, to say the least, and Buddhism had and still has a cachet at the universities.

But if Buddhism is to grow and prosper in the West, it really needs to understand the limitations of the environment that encouraged its development and of the kind of people who continue to be attracted to it. Western scholars have tended to intellectualize Buddhism in such a way as to rob it of a great deal of its spiritual value. Let’s look at each of the types in turn:

Zen Scholars

These either play the role of the ‘scholarly monk’ who is proud of his specialized knowledge of Buddhism and its metaphysics, that they are not inclined to share with the great unwashed. Or they go to the other extreme and attempt to usurp the role of the Zen Master, by composing books that explain what Buddhism is all about complete with directions for attaining the nirvana that they themselves have never reached.

The problem with this point of view is either that it confines an appreciation for Zen Buddhism to an elite and makes it more difficult to disseminate to the wider community, or it runs the risk of reducing Buddhism to a set of rules or self-help strategies.

Zen Freelancers

These find Zen Buddhism attractive to the degree that it allows them to focus on themselves, but they remain highly egotistic and individualistic. They are primarily interested in Zen as a form of “psychic masturbation”, as a compensation for the inadequacies and unhappiness that they find in modern life. But they are rarely interested in being a part of a scholarly community. Their ethos is still highly rationalistic and their way of approaching issues overwhelmingly logical and critical.

The problem with this point of view is that it is far to selfish and egotistical to ever contribute to the creation of a living Zen Buddhist community, and it is interesting to note how reluctant these Zen ‘intellectuals’ are to take part in communal activities unless they are permitted to adopt a position of status or leadership.

The New Christian Mystics

The Christian Mystics are those religious academics and thinkers who want to revitalize the exceedingly rationalistic and increasingly individualistic religion of the west by introducing a mystical element. Rather than returning to the more primitive mysticism of early and medieval Christianity, they have discovered in Zen Buddhism a path to a more intuitive form of spiritual realization and a more direct appreciation of God, emptiness, silence or any of the words that they like to use.

The problem with this point of view is that, while it acknowledges the spirituality of Zen Buddhism, it uses it a very calculating fashion. Zen becomes an add-on for a conventional and highly bureaucratic Christianity of the kind that destroyed the passion and authenticity of mysticism.

Everyday Life and Everyday People

Reason, memory and the human will serve valuable purposes in everyday life, and I am certainly not saying that we should jettison them. What Zen Buddhism can do is to prevent us from being unnecessarily distracted by these capacities and instincts. It transforms everyday life by allowing us to perform necessary actions without any craving or attachment. But all of this requires considerable discipline. Intellectuals in the West have gravitated towards Buddhism because it fulfils certain needs, but, past a certain stage, they are bound to find Zen difficult because it requires that they let go of some of their most cherished beliefs in logic, professional status and the pursuit of the icon that is the self.

But it would be misleading if it was to concentrate my criticism only on academics and intellectuals — the people who some might call ‘eggheads’. These individuals are interesting because they were first attracted to Zen and have helped it spread to a certain degree in the west. Nowadays, however, there are a lot of other kinds of westerners who are attracted to Zen and we are beginning to witness the creation of a small cohort of western Zen practitioners.

Many westerners may not always be professional ‘thinkers’ but they demonstrate many of the same tendencies as the ‘eggheads’. They have a tendency to value logic and to place an inordinate emphasis upon Zen as a rational system rather than an religion. Many people use Zen as a substitute for Psychology Today or as a device for exploring their personality and feelings and creating a separate identity. They have lots of thoughts banging around in their heads and are constantly analyzing and reconstructing them, with Zen only being part of the mix rather than a spiritual way of life. This kind of intellectualizing may not be as pompous as that practiced by ‘eggheads’ but it seems to me to be just as much an obstacle to enlightenment.

In fact, given the historical emphasis on superficial cleverness and fashionable scepticism in the west, our intelligence may be more of an obstacle to lasting spiritual growth than craving or attachment. Sogyal Rinpoche puts it very well when he says that:

Our society promotes cleverness instead of wisdom, and celebrates the most superficial, harsh, and least useful aspects of our intelligence. We have become so falsely ‘sophisticated’ and neurotic that we take doubt itself for truth, and the doubt that is noting more than ego’s desperate attempt to defend itself from wisdom is deified as the goal and fruit of true knowledge.”

True knowledge, however, lies elsewhere. If westerners are to attain it they need to work extra hard to counter the effects of historical development and to ‘train’ their minds to grow a different way. They need to tame their minds, make them more receptive and eventually master them. That’s not done by reading or intellectualizing in the way that I’ve described it above; it’s done by meditation.

I hope that I’ve explained why meditation, at least past a certain stage, is so difficult for westerners. It requires that we block tendencies that are not merely powerful but that have taken on some of the connotation of the ‘sacred’ for us — for example, logic, doubt and the search for the self. But it also hope that I’ve at least hinted at the kind of liberation that we can expect if we persevere.

Its a well-known fact that individuals are attracted to Buddhism when they are in pain. For almost a century, western culture has been breeding a great deal of pain. Zen can help to relieve that pain if it is not allowed to become the grist for scholarly cleverness, a fashionable cultural ‘add on, or a form of ‘psychic masturbation. It is as a living breathing religion rather than as an intellectual construction that Zen will have its greatest success.


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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5. The Burning Monk

Introduction

In a recent talk that was delivered to the Temple in Chicago, I pointed out that one of the real ironies of history was that so many people consider Buddhism an other worldly religion — one that doesn’t may sufficient attention to the real world. This is not only a stereotype, but it’s a stereotype that is absolutely nonsensical when one considers the evolution of Buddhism since the 1940s, where it has become synonymous with the peace movement, environmentalism, working with Indian untouchables, caring for the aging, and stimulating the kind of anti-colonialism and nationalist fervour that has profound implications for the west. What North American, for example, would deny the profound social and psychological effect of the Indo-Chinese war. And in this war, Buddhism played a pivotal role, symbolized most powerfully perhaps by the image of the burning monk — an image so powerful that it now graces the record cover of a popular alternative group called Rage Against the Machine. Alternative groups, as you may or may not know, like to place the most shocking and dramatic images on their product.

The burning monk had a name — Thich Quang Duc. In 1963, he sat down in a street in Saigon in the meditative position. He poured gasoline all over his body and set himself alight. He maintained a calm and meditative posture as his body burned, and then he simply toppled over. His death was dramatic but not all that different in nature and spirit from the deaths of many other Buddhist leaders and saints. One remarkable difference, however, was that his death was shown on many different televisions all around the world.

Whether you agree with his actions or not, Thich Quang Duc’s immolation tells us at least three things that I want to talk about tonight. The first thing it tells us is a deeply Buddhist, but sometimes forgotten, truth — that human beings are capable of incredible actions when they practice mindfulness. It was only by understanding the power of meditative awareness that Thich Quang Duc was able to have the courage to act with such purpose. The second thing that it tells us is that Buddhism can be an engaged religion. Thich Quang Duc made a statement about the oppression of the Vietnamese people that will outlast the ideological propaganda of the Americans or the Communists. The final thing that tells us is that Buddhism ultimately is not about nationalism or particularism, it is all about interbeing and interconnectedness. Thich Quang Duc’s death lamp was lit on television sets all around the world. Thus, a simple Buddhist monk turned the primary instrument of mindlessness and consumerism into a vehicle for interconnectivity.

Understanding the Stereotype

As thinking human beings, we are supposed to clear our minds of stereotypes. But for historians, stereotypes can be useful indicators. How was it that Buddhism’s image came to be seen as that of the removed meditator, seeking the harmony and peace of his or her own mind, without sufficient concern for the social and political welfare of others? The answer to this question can tell us a lot about the relationship between the Buddhist East and the Christian West.

As Western culture developed, within it grew a strong rationalist ethic. This ethic was important to emerging Protestantism because it organized the behaviour of its adherents and allowed them to use their own minds to break with Catholicism. In many ways Catholicism resembles conventional Buddhist religion because of the emphasis that it places on religious faith, tradition, hierarchy, and the passing down of the teachings. The Protestant’s faith was of a completely different order. Its purpose was to demonstrate salvation, not to organize behaviour. The behaviour of the good Protestant was ruled by orderliness, reason, logic and an individualistic attention to one’s behaviour and the actions of others.

Protestantism may have ushered in a new kind of rationalism and individualism, but rationalism and individualism only really flourished when Protestantism was left behind and a more secular culture emerged. That secular culture in the West ushered in capitalism, the scientific revolution and the industrial revolution. It changed the face of the West and eventually the face of the East. In the face of the increasing superiority of the West, the East tried unsuccessfully to isolate itself. Traditional Buddhist communities were confronted with a new challenge from a Western culture that was still ostensibly Christian. Their reaction was to retreat in one two directions, either to monastic meditation — the ascetics of the woods and mountains — or into an emphasis on preserving formal rituals and ceremonies.

While the reaction was perhaps natural, it was misguided. For better or worse the new intellectual and social culture of the West was here to stay and its political and commercial aspirations were global. It would inevitably transform all culture. To retreat meant that one had no power to change or amend it. It also meant that Buddhist practitioners got stereotyped as being other worldly, superstitious, overly ritualized, and irrelevant.

Setting the Stage

I’ve argued in a number of places that, in order to be successful, religion must be integrated and relevant to its external society. That sometimes means that religion will lose some of its purity and will make mistakes. But, to a historian, the real sign that a religion is thriving is that it is viewed as part of the entire social fabric and is not simply an escape or an add on.

During the late nineteenth-century, Western culture began to go through a crisis. Sensitive people began to question the ability of reason and progress to make a better world. It is not surprising that it was at precisely this time that the spiritual alternative of the East began to be explored and Orientalism came into vogue. But during much of the period that we’ve traversed in the course, Buddhist teachings were ways of bandaiding the pain that all human beings experience but that the Western consciousness confronted most starkly. The wealth and consumerism of the West was no consolation for its loss of meaning and, in fact, merely increased the cravings that are at the root of human suffering. Buddhism seemed to offer a path out of suffering for many, and a superior reality for others.

It was still far from being a living and breathing religion in the West. It attracted adherents, of that there is no doubt, but one has only to read the literature to discover how unsettled the followers of Buddhism were, how they were so easily split apart by factions and arguments, how individualized Buddhism was by many of those westerners who practiced it, and how others sought psychotherapists, gurus or substitute fathers who would obviate the need for any independent thinking whatsoever.

But while there was nothing that we could label authentic Western Buddhism during most this period, historians can see a framework being established that would be needed for a more robust form of Buddhism. The translation of Buddhists texts by scholars was clearly a key. The training of Europeans and North Americans in particular forms of Buddhism, and their attempts to pass on what they had learned, was another. Perhaps the most important aspect of all of this energy and cogitation was the gradual introduction of some admittedly basic Buddhist concepts into popular culture. Nirvana was the name of two popular pop groups, one in the sixties and another in the nineties. Mindfulness we see even in television shows like Kung Fu, superficial perhaps, but certainly not the worst television show in the world. Interconnectivity — something that had been obscured by individualism and capitalism — has found a profound resonance in environmental circles and it is not surprising that environmentalists are among those most attracted to Buddhism as a religion.

All of this set the stage for a more authentic Buddhism in the West. But it is naive to think that, just because you set the stage, it is inevitable that there will be a performance. It is still not clear that Buddhism will take its place as a genuine alternative to spiritual growth and social evolution in the West. But there is reason to believe that the chances are far greater than they once were. Not because the West is seeing the light, but because the East has once again become engaged in ways that make Buddhism relevant and vital.

Mindfulness

For most Westerners who practice Buddhism today, mindful awareness is a critical concept. It is something that was clearly a major part of the Buddha’s teachings in the Pali Canon and was instrumental to his own reaching of awareness. So important is mindful awareness to us, that we prefer to refer to mindfulness as opposed to meditation. Mindfulness means being absolutely in touch with one’s being and environment without any distractions from thoughts, whether they be of the past, the present and the future. Mindfulness means that time itself is removed as a barrier and a moment of mindfulness is worth more than a thousand years of well meaning activity.

What mindfulness tells us is that there is no coherence or continuity, only change. There is no individual or self, only oneness. Emotions themselves are delusive transitional states. We can never escape our feelings or even the sufferings that they cause. But what we can successfully do is to stop them from running our lives.

Mindfulness is sometimes talked about in a vacuum, which has nothing to do with the stillness or the void that we tap into. The vacuum is one that posits mindful awareness as a separate state of being. Mindfulness, rather, is something that puts us in touch, that makes us available, that allows us to act. It is the most powerful social ethic imaginable, since it minimizes the cravings that distract us and the fears that incapacitate us. It is an immense source of energy.

The Buddha’s discourse on the Foundations of Mindfulness was an important part of the Asian canon. But it got pushed into the background and into a few monasteries as Asians retreated from Western acculturation. It was only when the people who most deeply understood Buddhism themselves began to meet the challenge of the West that mindfulness was restored to its proper place and Buddhism revitalized. Buddhism moved out of the monasteries and onto the offensive.

In Burma in 1941, a Buddhist monk by the name of Mingun Sayadaw began to teach practical courses on mindfulness to ordinary people. Since then, 45,000 students trained in Mingun’s Rangoon Centre including many Europeans and Americans. These, in turn, have taught at least another 600,000. The impact of this and other Burmese monks has been immeasurable. Working in what is called the vipassana tradition, these monks eschew dogmatic orthodoxy in order to focus on practical experience. That adaptation alone made Buddhism much more approachable for Westerners who, if they can understand some of the dogma, have real problems with ritual and tradition. And because this Burmese tradition steered clear of any of the ideological isms that characterize politics and religion, their message was one that could be adapted to a diverse society like North America.

Although the Burmese message was non-sectarian, that did not stop followers from adapting it to their own convictions, specializations and ideological positions. Those who were trained in the vipassana tradition have gone on to establish Buddhist communities that are committed to political causes, environmentalism and feminism. Some psychoanalysts who have been attracted to Buddhism have gone so far towards practicality as to redefined the religion in psychological terms. To someone with deep religious convictions, this may appear to be a travesty of spirituality, but it is also a sign that a religion is relevant. And wherever a religion is relevant, there will be those who will explore its deepest reaches.

Interconnectivity

The focus on mindfulness allowed Buddhism to create a teaching instrument that transcended cultures. It also unearthed a concept that might make it easier for a highly individualistic society to reconnect with one another. Again, this was a spiritual direction that came from those most intimate with Buddhism and its teachings. While it certainly was not a North American innovation, it has potentially profound consequences for Europeans and Americans. It is the concept of empathy.

Going back to the teachings of Gautama Buddha, the vipassana teachers emphasized that fact that meditation did not detach us from our fellow human beings and make us feel superior. Quite the contrary, it effected a systematic cultivation of loving-kindness towards others. The vipassana teachers returned to the Mahayana Buddhist teachings on the Bodhisattva. This is a teaching that has been there from the early days of Buddhism, but Buddhism is a complex religion and one that can lead in many different directions. By asserting loving-kindness, the vipassana teachers were directing Buddhism in a potentially fruitful direction.

I talked about the Bodhisattva Ideal in my third talk, so I wont go into it in any detail here (although I’ll be happy to give you a copy of that talk if you missed it, or you want to go over it). What I will do instead is make some suggestions as to why this direction was so important for Europeans and North Americans.

As capitalism developed in the West, many thinkers and writers struggled to create a new moral and social code that would be consistent with individualism. They hit upon sentimentalism, a cultural force that is extremely powerful emotionally but more difficult to translate into practice. Essentially, sentimentalism says that individuals are naturally connected to one another by sympathy or the desire to feel others joy and pain. By cultivating our sympathy towards others, we can become better neighbours, friends, parents and lovers. Sentimental literature encourages us to have a little cry at the suffering of others, on the grounds that this will strengthen the social bond. A classic example is Dicken’s A Christmas Carol which remains a perennial favourite around Christmas time, the sentimental season.

But neither Christianity not sentimentalism have shown themselves to be very powerful at stopping the kind of greed, self-centredness and desire to win that now consume Western society. Many perceptive Westerners are aware that there is a real dissonance between our actions and our ideals that are not being bridged by culture. Enter Buddhist empathy or loving kindness. Loving kindness goes way beyond sympathy, which is a form of pity, right to the absolute and immediate identification with others that we sometimes call empathy. During meditation, we become aware that the self is simply a fiction and that we are totally interconnected with all other beings. In their deepest sense, all other human beings are Buddha’s.

This understanding, especially when suggested as part of our practice, makes meditation less of a self absorption than a connection with everything around us. It is an exhilarating connection, and one that makes us want to do everything we can to help those around us. It is an ethic that encourages us to make ourselves more available for other. And it is not a stretch or contrived because it comes out of a deeply rooted spiritual experience.

While intrinsically Buddhist in nature, loving kindness bears a sufficient resemblance to Christ’s Sermon on the Mount when he told us that the greatest commandment was to “love thy neighbour as thyself” or sentimentalism’s exhortations towards general humanity and specific acts of kindness. But, in a word where personal cravings often upset good intentions, Buddhism provides the discipline and the insight to make our good intentions stick.

Engagement

Westerners find it difficult not to seek to control all aspects of their environment. As Buddhism develops in the West, one of its greatest challenges will be to transform the clutching hand into open palms — accepting what comes, whether it be good or bad.

In the meantime, however, it would be difficult to conceive of a religion making inroads into Western society if it did not at the very least offer a real possibility of creating a better world, if not in our own lifetimes, at least in the foreseeable future. All relevant religions do this, no matter how much their focus may be on a heavenly kingdom or the millennium.

Buddhism is no exception. It has had its share of millenarian and reformist phases. But if we want to single out the episodes that have demonstrated Buddhism’s commitment to social reform in the twentieth century, we need again to look — not to North America or Europe — but to Asia. We need to look specifically at Vietnam and Tibet. The story of Vietnam should be familiar to many of us. When I was young, I saw the Vietnamese war being fought on television. At that time, I was all for the Americans and for freedom as opposed to what I saw as Communist aggression.

Like so many others, I learned that the issues were not so simple and that the Vietnamese had suffered greatly and deserved to create their own society, free from warring ideologies. Into this debate stepped perhaps the most influential of modern Buddhist teachers Thich Nhat Hanh. Nhat Hanh brought together many strands of Buddhism simultaneously. He promoted Buddhism as the national religion of Vietnam and as a cultural vehicle for unification. He showed that dogmas and isms need not be victorious by creating a Unified Buddhist Church for Vietnam, the first time “such a feat of reconciliation has ever been achieved.” And he demanded that Buddhism modernized its outlook and connected with the social issues of the day.

What did Buddhist engagement mean to Thich Nhat Hanh. It meant rebuilding villages ravaged by the Vietnamese war; it meant helping Vietnamese boat people, even if it meant breaking the law; it meant criticizing unjust regimes, even when this was life threatening. It even meant the burning monk.

Many might consider suicide a quintessentially unreligious act. Thich Nhat Hanh praised those monks who immolated themselves in order to make the complacent and the selfish consider the injustices that were perpetrated on the Vietnamese people. The motive of the monks was to move the hearts of others and to make the most sincere statement possible. For Thich Nhat Hanh, every burning monk or nun was a lotus in a sea of fire. You can’t get any more engaged than that.

A remarkably similar message has been preached by the Dalai Lama, who seeks not only to make the sufferings of his Tibetan people known to the world but also to develop an ethic of interbeing or universal responsibility. For the Dalai Lama, it is not enough to criticize the Chinese communists for the damage that they have done to his country. He always seeks to uncover the underlying motivation that makes people cause damage to their planet. Self-centred attachments and hatreds result in deluded thoughts and actions that hurt others. These delusive attitudes can only be removed or remedied by spiritual practice and discipline. But that is still not enough.

The Dalai Lama tells his followers that, even as they begin practising meditation, they should be at least as concerned about the liberation of others than themselves. What distinguishes human beings from animals and makes them special is that they can wish to work for the benefit of others. He makes a direct connection between the Bodhisattva tradition and Gandhi’s work among the untouchables or Lincoln’s freeing of the slaves. He even goes so far as to suggest that any falling away from this compassion for others is the sign of a spiritual decline that cannot be compensated for by any spiritual realization. Bodhichitta, or the “compassionate wish to achieve Buddhahood for the sake of others,” is the “essence of practice.”

The Dalai Lama’s attack on purely intellectual Buddhism, and his ideal of the Bodhisattva, results in a plea for engagement in the things of this world and helps to explain his popularity in the West. Unlike many religious writers and thinkers, the Dalai Lama appears to be like one of us. His compassion and his humanity shine through all of his teachings and many parts of the message that he preaches have resonance for us.

While many Westerners have difficulty understanding or believing the doctrine of karma or rebirth; while few Westerners find the esoteric nature of Tibetan teachings or even the position of the Dalai Lama convincing; all can understand the teachings of interbeing and engagement. Twentieth century Western culture has enough touchstones to be receptive to the kind of practical teachings of Thich Nhat Hanh and the Dalai Lama.

Even where Western culture prides itself most — on its rationalism — it is now susceptible to Buddhist influence. Not only are Thich Nhat Hanh and the Dalai Lama able to write and speak in ways that are open and inviting to Westerners, but even where they criticize the Western tradition of individualism and intellectualism, they speak a language that is nearly a century old among Westerners themselves. Revitalized Buddhism finds many bridges to Western culture.

Epilogue

Nor should this be surprising. As I end this series of talks, it should be clear that Buddhism and the West are not two separate entities attempting to dominate or control one another. Instead, the two cultural developments have been influencing one another for over two thousand years. The influence of the West on the East has been at least as powerful of that of the East upon the West, although the latter has been our focus in this series of talks. The West not only gave the Buddha his face but helped to create a vibrant and engaged form of Buddhism that is changing Asia and now threatens to transform the West.

The amount of Buddhist activity in the West has accelerated exponentially in the last two decades and, at present, shows no signs of abating. We may appear to be on the cusp of an enormous religious revival in North America where Buddhism will play a major role.

But we should perhaps pause and measure of our excitement. Earlier Buddhist missionaries spoke of the lotus clinging to the rock in North America. Its hold is still more tenuous than its influence might appear. Even in the East, Buddhism was on the road to becoming moribund until it re-energized itself in ways that were relevant to the hopes and aspirations of the society in which Buddhism found itself.

Similarly in the West, we will only know that Buddhism has become a socially integrated religion when its name is invoked as something more than an oddity. Only when Buddhism outgrows its priestly leadings strings and becomes a more indigenous cultural force will we be able to say more positively that it is here to stay. Only when it more actively challenges the status quo of a consumerist, individualist and divisive society, will Buddhism rise above its present ambiguous cultural position. Only when Buddhism becomes more than yet another form of psychic masturbation or a substitute for psychiatry, will it begin to remake our culture. And only when it contributes to alternate frameworks for social interaction and political progress — some of which we may not like — will we know that it has become vital.


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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4. The Baby and the Bath Water

Introduction

One of the most monumental developments in the history of Buddhism was the way it began to catch on in North America. Its an incredible story, partly because Eastern and North American cultures are so very different, and for the longest time, it looked as though Buddhism was only a fad. How it gained intellectual and cultural respectability, therefore, is a very telling social event. Its an incredible story because, unlike other religions in North America, its spread of Buddhism that I’m going to talk about has little to do with the religion of immigrant communities coming to this country. North Americans had to have a good reason to reach out and try to connect with this foreign religion. And that tells us a heck of a lot about North American culture as it has developed since the fin de siecle. But perhaps the strangest aspect of the growth of Buddhism in North America is the role played by those on the fringe of society in its developments: the beatniks, the hippies and even a group that called themselves the Theosophical Society, who were much more interested in magic and the paranormal than what we would call mainstream Buddhism. Just the fact that the Buddhist baby survived in the midst of all the freaky BATH WATER is fascinating.

The Pioneers

Of course, it would be an exaggeration to say that everything out the development of Buddhism in North America was weird or even peculiar. Part of it was simply the product of curiosity and intellectual interest. Modern American society was born in the eighteenth-century and was a society that stressed the freedom of the individual and the freedom of thought that we see in the American constitution and the individualism of Americans today. That robust individualism causes North Americans to have some difficulty with Buddhist discipline and its emphasis on the absence of a isolated self. But in the eighteenth century, it meant that some scholars would be interested enough in the religion and behavior of other societies that they would break with tradition and begin to explore the wealth of thought outside their own land. It meant that they began to compare their own society with societies outside. And it meant that they began to develop the tools that they needed to understand other societies and their writing. One of those tools was Sanskrit.

Some of you who have seen the Indiana Jones movies like Raiders of the Lost Ark may have a romantic notion of those who know and study eastern languages and society. Well, Indiana Jones had a real counterpart in the eighteenth-century. His name was William Jones, but he was also known as Oriental Jones or Persian Jones because of his extensive knowledge of the East and the fact that he put it on the academic map. He wasn’t American, he worked and taught at Oxford rather than Princeton, but he was friends with many American scholars and figures like Benjamin Franklin, and what he told them was that countries like Persia had legends and literature every bit as deep and important as the Greek Iliad or Odyssey. He provided translations from Persian and Indian literature and founded the Asiatic Society where papers were read on oriental topics. He learned about Sanskrit writings while acting as a diplomat in India and he encouraged others to translate them. He was unimpressed with some of the translations he read, so he learned Sanskrit himself and found that Sanskrit was a “goldmine”. He started the journal Asiatic Researches which contained the first translations from Sanskrit and by so doing he opened that “goldmine” and began to make it available to others, especially the Americans.

Now literate Americans became more familiar with Indian philosophy. They still didn’t know very much about Buddhism but now they began to have books on Eastern philosophy in their libraries. It was a start. The famous writer Ralph Waldo Emerson turned the wheel when the journal of himself and his friends, the Dial that was founded in 1840 began to explore the scriptures. As you might expect, at first the scholars had a hard time distinguishing Buddhism from Hinduism. Ralph Waldo Emerson seemed to get them mixed up. But eventually, he began to learn that Buddhism nullified the concept of the self and looked to have all uniqueness absorbed in something infinite called Nirvana (to be distinguished of course from the popular group). Ralph was typically American in that he didn’t like the idea of losing himself in nirvana and he was also a bit perturbed when he discovered that Buddhism was a religion without a God.

On the Dial, Ralph got himself a young assistant whose name was Henry Thoreau. Thoreau was a neighbor who did odd jobs. He would go on to become the author of Walden — one of the most influential books in all of North American Literature and recently a new age classic again. But long before he wrote that, he made his own translation of a fragment of a very important Buddhist writing — the Lotus Sutra and he was amazed at the combination of contemplation and practice. While be kept Emerson’s woodlot full in 1841, he found that Buddhism encouraged him to get in touch with something deeper by going inside himself in order to get outside of himself. He settled into a cabin on one of Emerson’s woodlot just outside of Walden Pond and he began to explore non-theistic contemplation. He was determined to get to the very bottom of existence and, without much formal knowledge of Buddhism, or an understanding of Sanskrit, he began to do something that goes to the very heart of Buddhism. He began to try to live in the present moment without being distracted by ideas of past and future, or of a need for possessions, or of unruly emotions. He created for himself an environment perfect for meditation and he waited for realization to come, much as the Buddha had done before him. And he discovered many of the same things that the Buddha did. In a very real sense he became a Zen master.

How much of a Zen master? Well, if you read a modern American Buddhist classic Wherever You Go, There You Are, you will find that it is filled with Thoreau. Let me read you just one quote (35). Thoreau gave all future American Buddhists, be they hippies, beats or freaks a truly American way of talking about Buddhism and an emphasis that got completely away from religious rules and rituals in order to concentrate on the very kernel of Buddhism — the stress on being in complete touch with the present moment with absolute clarity and the depths that this insight could provide. Anyone who read Walden, and most North American university students do, has a non-threatening introduction to some of the most fundamental Buddhist principles.

The next big event in the history of American Buddhism was a scholarly one. It was the publication of The Light of Asia on the teachings of Lord Buddha by Edwin Arnold. Arnold sent a copy to Bronson Alcott in philosophy at Concord Summer school. The American academic love affair with Buddhism began as the academics praised the book and began to get excited about it. Academics are influential teachers and they instruct the country’s elite. Alcott became a teacher and a proselytize for Buddhism. Published in 1878, The Light of Asia soon sold close to a million copies and was loved by writers like Oliver Wendell Holmes — the author of Sherlock Holmes. Buddhism became a household word and an academic fad.

The Bath Water Begins to Get A Little Murky

The American Buddhist baby was born. Babies, like the rest of us, are simple and in their own way perfect little Buddhas. Its when life and karma begins to intrude that things get a bit murky. The baby soon finds itself in some very serious BATH WATER. With popularity, all sorts of things can intrude into the bath water and make it difficult to see the essentials. That’s one of the problems faced by a spiritual insight when it intersects with a real society and a larger group of individuals. Religion is particularly susceptible to corruption since it hovers around the brink of the irrational and the mystical. Once formulated, religious belief has all the shortcomings of thought generally and there is no absurd idea ever conceived that has not been able to find a spiritual rationale.

In the 1870s, Americans had gone through a Civil War. They were no longer so sure that their society was perfect or that they could create a rational paradise on earth. Some of them began to explore the irrational — the spiritualist movement. Ghosts, spirits, messages from the spirit world became another flavor of the day. And even very serious people got caught up in the mod. One of these was a man by the name of Colonel Henry Steel Olcott. He heard about strange phenomenon at the Eddy Farm in Vermont. Olcott thought he’d go down and expose the fraud, instead he met a strange powerful big boned woman in garishly bright clothing who called herself Madame Helena Petrova Blavatsky. They became chums. She was a real character, had fought with Garibaldi in Italy and still had bullets that you could feel in her shoulder. And she was a spiritualist but with a difference she claimed to be able to talk to spirits and that she learned her wisdom from ancient Buddhist elders who were know to those in Tibet where she had traveled. She believed in spirits but thought that most of them were distractions, except for the elders who spoke to her directly as a medium. These were the only true spirit guides.

Olcott was fascinated. Together they formed the Theosophical Society. None of this would be particularly interesting, except for the robust character of Madame Blavatsky, except for the fact that the Theosophical Society were the biggest defenders of Buddhism in North America and made Buddhism exotic and occult in a very new age sense. Eventually, both Blavatsky and Olcott were seeing white garmented orientals with raven hair coming to them and telling them that they had a role to play in creating a society and promulgating ancient wisdom. They composed occult works that brought together western magic but put it in a fuzzy eastern framework. Even more important they began to lionize the Hindu swamis and Buddhist monks who were, supposedly, in touch with the eastern wisdom. And some of the people that they brought to lecture were not weirdos, they were serious religious men and women.

Eastern religion was still a second class citizen in the world of spiritual life. Buddhism was a formal religion for many and a serious religion for monks in many parts of Asia. But it lacked real energy, vitality and contemporaneousness. These are characteristics of a religion in decline. All that began to change as the Theosophical Society funded trips to India and Ceylon. The trips were of crucial importance in harnessing the energies of Indian Hinduism and Sinhalese Buddhism to a nationalist cause. For once, westerners were coming and praising indigenous religion and spirituality rather than trying to convert them to Christianity. Americans were legitimizing Eastern religion and making a connection, however strange and tenuous it was. The Sinhalese realized that they could not turn the Theosophists into true Buddhists but they were happy to have them as allies. 7 branches of the Buddhist Theosophical Society were established in Ceylon. An environment had been created for a more serious look at Buddhism. Olcott even helped the Sinhalese to produce a simple Buddhist catechism or Buddha Dharma . He was invited by Japanese Buddhists to come and to help revive Buddhism in that country. He gave 75 lectures telling the Japanese that they were on the tide of a real turn towards Buddhism that would eventually transform the West. In the words of the Japanese, “Olcott san has come.” Buddhism was beginning to feel its own strength and power.

The Theosophists were plagued with scandals as it appeared that Madame Blavatsky’s communication with spirits was fraudulent and the Society began to cave in upon itself. But they had put Ceylon and Buddhism on the cultural map. In 1881 a scholar by the name of Thomas Rhys-Davids collected Buddhist sutras and founded the Pali Text Society. The hunt for Buddhist texts had begun and the process of serious translation was underway. There were even a few westerners who were beginning to seek out Zen masters. At the World Parliament of Religion held in 1893 held in America, the Buddhists were part of the agenda. For the first time, Buddhism was put on something like a level footing with Christianity. and maybe Zen masters were beginning to think in ways that would bring them to the West in the confidence that they had something to offer rather than some vague ancient wisdom and magical knowledge and, more important, that Americans might be ready to listen.

By 1897, the first Buddhist master to come to the Americans was T. Suzuki. He stayed with Dr. Paul Carus who composed a highly popular book called The Buddhist Gospel which seemed to show the parallels between Jesus and Buddha. Suzuki got 3 dollars a week and was engaged in translating Buddhist texts. Carus was interested in developing Buddhist writings that would appeal to North Americans. The process of Westernizing Buddhism had begun.

The Beats

The period between the beginning of the nineteenth century and the end of World War II has been referred to in American Buddhism as the “lotus clinging to the rock.” Buddhism grew very slowly and remained largely academic. But this was the period where many Buddhist texts were developed and serious Americans became exposed to the sophistication of Buddhist religion and to Buddhist masters who began to visit, at first intermittently but eventually establishing their own zendos or temples. It takes a special kind of person to be the first at anything and to put up with the trials of establishing a community. Often these individuals are eccentric. Such a one was Noygen Senzaki, a student Soyen Shaku, a Japanese Zen master who could speak with authority on meditation and who himself spent 9 months teaching in America. Another Japanese missionary was Sokatsu Shaku. Both came to San Francisco. It is interesting to see how they related to Americans. Shaku had a student who told him that she had been studying art for 6 years. He asked her to carve him a Buddha. When she gave him the carving, he threw it out the window. He wanted her to carve a Buddha inside herself, but like all Zen masters, he tended not to explain himself but to try to get the student to have an immediate insight. Sometimes this worked with North Americans, probably much more often it didn’t. Shaku demanded obedience. He bought a ten acre farm on warn out land and expected his students to make a go of it. Naturally, they couldn’t compete with experienced farmers and became the laughing stock of the community. Stormy meetings meant that groups broke up. It was difficult to get North Americans to behave like Buddhist monks. Shaku was also typically Japanese in his authoritarianism and his demands on his student. His prize student rebelled when he tried to get her to be an expert at flower arranging and tea ceremony before he would ordain him. He ended up never speaking to him again.

That student, Sokei-an, started his own community in Greenwich village. In four years the zazen only grew from 8 to 15 students and they sat in chairs rather than cross legged. Meanwhile Senzaki created a ‘floating zendo’ that moved around Los Angeles. His students too sat in chairs; the community constantly changed; Senzaki was so irresponsible about money that he gave it away or spent it just as soon as it came in. Hardly the way to establish a permanent zendo. And behavior between these two was hardly conducive to spreading the Buddhist message. Sokei-an once told Senzaki “Senzaki-san, I think you are an egotistical ass.” Another time, Senzaki threatened to slap Sokei-an’s face. And yet deep Buddhism sometimes prevailed. Senzaki once told a supporter that when Sokei-an talked about human nature or ego, he always listened. Over the years these two pioneers had lots of listeners but very few converts. With World War II all things Japanese were taboo. Sokei-an and Senzaki found themselves in different internment camps. In 1945, finally freed Senazaki returned to Los Angeles where he composed a poem complaining about not being able to establish a zendo in “this strange land.”

Following the war, the Zen writer and teacher with the most authority in America was Suzuki. By 1953, he had become a figure and his age and bearing fit the mold of the gentle scholar. His informal style appealed to Americans. But most of all — unlike other Zen teachers who had tried their hand in America — he was willing to try to explain Buddhism “even if it might seem like pointing a finger at the moon.” And that’s what smart North Americans needed in order to get to first base with Buddhism — more of an explanation. But even someone as capable as Suzuki wouldn’t have been able to make much of an impact were it not for one of the great ironies of cultural history. The conjunction of Buddhism with a North American preoccupation. North Americans are obsessed with finding themselves. It could be said that this is what makes them interesting and curious and allows them to explore Buddhism. But the impulse is one that causes them to feel always dislocated, always needing to prove themselves, to rebel, to become individuals. The preoccupation leaves many people dissatisfied — hence the need for healing. The form that North American healing usually takes is psychoanalysis — helping you to find yourself and to accept the things you cannot change.

Now, while Buddhism seeks to negate the notion of the self and, ultimately, the need for psychoanalysis, both are concerned with healing. And Buddhism, like psychoanalysis encourages individuals to turn within themselves to find the answer. An understanding of the suffering in life is common to Buddhism and Freudian analysis. But, in the final analysis, Buddhism has to be critical of psychoanalysis because it believes that there is “no beyond, no underneath, no upon in our consciousness.” The mind cannot be shrunk nor dissected; it has no secret recesses; it is one indivisible whole connected to everything. But those who were interested in psychoanalysis were also interested in Buddhism, and particularly the practical method for awareness known as Zen Buddhism. In 1957, a Conference was held on Zen Buddhism and Psychoanalysis that featured Dr. Suzuki as a speaker. A long-term relationship had begun. Those who were attracted to psychology were attracted to Buddhism. And those who were most rebellious in their search for individuality were the ones who were most attracted to Zen. Among these were the beatniks.

Jack Kerouac was obsessed with the first noble truth of Buddhism — that all human life was suffering. And he tried to describe that suffering and human nature in starkly realistic terms. Gary Snyder, a friend of Kerouac’s, bummed around from job to job and finally explored Buddhism — like Thoreau — when he became a fire lookout in Washington. Allan Ginsberg alternated drinking, drug taking and experiment with Zen. In the case of Kerouac and Ginsberg, we have spokesmen for a new generation, incredibly modern writers, who — at least at some level — embraced Zen. These were university trained people, but their influence was not confined or even complementary of university life. They were bold adventurers and the created a new form of literary Buddhism in Ginsberg’s poetry and in works like Kerouac’s Dharma Bums. They were still typically American. Ginsberg didn’t like nirvana. He resented thinking of himself as nothing. Kerouac thought that Zen teachers were far too tricky and intellectual, even though he agreed that suffering was what life was all about. Only their friend Snyder really embraced the religion and then in a typically individualistic way. He didn’t like the way his legs hurt when he tried to meditate properly. Alan Watt wrote extensively about Zen but he wouldn’t meditate in even the quarter lotus position and criticized those who did. All of these people adopted a very easy and free floating, and entirely undisciplined, approach to Zen, as did many of their artist friends.

But they brought Zen squarely into the center of an American cultural event and extended its influence from scholarship and the fringe. Beat Zen was subjective, self-conscious and strident. It was used where it fit the mood. It wasn’t a real practice even in the sense that it had been for Thoreau. Zen was like Jazz. It was serendipitous and you simply took what you wanted. As Allan Watts put it — “it’s a free country”. They sometimes referred to themselves as Zen Buddhists.

Flower Power

The sixties generation gave Zen something quite different and thereby extended its influence. Their search for freedom built on the foundation of the beats but took a very different and more optimistic approach. They rejected the society in which they lived and they looked for happiness. They had little time for the grappling with suffering that plagued Kerouac. Instead, they wanted to drop out and seek their own answers. And the ultimate method towards happiness and new answers was the trip.

It is often claimed that the sixties was an irresponsible generation. But the reality is that the generation of the sixties was able to pursue their optimistic dreams with an energy that seems difficult to imagine today. They did not only drop out, but they created communes, developed different ways of making a living, pursued more natural lifestyles, effectively opposed a major and unjust war, and left an indelible imprint in their search for social justice and a better society. They may have been naive in some ways but their optimism allowed them to act and to seek.

There were different kinds of trips that need to be understood. Marijuana and LSD were not merely ways to deaden pain, they were ways of achieving new insights that would help with life. The culture of marijuana taking was so different from today that such a process now seems impossible or at best unlikely. But drugs were not the only trip. Individuals read deeply — for North Americans — in oriental religions. And the children of the sixties were willing to learn new disciplines and postures. For the first time, they were willing to try out meditation the way that it should be done. They gave up the rigid, defensive attitudes of their elders and were willing to try out new diets, new exercises and to trip out in meditation.

Imagine, if you will, how useful this was for Zen masters. In order to trip out, students were willing to sit peacefully and still. They had far less trouble just sitting and allowing the present moment to appear to them. Marijuana and LSD had already shown many of them the fulfilment in simply experiencing normal things, but these drugs had limitations — they were not enough and caused people to look deeper. But more important, these people were open minded. They had what Zen masters call beginners mind — they were willing to let Buddhism just happen to them.

And Suzuki, the Buddhist papa was in the right place at the right time. He didn’t want to give people new dogmas and rituals; he wanted them to have a practice that was useful. Useful immediately, but something that could provide even more for those who wanted to go deeper. And Suzuki spoke a language that Americans could understand. He spoke about a different kind of freedom — the freedom of the mind that comes from doing a practice without question — and he spoke the language of individualism with a new twist — not the discovery of our self but the discovery of our true nature.

Americans will still be Americans. The new generation had more patience than the past, but they were still in a hurry to live their freedom. Enter Yasutani-roshi, a 77 year old Zen monk with huge ears who crisscrossed America between 1962 and 1969. He felt that it was essential to experience enlightenment in some form quickly, so he introduced pressure cooker meditation sessions that attacked individuals’ sense of reality and pushed people through the barrier. He capitalized on the energy of a new generation and their desire to strike quickly. Many traditional Zen teachers are indifferent to kensho or think that it will arise gradually. But Yasutani made it a self-contained trip that could influence one’s life indelibly.

Towards a North American Buddhism

The emphasis on the first awakening or kensho fit in perfectly with the flower power generations notion of a tripping out and it supported the rush that people were in to achieve a new level of happiness. By this time, some intrepid North Americans like Phillip Kapleau had gone to Japan for serious training in Zen and had returned. North Americans by temperament and culture were now writing and teaching North Americans. Kapleau took the risk, even more than Suzuki, of explaining Buddism to North Americans, understanding that they needed to feel that they understood before they would commit. But here also was someone who would not compromise with North Americans where it counted. He disapproved of eclectic Buddhism and of sitting in chairs instead of using the correct posture.

Kapleau’s books made a huge difference in that they established the beginnings of a model for North American Buddhism and made it something far less exotic and mysterious. He took the chance of explaining it and tearing away the veil of secrecy. In so doing, it could be argued that he did some damage to the traditional master disciple relationship where the emphasis is on the master working with the evolving consciousness of the disciple. But North Americans have been exposed to many religions and cultures; they are a rationalistic culture; they will not simply have faith or be

obedience unless they are informed. This poses problems down the road for American mediators since it gives too much prominence to thinking. But it is an essential foundation for the involvement of North Americans.

Kapleau’s books got me into the Temple here because they answered many of my misgivings. Like most North Americans, my approach to Buddhism was highly rationalistic and I wanted enlightenment in two weeks or less. But I think that I am fairly typical of most North Americans in the way that I came to Buddhism and I think that Kapleau was right in his basic approach. It caused him some serious problems and an ultimate break with his own teacher in 1967.

The author of How the Swans Came to the Lake describes the period after 1960 very optimistically. Zen groups, he claims, have appeared like “mushrooms after a spring rain.” But, as I have argued elsewhere, I think that Buddhism still has a precarious foothold in North America. It is still highly reliant on the charisma of priests who either come from or have been trained in other countries. Its often a stage of intellectual growth rather than a way of life. Its still a junior partner even where it is paired with psychology and psychiatry. It hasn’t developed a robust culture of its own.

Zen Buddhism, the form of Buddhism that fits best with the North American culture, can no longer be termed a fad or an intellectual cum literary cultural form. But it has yet to establish firm roots. Whereas once the lotus clung to the rock; it has now embedded itself in the mud. Whether it will grow and spread depends very much on the cultural connections that it can make with North American society.

None of this, of course, impacts upon the truth of Buddhism as a spiritual way of connecting with all that is and truly reforming one’s life. The issue is one of cultural and historical importance. But whether or not Buddhism will become a real presence in North America in our lifetimes is still very much an open question.


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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3. Of Philosophers and Kings: Buddhism in the World of Nations

Introduction

If the History of Buddhism tells us anything, it is that religion should not be reified either as dogma or as the product of a particular time and place. It is constantly adopting, conforming and making alliances with its environment. One of the reasons that Buddhism is a truly great and robust religion is because it has recognized this fact. The Dharma, as the Dalai Lama says is something that you ‘can never quite put your finger on’. Practising the Dharma means becoming one with it and not viewing it as a teaching or a consolation separate from life. But since it can never be organized in a rational way, living the Dharma means following a middle way between such extremes as ‘rationalism’ and ‘irrationalism’, ‘reason’ and ‘romanticism’, ‘intuition’ and ‘technique’.

In this talk I want to take us through a worldwind tour of the West’s encounter with Buddhism from the sixteenth century Renaissance to the early twentieth century. It’s a messy tour, and if we expect either the West or the Buddhist East to play sensible roles or if we expect a gradual progression of authentic Buddhist wisdom in the West, we are in for a disappointed ride. It’s a herky jerky kind of back and forthing with a lot of factors involved.

Historians, to which tribe I belong, try to organize these events and exchanges in a sensible way. But in so doing, they often obscure what is a very murky business. So I want you to know in advance that I am going to organize about 400 years under a very simplistic theme — the rise of nationalism — because that will allow me to give some structure to my ramblings and to set up what I think is the most important difference between the twentieth century and the world of the past — the triumph of globalism.

Renaissance Humanism

But History is full of ironies. The most profound intellectual movement in the sixteenth century west was Humanism and its origins were anything but nationalistic. The Humanists were reacting to the increasingly fossilized doctrines of the Roman Catholic Church. They found religious teaching to be more obscure and less relevant to living real life in the real world. Moreover, they believed that Christianity in its present form was too intolerant towards the riches and experiences of this life. Thus, they began to refocus philosophy and literature back on human life as it was really lived and posited the then remarkable theory that one could only grow spiritually by learning, enjoying and moving beyond the things of this world. In order to learn about the things of this world — rather than how many angels one could get on the head of a pin — the Humanists rediscovered and devoured the writings of the Greeks and Romans. They began the process of translating and learning from classical western texts in order to provide an alternative vision of life. And they were particularly excited by the teachings of Plato who showed, for example, that earthly love and beauty were stepping stones to higher concepts.

This movement was, for its time, extremely internationalist. It encouraged people to look for wisdom outside of themselves and it stimulated a great curiosity about the world outside of central Europe. It began to focus scholarship on comparative literature and it revitalized a kind of historical curiosity about other societies that had lain dormant since the Greeks. It laid the groundwork for the modern university and the undogmatic search for knowledge and truth. But most of all it allowed for the freeing up of art and culture, the kind that you can see in Michelangelo’s paintings for the Sistine Chapel or his sculptures that detailed the beauty of the human body and, occasionally, the human spirit.

But as the Humanists were redefining beauty and affirming the ‘here and now’ of human existence, a totally different movement was emerging — nationalism. The humanists, as writers and artists, were quickly swallowed up by monarchs who were attempting to unify feudal kingdoms and to give the royal household and the courts greater clout and prestige. Thus, for example, Thomas More was employed and beheaded by Henry VIII in England. Machiavelli worked for the Italian princes and tried to get a job with the Borgias, the folks who kept poisoning their enemies in order to gain control of the state. All the while, the Pope, who felt the threat of rising monarchs, began to try to enter into the fray and to build up the power Papal States, by religious threat and, if necessary, physical force.

The popes had one real, but potentially difficult, ally in their own quest for temporal domination — a new international religious order that you have all heard about, the Society of Jesus or the Jesuits. Now there’s lots that can be said, both good and bad, about the Jesuits, but there’s only two things that I really want to focus on here. The Jesuits were influenced by humanism and tended to be internationalists; the internationalism of the Jesuits meant that they were much more inclined to try to learn about and to understand other cultures than most other westerners and it is from the Jesuits that we first begin to get more accurate information about other societies in the world. The second is that the Jesuits were often hated by rulers and even some popes because they went against national ambitions at precisely the same time that nations were growing more powerful. Thus, they were from time to time outlawed or banished from states, and even by the popes that they served. For the growing power of nations meant that countries like Spain or France could get their national candidates elected as popes.

The Jesuits, therefore, were the most influential anachronisms of the sixteenth and seventeenth centuries. What is more, they followed the explorers to new societies in India, Ceylon, China and, eventually, Japan and Tibet. What they wanted to do was to make converts to Christianity. Francis Xavier, for example, set out in 1549 to convert Japan. He was the first to learn something about Japanese Buddhism and even provides us with a clumsy account of the way in which Japanese Buddhists of the Rinzai school were using koans. Of course we shouldn’t expect too much in the way of a deeper understanding of Buddhism from this Christian missionary, who basically regarded the Japanese as idolaters. But he and his friends were humanists enough to be able to appreciate the politeness and etiquette of their hosts, and Xavier even became friends with the Abbot of a Soto Zen monastery. The Jesuits were eventually able to convert a powerful Zen master Kesshu and to build up their mission in Japan. 50 years later, they had 200,000 Christians in Japan.

The Jesuits excelled as educators of missionaries. Matteo Ricci was a prize candidate and he was sent to convert the Chinese in 1578. China at that time had both Confucians and Buddhists with the state favouring the Confucians. Ricci went so far as to study Confucianism and to tress like a Confucian patriarch. He got along fairly well with them, even though he was thought of as unusual. The Christian emphasis on hierarchy and religious rule helped him understand Confucians but he had a harder time with Buddhists and refused even to learn the basics of the religion. What bothered the missionaries most about the deeper forms of Buddhism was the denial of a personal savour and soul and the desire to melt into Nirvana rather than to enter into a heavenly kingdom. Buddhism seemed particularly alien to the Western mind. Dialogue was limited.

The First European Zen Buddhist

The only reason that there was any dialogue at all was because the East was more tolerant than the West and did not have such a need to define heresy or to stamp out religious dissent. But the West and the East began to converge by the end of the sixteenth century and Eastern rulers too began to establish authoritarian political regimes and to increase state control over religious activity. The Japanese Buddhist church became subject to state controls and Buddhist monks became state administrators. Japanese nationalism and religious chauvinism was clearly on the rise when the Jesuit Christovao Ferreira made the mistake of trying to go to convert the Japanese.

Christianity had previously flourished in Japan but now came under scrutiny. As in many European countries, the Jesuits were considered particularly dangerous and outlawed. For a long time Ferreira ran the Japanese Church for the Jesuits from underground and lived a shadowy existence. Christians were now persecuted for their beliefs and Jesuit missionaries were high on the government’s hit list. At first, the Japanese authorities just killed those Christians it found most offensive, but they soon discovered that this created martyrs which increased the rate of conversion and strengthened those in opposition. So they began to devise ways to make the leadership turn.

And their favourite way was to hang people upside down in a big vat of excrement. The anestethized the brain by splitting the skull to keep people from passing out too easily and they made sure that people were not totally suffocated by the fumes. It could take many hours, and in some cases, days to die. But most Jesuits were tough customers and they simply died. They did not raise their one untied hand to indicate apostasy. That is all except for Ferreira. He lasted six hours before he apostatized. It was a big victory for state Buddhism in Japan and a severe blow to the mission, especially since Ferreira now began to write anti-Christian tracts for the government.

It is difficult to know if Ferreira ever became a true Zen Buddhist. His writings seem to indicate a blending of Confucian and Taoist beliefs. But his conversion is historically relevant only as an example of the way that religion was increasingly tied to the ambitions of secular rulers and how it was used to serve nationalistic ends. The Japanese were certainly no different from the Europeans in this respect. They were consolidating the state by using and controlling religion.

Similar events unfolded in other Buddhist countries. Buddhism was established as a theocracy in Tibet for the pure reason of consolidating the rule of a Mongol leader and later it was supported by Chinese Ming emperors for much the same reason. Spiritual men cut deals with secular leaders in order to promote their brand of Buddhism. The results could help the spread of the dharma In Tibet, for example, Jamchen Choje was able to create the largest 3 monasteries in the world, with over 20,000 monks. By the 1640s, Buddhist regimes had been established in Tibet, China and Japan. But the spirit of Buddhism, its essential core of teachings, was successively overlaid with formality, state concerns and a fossilizing of dogma.

The Mongols, perhaps because of the disconnected nature of their empire, were more internationalist and accepting of religious difference than most. Their intermittent power over Tibet allowed for some toleration, and the Jesuits were permitted to come in to preach in 1716. Once again they prepared to debate the merits of Christianity under the terms set by the Khan. But the Khan was a remnant of the past. The Manchu dynasty was the future. The Tibetans would only manage to shake of that yoke in 1912, but it would take only 40 years for the Chinese to return in the form of a powerful Asian government committed to communism.

Back in the late sixteenth century, internationalism was pretty much dead and the old humanist ideal of an international community could barely be glimpsed. In 1721, Rome ordered the Jesuits out of Tibet and sent the Capuchins in their place. In 1773 the Society of Jesus was suppressed throughout Europe and inconsequential in Japan.

The Legacy of Enlightenment

In order for cosmopolitanism and internationalism to arise again, there needed to exist a whole new set of conditions. And even then, you can imaging that the results would need to be complex and even messy, with all sorts of different developments and theories cris crossing in a way that makes the transmission of a complex and alien religious system difficult. But something did happen around the middle of the eighteenth-century that had an important impact on the exchange of ideas. It was a movement called the Enlightenment.

In Zen Buddhist teaching, enlightenment is the moment that you intuitively understand the interconnectedness of all things, and the complete transparency of both mind and what we conventionally term the material world. The eighteenth-century European enlightenment was very different. It was about applying human reason systematically in order to understand nature and human nature. It was about discovering the laws of science and human psychology so as to change and improve the way we live. It had a deep commitment to historical evolution and progress, something that we still cling to very tightly in our western minds.

To a Buddhist, much of this would not be considered enlightenment and it differs dramatically from the intuitive mind that achieves kensho or enlightenment. But you should understand how liberating this form of Enlightenment seemed to people living in European nations. It meant prosperity, scientific advancement, and the power that seems to come from controlling one’s environment. To be fair to the Enlightenment theorists like Voltaire, Adam Smith, Condorcet and Beccaria, the Enlightenment was all about appreciating nature, achieving a moral society, and providing a higher standard of living for all members of a society. The emphasis on a universal human nature made these people tolerant; their desire to advance human civilization made them polite and sympathetic and their desire to understand nature led to extremely valuable scientific discoveries.

In their search to discover human nature, the Enlightened philosophers began to see the moral basis for all religions. They wanted to study these religions more closely in order to understand where spiritual values came from rather than simply to believe in dogma. They believed that human nature was fundamentally good and moral, so they looked for what was good and moral in other societies. This sense of toleration and curiosity was mitigated somewhat by their belief in progress — so it was natural for them to consider the economies and the philosophies of the East as inferior to those of the West. The West was higher in the evolutionary scale, something that seemed to be confirmed half a century later in that true product of the Enlightenment — Charles Darwin.

Enlightenment curiosity about other cultures was aided and abetted, therefore, by an entire process of colonization — bringing the benefits of western rationalism and civilization to the East. And while it cannot be said that the Enlightenment was much less chauvinistic in its attitude towards the East than the Renaissance, there was something very valuable in its desire to find out about others and to look at the data scientifically. As early as the mid seventeenth-century, the Jesuits and others had been buy composing Sanskrit grammars and working hard to solve the riddle of complex primitive languages. But now there was a much more concerted movement to speed up this kind of scholarship and to do it in a systematic way, characterized by a specialized division of labour. The Science of Philology was born and with it the Royal Asiatic Society.

And the kind of understanding of foreign cultures that the West now thought was far more conducive to increased understanding, for it wanted to penetrate past the dogma and the history of foreign cultures to a deeper meaning — it wanted to appreciate the spirit of the East. Of course, this was often a way of criticizing the inadequacies of a foreign culture, but you can’t let scholars loose on material without having some unexpected outcomes. They tend to fall in love with what they study and to see its advantages. Buddhism could never have made serious inroads into the West had it not been for some very peculiar and often quite dislikable scholarly men. The spread of the Dharma works in some very mysterious ways.

Philology, or the study of languages and symbols, had some very interesting beginnings in its contact with Buddha. In the first place, it gave the Buddha a name. But it tended to make him an Egyptian god, or a Teutonic god, or one of the lesser Hindu deities. Buddhist texts were in scarce supply, so everything discovered was subject to conjecture. But the Philologists were real enlightenment scholars in so far as they were looking for the source of all religions, and in the process what they found was sources — sources that had often been overlooked or overly glossed by present day Buddhists. The rediscovery and availability of those sources put Buddhism on the map. A man named Csoma de Koros spent years in Buddhist monestaries developing a grammar. For his efforts, he was officially canonized as a Bodhisattva in a Tokyo university in 1933. A man named Hodgson put Sanskrit Buddhist texts and Tibet on the Map. But the guy who really made Sanskrit studies the thing was a French academic by the name of Eugene Burnoff. He realized while translating Sanskrit and Pali texts that the historical and orderly Western mind would never understand Buddhism without a historical introduction, so in 1844 he composed one and its became the essential foundation on which all Buddhist studies since have been based. He may not even have been a Buddhist himself, but he was the link to taking on Buddhism on its own terms.

A Romantic Engagement

The Age of Enlightenment was cosmopolitan, commercial and international. But that does not mean that nationalism was dead. It was at precisely this period that so called enlightened countries proceeded to turn countries into colonies in order, not to save their souls, but to make them part of complex economic arrangements in which the mother country controlled and exploited the colony. At a time when Western society viewed itself as superior, there was little change of Eastern religions getting a fair shake, except among a small group of academic types.

But a new movement emerged directly on the heels of the Enlightenment and won many followers in the first half of the nineteenth century. This movement was opposed to the excessive rationalism of the enlightenment; they found the scientific view of the world limiting and they wanted to assert other and very different values. They were the romantics.

The romantics felt that beauty, emotion, feeling and the lust for life were all stifled by reason. They too tended to be nationalists, but they feared that all nations were becoming blurred by the blending of capitalism and bureaucracy. They wanted to reassert the unique, the passionate, the beautiful and the enchanting. In England, they condemned the machine age as soulless and affirmed tradition. In America and France, they demanded a return to nature. And in Germany, they affirmed the distinctive spirit of their nation.

The Germans were perhaps the most upset of all the Western nations with the philosophy of enlightened progress. The reason for this is simple. They industrialized late; it was painful; and they deeply felt the loss of the old society that was passing away. They succumbed as a nation to romantic yearnings for a largely mythical and powerful past. And it showed in their music (Wagner), their mysticism (Novalis), and in their idealistic philosophy (Hegel). The tensions are particularly acute in the poet-philosopher Frederich Nietzsche, and he’s an important figure in the development of existentialism and, eventually, postmodernism. Nietzsche’s philosophy is fascinating in that it looks forward rather than backwards to a new society that is governed by individuals who have risen above tradition and developed an entirely new concept of human achievement without a god and based upon mind alone. Nietzsche is not of much concern to those of us who are interested in the spread of Buddhism although his idealism in fascinating. The persona that we want to look at is Arthur Shopenhauer.

Shopenhauer, like most Germans, was profoundly unhappy with the materialistic society that he saw emerging all around him. He longed for a richer and more spiritually motivated society, and he discovered it in India. Lots of romantics had already been discovering alternatives in Eastern society, but most of them concentrated on Hinduism. It was Shopenhauer who helped make Buddhism something of a household word among the educated classes of the 1850s. Shopenhauer was particularly impressed by Buddhism’s denial of God. He believed that Eastern religion had shown great brilliance by moving both beyond the concept of God, and beyond the notion of earthly or heavenly happiness. Buddhists recognized the all important fact of human suffering and did not shrink from it. They also recognized that morality did not derive from godly commandments but from the capacity of individuals to identify with one another and that the highest morality was one where the barrier between self and others was totally annihilated. Another aspect of Buddhist genius was the notion that the ‘will’ or ‘spiritual force’ in the universe was totally unknowable. Because people thought that they knew God’s will, they were constantly striving to achieve unrealizable goals.

The payoff for Shopenhauer, and presumably for many Germans, was that this purposeless striving could be suspended by contemplation. For him, the contemplation was on art, music and other forms of culture than through meditation. But it allowed him to appreciate the moment without necessarily clinging to it. Other romantics also dipped into the Buddhist manner of relating to a transparent world. The artist Van Goth was impressed by the way that Buddhist artists could focus on something as simple a single blade of grass rather than having to elaborate a system.

Westerners were beginning to find real value in Buddhist thought. Of course, they focused on what interested them and saw Buddhism through the eyes of their own problems and dilemmas. But they were finally picking up real information and beginning to delineate the teachings of the Buddha. Many thinkers began to view the orient as the source of vital human wisdom, in a similar way to the Humanists’ discovery of Greek and Latin texts. Notions of Western superiority were not easily eclipsed however, and many a Buddhist koan or sutra found itself included in a theory of human progress that put the West at the top. Nietzsche liked Buddhism much more than he did Christianity, but he still described it as a “wise but tired” religion that was developed at the end of a powerful civilization.

It must be mentioned that Nietzsche, unwittingly, and others much more willingly built orientalism into completely new theories of nationalism and nihilism. Many of those forces were in tern cooped by the racist nationalism and spiritual fantasies that contributed to the spread of fascism. French and German orientalists began to trace their descent from an Indian ‘Aryan’ or Teuton tribe that had presumably become corrupted, first by Semitic influences and they by scientific rationalism and democratic ideas. But these nationalistic urges were already present in many of the societies that grasped at orientalism, and we should not blame Eastern religions for Western excesses and psychoses.

More important for our present purposes, a centuries old Western Wall had finally been broached, and now the writings, symbols and concepts came rushing in. Orientalism came into vogue, and it has never quite gone out. The Buddhist religion was been revived in parts of the East where it was growing stagnant and introduced into the West.

Conclusion

In our next talk, I want to discuss the strange history of Buddhism in North America in order to show you how ideas can be transformed when they are absorbed by another culture. But I hope that you are beginning to see how Buddhism was adapted in order to fit in with cultural ideas and national aspirations already present in given societies. I also hope that you will see that the introduction of new religious ideas can sometimes have unexpected results. Buddhism was well received partly because it met the nationalistic needs of rulers or powerful individuals who felt disenfranchised by modern materialism and progress. Yet Buddhism’s ideas of transparency, interconnectedness and selflessness can contribute to a very different view of the world, where the difference between I and You is minimized and the practice of unselfish behaviour is encouraged. Religion even has the power to help change an intensely nationalistic world into an international community. If a religion has deep meaning for its followers, the dharma will shine through all the permutations, constrictions and contortions.


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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2. The Bodhisattva Greets the Dawn

A Circuitous Route

Before the Dharma, the teachings of the Buddha, could be brought to the West, they first traveled to the east in the way that so many things traveled in those days, by the famous Silk Road — the luxury trade route. The Dharma left India and traveled through the trade routes of Central Asia around the time of Jesus. By the year 220 it was firmly ensconced in China where it became the dominant religion until 845. Thereafter, Buddhism was persecuted by the government as a foreign intrusion and only two of the Buddhist sects managed to weather the storm — the Pure Land sect and the Ch’an or Zen sect. Both forms of Buddhism established new roots in Japan where they responded to various historical circumstances and social situations.

Pure Land Buddhism has a particular affinity with devotional Christianity, since it emphasizes the entry into a kind of Buddhist heaven through faith in power of the Buddha Amitabha. By repeating his name with conviction, rebirth is guaranteed in the Western Paradise. Its a religion that appealed to the common people, since it did not rely unduly on personal effort and a difficult, and typically monkish, renunciation.

Zen Buddhism had more appeal to scholars and also to warriors and aristocrats, particularly if they failed in their temporal ambitions. It called for supreme effort and the single minded, intense exercise of one’s concentration. Zen Buddhism relies on both sitting (meditation) and koans (puzzles that are unsolvable by reason) in order to break through to an entirely new level of experience. The Rinzai school of ken places a lot of emphasis on the meditation on koans while the Soto school tends to focus on the sitting, which is also known as zazen.

The point of zazen is sitting without focusing on any thought, letting ideas of past, present and future float away and doing nothing. Since doing nothing is difficult for most of us, Zen masters usually teach us to focus on our breathing as a vehicle for escaping our attachment to our thoughts.

Pure Land Buddhism, or the Buddhism of the common people may have some similarities to Christian grace and, as the religion of many immigrants to Europe and North America, it is the oldest, best organized and most financially endowed form of Buddhism in the west. But I won’t be talking about it here, because it is a religion that has made virtually no progress within the western consciousness. But Zen Buddhism certainly has had an enormous effect upon Western culture, and within a remarkably short period of time. Whereas as late as the nineteenth century, very few Europeans or North Americans had any understanding of these spiritual methods for attaining liberation or enlightenment, by the late twentieth century, they were so commonplace as to be trivialized within new age philosophies and IBM commercials. I recently saw a new version of the Rockford Files with an aging James Garner chasing crooks through a Zen monastery! And the chorus of one of my daughter’s favorite rock groups — BushX — goes “Everything’s Zen, Everything’s Zen, I don’t think so!”

Today, I want to give us some insights into why this process took so long and why it ever happened at all. What were the obstacles to Buddhism’s penetration of the West and what were the opportunities that finally allowed it to break through? In a nutshell, I’m going to suggest that religious chauvinism and cultural ethnocentrism were the factors that got in the way of an exchange of ideas. I’m also going to suggest that certain adaptations had to be met before Buddhism could ever begin to make serious inroads into the western consciousness. One of those adaptations was the emphasis on the Bhodissatva.

Shantidiva or the Lazy Monk

Shantidiva lived during the 8th Century, a period of internal conflict and disarray in the Indian subcontinent and a time when both Christian and Indian society were beginning to feel the threat of a new world religion called Islam. Shantidiva was born into a royal family in the Buddhist pattern — Buddhists liked to give their prominent thinkers greater prestige by making sure they come from a noble line; and the bad guys are always referred to as the ‘foolish common people’.

But Shantidiva was a cool guy for an aristocrat. The other monks used to say that he was only good for sleeping, eating and excreting. I guess he didn’t fit the monkish pattern. And what they used to do to get rid of lazy guys was what we do at the university — give them an exam to show their level of understanding. When Shantidiva came to show what he knew, he asked whether the monks would like him to talk about something already known or something new. They desired to humor him and he promptly went into a beautiful thousand verse poem called The Guide to the Bohdisattva’s Way of Life. And what a poem it was! When the Tibetan Dalai Lama came to speak to 10,000 people in France in 1991, that was the book he held in his hand and the book that he had come to talk about.

Why is the concept of the Bohdisattva so important for the West? The Bohdisattva provides an alternative — a middle way — between the monkish and aesthetic tradition that is too obscure and difficult for most people and a religion that is simply based on tradition and devotion. It provides a new path for Westerners who are dissatisfied with the dogmatic religion of their elders but not prepared to pursue a religion that shuts them off from the world. And the Bodhisattva is anything but shut off from the world. The world of everyday life and everyday people, with all its imperfections, is the Bohdisattva’s home.

The legend has it that Shantidiva started reciting his poem and ascended into the air, his words becoming fainter and fainter until he vanished. The other monks finally found him in a remote part of India but he refused to return to the monastery. He had essentially become a layperson. Whatever the merits of the legend, and we should note that Buddhists can make up stories as well as any Christian, it tells us an important truth — you don’t need to be a good monk or even go to a monastery to be a great Buddhist. The Bohdisattva is a Buddhist who lives in the real world. He accepts wealth and the goods of this life, but he never fights for them. He is of the world, but apart from it, yet he never makes a show of his difference.

The Bohdisattva lives for the sake of others; he or she devotes his or her life for them. He has no conceit. What he gives to others comes perfectly natural, and he never seeks a return. In this way, the Bohdisattva loses the sense of SELF and overcomes his passions, his cravings.

One characteristic of the Bohdisattva that is often overlooked in this rejection of the SELF is its humanism and its personality. Devoting one’s life to others, and rejecting the notion of the self, does not imply having no personality. The Bodhisattva tradition does not expect any kind of religious conformity; it gets rid of notions of ‘yours’ and ‘mine’ but it remains deeply personal. The Bohdisattva always remains in touch with the compassion within himself, the feelings that link him to all mankind. He does not seek to extirpate these feelings but to refine and develop them. Other feelings, such as lusts and hatreds, he does not attempt to eliminate. He just lets them pass and remains unmoved by them.

The horrors of the world, its tensions and pressures, hold no power over the Bodhisattva. Because he combines compassion with the wisdom of the Buddha, he remains calm and confident in whatever situation arises. Shantidiva developed the concept of the Bodhisattva during a period of political turmoil and change in India.

So you can see why it might have a special appeal for men and women in a very changing society where ethical behavior has become difficult. It provides a guideline that accepts — rather than rejects — life and one’s fellow man. And it provides the comfort and wisdom without which people would be confused and frightened. Finally, it is very human; it is not an exotic brand of religion. It is not based on devotion or dogma. The concept of the Bodhisattva is appealing even for those who do not have faith in the dharma. Coupled with and reinforced by the dharma it is a tremendously powerful ethical force.

Living in the Material World

Shantidiva’s Buddhism nourished older forms of Buddhism and changed them. It certainly wove its way into the Buddhism that eventually established itself in Tibet. Now, when most people think of Buddhism, they think of Tibet and the Dalai Lama and all those quaint rituals and the very weird music of the Tibetan monks. Interesting people the Tibetans and very inspirational in the way that they have kept their cool during periods of great suffering and change. The Chinese have tried but have almost given up trying to eradicate a religion that has such strong practitioners.

When Buddhism first came to Tibet, it had to struggle against competing religions — particularly the pre-Buddhist Bon religion and a belief in local spirits. The gentleness and accommodating nature of the Bodhisattva approach certainly helped to win it supporters. But, as in Europe at the time, it was virtually impossible to establish a religion unless one had the support of rulers. And there were always people in the wings who were ready to support other religions as aids to pollical power. So Buddhism had to evolve in this world of insecure states and political shifts.

Thus it was fortuitous for Buddhism that the Mongol ruler Cable Khan, who controlled Tibet and large parts of China in the thirteenth century decided that Buddhism was the best religion for his subjects. In a land characterized by many different peoples, which the Mongols had trouble controlling, the relative tolerance of Buddhism was very appealing. You didn’t have to go around persecuting heretics all the time and you adopted a live and let live attitude. Very important if you had a large area to police. Some places, like Tibet were small and homogenous enough that you could even make Buddhism the national religion and use it to unify and pacify the population.

Unless it is practices by a monk in the mountains, religion has to be a part of the real world and to make political accommodations. Some of Buddhism’s accommodations, like those of its Christian counterparts, may not appeal to us. There are lots of sects and schools with important differences, and some of them have very little tolerance for one another. And it is all complicated in turn by the nature of their political support and ambitions. One thirteenth century Japanese sect — Nichiren — still thrives today, will strike many Westerners as abhorrent because of its strident Nationalism; its focus on constantly repeating a single line from the Lotus Sutra and its very un Buddhist dislike of foreigners. But oddly enough, in 1991 it had over 20 million world-wide followers! The founder of the sect spent most of his time warning the Japanese government about the Mongol invasion.

The Mongols Had Their Day in the Sun

People often forget that the big struggle in the late middle ages was not only between Christian and Muslim countries, i.e. the Crusades, but that a third force threatened both communities for a long time. The Mongol threat was very real in the 13th Century. The Mongol Empire had its headquarters, if one could say that about this nomadic marauders, in Central Asia. The capital and court was in Karakoram, between Peking and Siberia. By 1260, Cable Khan, the Mongol leader had allowed the spread of Buddhism throughout the regions he controlled and established Tibet as a buddhocratic state. Japan now had Buddhism too, introduced from China and the Mongols were constantly threatening Japan, but also repelled in the same way that the Spanish would be repelled from England — by stormy waters and an isolated island.

That’s the scene in the 13th Century and the Mongols were feeling their oats. The West even was frightened, despite some posturing between the Pope and the Mongol rulers. One of the characteristics of the Roman Catholic Church at this time was its merciless to anything perceived as a threat to its power. And although the Mongols were far away, they were still considered a threat. The other characteristic of Christianity, like Islam, was the obsession with converting anyone and everyone to Christianity. So the Pope kept sending notes to the Mongol ruler and the ‘Tartars’ to accept the legitimacy of the Christian God. This posturing between the two solitudes would have been laughable had it not been taken so seriously by both sides.

The fact that the Mongols were so powerful in their own domain and even a threat to Europe shows how history might have been different. If the Mongols were successful in Europe, these supposed barbarians might have allowed for the development of religious toleration. For there was much toleration in the regions controlled by the Mongols and Buddhism itself is a very tolerant religion when left to its own devices and not subjected to the whims of politics and statecraft. And the Buddhist ethic of toleration was certainly in effect in 1253 in the court of the Mongol Khan, arguably the world’s most powerful man.

Close Encounters of a Strange Kind

To that court came a Christian, a Franciscan friar, William of Rubruck, a chubby and dogmatic monk who might have been insignificant were it not for the fact that he was one of the first people to travel to the East during the so-called ‘Dark Ages’. It took him a year to get to the tent city, which he found not to be like any city he had known. It was cosmopolitan, very busy and it had something that was totally foreign to a Franciscan friar — lots of different religions and a toleration of them.

Christians didn’t really seek to understand different cultures in the thirteenth century, they either came to fight them or to convert them. William was sent for the latter reason. He didn’t understand much about Buddhism and focused his energy on the Nestorians, a breakaway Christian Church. He stayed for 8 whole months and converted 6 whole people — less than one an month. That’s what happens if you don’t understand a culture and bring a message of intolerance that isn’t particularly relevant or appealing.

But what’s particularly interesting for us is that William gives us the first Western account of Buddhist monks and an exchange between Christianity and Buddhism. With so many religious viewpoints vying for prominence, the Khan decided to have a conference so that he could “learn the truth.” William tried to take on the Buddhist monk. He told him that he believed in one god and the Buddhist told him that he was a fool, that there were lots of gods, just like there were lots of kings, and that they inhabited different regions. The argument went on all day at cross purposes until the Khan declared that there were different ways of seeking God and that the Christians had but one way among others. He also shrewdly pointed out that Christians did not always seem to follow their scriptures very closely. He opted for religious toleration, something that the Buddhists present would have been very comfortable with.

Not so William. In a secret letter home to the French King, he said that he would like to have war against the Khan and the Buddhists if it were possible. Maybe the Khan got wind of William’s views and maybe he didn’t. But he decided that William had been there long enough and expelled him from the Court. Wise move.

Christians and Europeans were not yet interested in understanding other cultures and particularly not willing to engage in serious religious dialogue. It would be a long time yet before the foundation for deeper contact would be made. In the meantime, Tibet, the foremost home of the Buddhist religion, decided not to go to war with the Mongols and to pay tribute. Eventually Buddhism became the national religion of Tibet and the temporal authority as well. With the backing of the Mongols it created a viable theocracy, although there were many religious sects as one might expect.

The Khan held more religious debates and this time the Buddhists won. The great Cable Khan, like his predecessors, encouraged toleration. But in private he seems to have been a Buddhist. Marco Polo was at his court and provided Europe with a more detailed account of Buddhism than William had. But, again, it was knee jerk Catholicism rather than real understanding. He thought that the Buddha was an idol and he had no inkling of the tradition of the Bhodisattva that would one day have such a profound effect upon the thinking of the west. But at least he was impressed by accounts of the life that the Buddha had lived. He claimed that, if the Buddha had been a Christian, he would have undoubtedly been a very great ‘saint’. Well, at least it was a start.

The last Mongol Emperor was installed in 1333, but by that time, rebellion was fomenting throughout China. It is said that Toghan Temur was too enamored of Tibetan lamas and that he ignored affairs of state. Just goes to show that even Buddhists have to live and survive in the real world. But, even had Toghan Temur been a smarter ruler, the Mongolian empire was too big and diverse to keep together. A century of Mongol domination had come to an end.

In Europe too, a new era was beginning. The renaissance would soon help to thaw the frozen dogma of an rigid and hierarchical Christian Church and refocus man’s energy on making a better life in this world. It was a place that a Bhodisattva might be able to fit into without too much cultural tinkering. But would it happen? Next week we’ll look at a second stage of contact and see just how much of Buddhism was assimilated by the West.


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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1. How the Buddha Got His Face

Introduction

One of the most famous Zen Buddhist koans, or riddles that move one beyond merely rational thought structures is “What did your face look like before your parents were born?” The koan goes to the very heart of Buddhism, since Buddhism is a religion that finds the idea of a personal self to be something of an illusion, something that gets in the way of understanding, something to be transcended through enlightenment. We shouldn’t be surprised, therefore, that early Buddhist iconography never presented a picture of the face or the body of the Buddha. Instead, he was represented as an eight spoked wheel — representing the eightfold path to enlightenment — or as an empty mat or a set of footprints. The notion of a distinctive personality was so alien to the spirit of Buddhism that the idea of representng him as a person was foreign to the early Buddhists.

And yet statues of the Buddha are now commonplace both within and without Buddhist. All of us have a mental image of the Buddha as a person that we’ve gotten from seeing statues or carvings like the one that I brought with me today. He looks serene, wise and either mildly amused or gratifyingly content. His image might vary at little bit, but like Jesus, he’s now become ubiquitous. And even non-Buddhists might have a concrete version in their gardens. He seems to fit in really well with trickling miniature waterfals and goldfish ponds.

The question that I want to answer today is “How did the Buddha get his face?”. It is a fascinating story and one that shows how early the West encountered Buddhism and the kind of cross pollination that has occurred between the east and the west. For it was us Westerners who first gave the Buddha a face around the time of the birth of Christ. It was our legacy to Buddhism that he became portrayed in human form.

The Greeks Go To India

But I’m getting a little ahead of myself here. If we are to understand how the Buddha got his face, we have to explore a little history. And that means talking about the Greeks, the founders of Western civilization.

The Greeks developed a very potent culture, based primarily on the commercial empire of the city of Athens and the military training of the city of Sparta. But the Greeks were never really very big, and certainly not as powerful as they loooked. Their empire lasted only approximately 40 years whereas, in comparision, the Roman Empire lasted for about 500. And, as you probably know, Greek culture survived primarly because the Romans stole it and slavishly copied it, not having very much culture of their own.

But even in serious decline, the Greeks were a force to be reckoned with, particularly because even those who dismembered the Athenian empire wanted to be thought of as Greeks. The kings of Macedonia, in particular, considered themselves Greeks and there rose among them a conqueror and a hero who created one of the most powerful and extensive empires that the world has ever seen. His name was Alexander the Great, a man who surrounded himself with Greek philosophers and sought to bring Greek civilization to the world.

At that time, most Westerners thought that the world ended somewhere in India. Alexander was eager to finish of the job by getting there as quickly as possible and began his great Eastwards Expedition in 334 B.C. But in order to do that he had to go through and conquer the peoples of Afganistan, northern Pakistan and northwestern India. Imagine yourself a soldier in Alexander’s army. At first it might be a good idea to conquer the world, but imagine spending seven years fighting just to reach the Indus river. Imagine taking ramshackle towns and having to garrison them along the way. Now imaginge that you are getting just a bit fed up with with this conquering hero things and you begin to want to go home.

Well, that’s exactly what happened to Alexander’s army. They mad it to the Punjab, where morale got so bad that Alexander had to retreat. Eighteen months later, at the young age of 32, Alexander died. One is reminded of Kiplings phrase “Here lies a man who tried to hustle the east.” But before he died, he had established some Greek colonies or communities in some small Indian towns. The Indians now knew about the Greeks and they also understood the importance of creating a unified empire that could withstand invasion. Indian society, the homeland of Buddha and Buddhism, was already responding to the West.

So far the East was not having a similar influence on the West. And it would be a gross exaggeration to say that Buddhist ideas were very potent or even recongnized among Westerners. Alexander never made it anywhere close to where Buddhist societies were exensive. But he did meet up with some of the kind wandering aesthetics that Shakimuni Buddha had arisen from. These were monks who had renounced possessions. Alexander the Great was really impressed by these guys and even tried to recruit one to his entorage of philosohers. But the monk Dandamos simply asked Alexander why he had travelled so far and expended so much effort when he was only able to possess as much of the earth and drink as much of its water as this philosopher. Thus was Alexander introduced to a principle of Indian aesteticism that you can ony possess everything by possessing nothing. It didn’t seem to improess him, at least not in that lifetime.

While Alexander was camped in Taxila, which was to become a Greek town, he was visited by a fellow why the name of Chandragupta who was a nobleman from a clan that ruled a small part of Nepal. At that time, he was an exile, but later he led a revolt that created the Mauryan empire, an empire that lasted three times longer than that of the Greeks and can be called the first powerful unified state of India. Chandragupta was a supporter of the Bhrammin religion, and like most Bhrahhmin he didn’t much take notice of Buddhism. In fact he didn’t even mention this small sect in his official history. But his grandson Ashoka would not only control a much larger empire that he built on his grandfather’s legacy, but would mary a Buddhist woman, convert to Buddhism and transform Buddhism into a budding world religion.

Meanwhile Back at the Buddhist Ranch

Meanwhile back at the Buddhist ranch, Ashoka was’nt even a trinkle in his grandfather’s eye and Buddhism was still little more than a religious sect that was creating is own legacy. So far, that legacy was entirely Indian, but there was one very intriguing reference in one of the many discourses of the Buddha that they were writing down. In the discourse, the Buddha tells a young nobleman that social castes are not something created by heaven but something that changes according to society. Gutayama Buddha uses the example of the Greeks, where people can be masters or slaves depending on historical circumstances.

How much did the very different social structure of the Greeks influence the Buddha’s thinking? We know that his teaching was a radical departure from the status quo and the belief in irrevocable castes. And we know from the discourse that he was capable of comparing Indian and Greek society. But that tantalizing piece of information is all that we have to suggest that perhaps the West was influencing the East more than we once thought and that their histories have been historically intertwined despite generations of mutual ingnorance.

The ignorance has always been more the fault of the West than the East. By 250 B.C., Ashoka was ruling a large empire and Buddhism was rapidly becoming the flavour of the day. Ashoka was close to the Greek communities in India and even commisioned the first Greek Buddhist monk as a missionary/envoy to a Greek district in the empire.

When religion is related to the doings and teachings of a charismatic leader like the Buddha, it has lots of spiritual vitality but very little structure. When religion becomes instututionalized and supported by polical leaders the power of a religion grows but not without problems. Because there is a lot more power involved, there often arise competing visions of religion. Gutayama Buddha was very imprecise about the kinds of structures that would follow after his final enlightenment and towards the end of his reign, a dispute occured between those elite monks who wanted to follow Lord Buddha’s rules rigorously and a sizable majority of monks and lay people who wanted the religion to be more open and accessible to ordinary people. This was the beginning of a dispute between the Hinayana and the Mahayana traditions of Buddhism and its a dispute that continues right into the present.

It is one of the great ironies that the development of eternal religious principles is tied to temporal politics and this is something the Buddhism has understood better than other world religions. Buddhists believe that Buddhism itself can die out for entire periods of time only to be reborn in future generations when the time and social maturity is right.. Under Ashoka things were good for a time, but by his death things were in disarray. The Indian state began, like so many others of its time, to disintegrate shortly after achieving its third generational peak. And now one of the kings of Alexander’s dividied empire — Demetrius of Afganistan — decided that the time was ripe to realize Alexander’s dream of conquering India. The Greeks were about to return, and this time in force.

He never realized his goal of conquering India, he was killed on expedition. But his top general Menander continued the stuggle and finally managed to rule a large portion of North West India.. He was a sufficiently important personage to be talked about in both Indian literature and western legend. And he was for at least two thousand years the most famous Western convert to Buddhism. And we know all about his conversion because its written up in a beautiful little book entitled the Milindapanha or Menander’s Questons.

Menander’s Questions

Menander was a lucky guy. He had a good Buddhist master in the form of the Venerable Nagasena who answered his questions and put him on the path to Enlightenment. The exchange between the two is a classic of Buddhism and still very instructional for those of us who are not kings and don’t ever want to be. Menander begins by asking Nagasena who he is.

Nagasena says that his parents gave him the name Nagesena but there is no person named Nagasena here. Menander asks him then who it is that wears robes, accepts alms and keeps vows. Nagesena replies that it’s not Nagesena. The king asks him whether any of his body parts are Nagasena. No. The king asks him whether his feelings or perceptions, impulses or consciousness are Nagasena. No. Finally the king calls him a liar for say that his name was Nagasena.

Then Nagasena shows him the difference between a conventional usage and a deeper reality by showing the king that his favorite chariot is only a useful symbol and a name, since no part or accumulation of parts can be said to constitute a ‘chariot’. Ultimate reality is beyond both things and the symbols that describe them.

The most impressive lines of the dialogue come when Menander asks where wisdom dwells. Nagasena says that it dwells nowhere. The king says that there then must be no such thing as wisdom. Nagasena asks him where the wind dwells. The king says that it dwells nowhere. “Then there is no wind either,” replies Nagasena.

And so a Greek king was tutored in a religion that was very different from the religion of his own cultural heritage and so the first series of instructions to a westerner was put to paper. There would be many more series of instructions, but the overwhelming majority of them would not be produced until the late 19th Century when many in the West became fascinated with the East once again and sought wisdom from sources that had seemed to evaporate from the face of the earth for centuries.

What is interesting about Menander’s Questions once one gets past the really difficult bits is the ways that Nagasena tries to give Menander instruction in a language that he can understand. He attempts to convince Menander through the use of that quintessentially Greek technique — dialogue and Socratic reasoning. He emphasizes the importance of concentration and the ethical foundation of Buddhism, touching lightly on the need for a leap of faith and the ‘cutting off’ of connections with the world of things, feelings and perceptions.

During the reign of Menander, Buddhism was evolving to fit the cultural patterns of its Western ruler. Now, perhaps, we can understand the lasting legacy of the West towards Buddhism. For it is precisely at this time that Buddha gets his human form. For 500 years, all putures of the Buddha were symbols like the empty throne or the tree. These symbols emphasized the complete transcendence of the Buddha from early things. The Buddha resembled Israel’s Jahovah. He could not be restricted by any form. But the Greeks were used to sculpting statues of their gods and their heroes. They naturally wanted to do the same with Buddha. And guess what, the form that they chose for Buddha was Appolo — the Greek God of illumination. It was a natural choice. Appolo was the God who warmed men’s hearts with the sun’s light; he was also the symbol of reason and mental illumination; and he was the God of purity. If you had to pick a Greek God to mirror the Buddha , you could do a lot worse than Appolo.

The Great Seclusion

Important events made this kind of cross fertilization far less likely for the next two millinea. The Romans slavishly copied the Greeks without their genius for philosophical and spiritual investigation. Roman Catholicism busied itself with the religious and secular unification of a dismantled empire and the scattered tribes who inherited its bits and pieces. The obsession with unity meant insularity , suspicion of outsiders and an obsession with anything that smacked of religious heterodoxy. The most horrible words that medievalists could utter were religious schism and heresy and it would be a long time fore the West would open up to the East in any welcoming sense. This took nearly two thousand years and even then has been very gradual. But two thousand years and even two thousand lifetimes are next to nothing in Buddhist cosmology. It’s us Westerners who are in a hurry.

Just because the Buddhist influence was limited, however, doesn’t mean that it didn’t exist during this period. One of the most interesting things about Christianity was its tendency to ‘cut a deal’ with the old pagan gods. If it didn’t make them devils, then it was inclined to make them saints. And there’s an interesting story in the way the Buddha became a saint.

The story of the life of the Buddha is fairly well documented by scholars. We know that Prince Siddhartha, later Gautama Buddha, was of royal birth and was secluded from the evils of the world. When he snuck out of the Palace during the ‘Great Renunciation’, he was immediately confronted by old age, sickness and death. The story was well known in the popular Sanskrit biography of Buddha in China by the 2nd and 3rd Centuries and was later translated into Persian and Greek. From the Greek, it was translated into Latin and, as was the way during the Holy Roman Empire, the legend eventually made its way into the venacular. The really fun part is that, by the seventeenth century Jesuit missionaries were telling the Chinese about Saint Josaphat who was really the Buddha in disguise. He was referred to before his awakening as the Bodhisattva in Sanskrit. This became Budhasaf in Arabic, then Iodasaph in Georgian, Ioasaph in Greek and finally Josaphat in Latin. Fortunately for the reputation of the Catholic Church, Josaphat was never formally canonized, but he did have a feast day on 27th November; one Italian Church is dedicated to him; and his relics are supposed to reside in another French Church. Parts of the legend of Josaphat found there way into Shakespeare’s play The Merchant of Venice.

Gnosticism and Buddhism

As I said before, Medieval society had a horror of schism that made it very insular looking. One of the victims of this insularity was Gnosticism. The Gnostics were those Christians who believed that union with God could only be achieved through spiritual transcendence or mysticism. They flourished for many centuries as an active part of Christianity but were alternately punished as heretics. Eventually, however, Christian paranoia meant that the Gnostic tradition was rooted out, depite its having been an important influence on thinkers like Augustine and authors like Hildegard of Bingen. You can really see the transendental aspects of Hildegard’s mustic if you listen to c.d.s like “Canticles of Ecstacy’ or ‘A Feather on the Breath of God’. Both of these are very good for Buddhist meditation.

Gnositicism put its emphasis on a direct spirtual experience that was not available to those who were uninitiated. They contrasted material existence as unremittently evil and contrasted it with the spiritual world of light. They looked for a state of release, of beatitude and, like Hildegard put it, being a feather on the breath of God.

Now, while these ideas are not Buddhist, they certainly have some affinity with Buddhism and other Eastern religions that clearly influenced them. While the Gnostics were around, there was at least the possiblity of exchange. Such an exchange does seem to have been evident in the writings of Basilides of Alexandria in the second century. Scholars tell us that Baasilides learned these principles from the Indian community in Analexandria and them built them into his own Christian system. Among the theories that we can still discover of Basilides (his 24 book system is now lost), is a belief in multiple lives and karma and a definition of God as ‘non-being’ that is very similar to the Buddhist concept of Nirvana..

Another Christian system that borrowed ideas from India and Persia was Manichaeism, named after Mani its founder. Mani had travelled in north-west India, encorporated some Buddhist ideas into his religion and modelled his organization on Buddhist communities. St. Augustine was a Manichaean for nine years before his mother’s prayers brought him to Christianity. The Manichaean influence helps to explain why Augustine made such a distinction between the City of God, that was ultimately unknowable, and the City of Man that was sinful and depraved. Of course his emphasis on sin, salvation and the critical role of Jesus was Christian and helped to mould a Christian othodoxy that was intolerant of other religious views.

Things got even worse after Augustine’s death, as Christianity became the only unifying principle upon which nations could hang their banner and control the rivalriess of fuedal warrior lords. There was less and less patience with the kind of religious toleration and non-violence that was characteristic of Buddhism. During the early middle ages, Buddhism showed itself to be an equally powerful and unifying spiritual force in Asia. But the two great world religions now, more and more, began to operate within different spheres.

Isolated borrowings, like the story of St. Josaphat, became the exception rather than the rule. And the story of St. Josaphat provided no Buddhist insights — he had been transformed into a completely Christian character. Like Santa Claus, he provided no indication of the original impulse of the the legend of the Buddha..

The West and the East lived in mutual ignorance and suspicion. Serious contact with Europe did not resume until very recently. But contact did occur and paved the way, however intermittently, for more substantial interractions hereafter. And we’ll be talking a bit about that next week. But, before ending up, I want to mention something that is often overlooking in histories of East-West contact — the parallels between our societies.

There is always a tendency to think of the West as the the mover and shaker and the innovator. But in many respects, and certainly over the long haul, the history of Christianity in the West and Buddhism in the East have much in common. Both religions moved from early charismatic leadership to social vitality to huge bureaucratic regimes. Both religions lost touch with their earlier inspiration and divided into numerous sects and variations in order to regain their vital energies. Both religions moved uneasily between an emphasis on spiritual liberation and support of the status quo in their various countries. Both religions showed themselves resistant to economic change, and yet proved themselves very capable of dealing with change once they became less wedded to traditional hierarchical kinds of support. Both developed socially activist philosophies — the social gospel and the concept of the bhodisattva — as a means of linking religion to issues in real life.

Western chauvinism and short-sightedness has made us focus on a 200 year period between the mid eighteenth and the mid twentieth century as a period of European and North American supremacy. But that supremacy is obviously transitory as we now move to a global economy where the Asian nations are moving into parity, if not supremacy, with us. Our social and spiritual convergence would be obvious to us were it not for a tradition of relative insularity.

If one looks very recently, this social and spiritual convergence is particularly stricking. Whereas religion may once have appeared to concentrate on things that were not of this world and, at worst, a cultural support for an unjust status quo, religion is now becoming the primary locus of what is left our social conscience. One of the few bodies that still raises its voice against the injustices of modern capitalism in our country is the Canadian Council of Bishops. Similarly, Zen Buddhist monks have been in the forefront of demands for social justice and advocates of non-violence. And they are talking seriously to one another again, about both social and spiritual matters. In the weeks to come, I’ll be describing some of the reasons for that convergence as well as the very slow and painful process by which it came about.


These lectures are based on Stephen Batchelor’s book ‘The Awakening of the West: The Encounter of Buddhism and Western Culture’.

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4a. Questions and Possible Answers

The Reading

Please read all of Virginia Woolf’s marvelous novel To The Lighthouse and try to answer the following questions. This time, I’ve done the questions a bit differently. Instead of going through the novel section by section, as in the previous modules, the first twenty-one questions challenge you to demonstrate a grasp of the novel as a whole. Questions twenty-two and after will allow you to make sense of the novel in the way that it unfolds. You can always start at question twenty-two if you have problems with the first set of questions.

Questions to Consider:

  1. Can you guess what inspired Virginia Woolf to write To the Lighthouse?

  2. What primary psychological technique does Woolf deploy in the novel?

  3. What are the devices that Woolf uses the most to reveal her characters?

  4. What is the nature of objective reality in the novel?

  5. What’s another function of those things that we might call objective reality?

  6. To the Lighthouse, while displaying psychological realism, is also highly symbolic. Can you locate and comment on some of the symbols in the novel other than waves?

  7. What is the role and function of nature in To the Lighthouse?

  8. What does Woolf’s psychological tunneling reveal about human nature?

  9. What causes the changes in our subjective reality?

  10. Why do you think did Woolf consider the dinner scene to be one of her greatest achievements as a writer?

  11. Why can’t we ever get to the bottom of Mrs. Ramsay’s mysterious nature?

  12. What’s the main role that Mrs. Ramsay plays?

  13. What are the ecstasy and the tragedy of Mrs. Ramsay?

  14. By looking at Lily Briscoe and Mrs. Ramsay, can you identify he problem with romantic love?

  15. To the Lighthouse has been described as simultaneously a realistic and a metaphysical (philosophical) novel. In what ways is the novel metaphysical?

  16. In your opinion, what is Woolf’s answer to the problem of the human condition?

  17. What aspects of life does Woolf’s approach privilege? What aspects of life does Woolf’s approach diminish?

  18. What are the implications of Woolf’s privileging of the common occurances of life?

  19. What’s the biggest problem with the male characters in To the Lighthouse?

  20. Do you find anything interesting about the structure of the novel?

  21. Virginia Woolf’s husband described this novel as a psychological elegy? Why, do you think, did he use those precise terms?

  22. How does Woolf set up the psychological axis of the novel on the first page?

  23. How are Mr. Ramsay and most men emotionally crippled?

  24. How does Woolf’s description of her childhood summerhouse illustrate her understanding of human reality?

  25. How do we know that Woolf finds human nature full of contradictions from the very start?

  26. How is Charles Tansley locked in his own consciousness?

  27. How do we evaluate others? How is social life possible if we do this?

  28. What is problematic about man’s love of nature?

  29. Given that we mainly operate according to our subjective perceptions, what image does Woolf provide of our actions in life?

  30. Ultimately, what is every person’s real condition in life?

  31. Why is subjective-reality such a problem?

  32. How does Woolf describe the workings of Lily Briscoe’s mind?

  33. What function do the minor objective realities play in the section where Mrs. Ramsay is knitting the brown stockings? What other role do objective realities play in the novel as a whole?

  34. What function do domestic habits, customs and the little actions of life serve for Mrs. Ramsay?

  35. What is the problem with the scientific or masculine search for “truth”?

  36. How are males able to pursue the “truth” with such vigour, if this goes counter to the general tenor of life?

  37. What happens to women who are forced to play such a sympathetic role to egotistical males?

  38. How do such women contribute to their own problems?

  39. What is the emotional life of Mrs. Ramsay like at the deepest level? What does this tell you about life generally?

  40. Why does Carmichael snub Mrs. Ramsay?

  41. Why is being in love so misleading?

  42. In what way is Lily Briscoe’s art symbolic of the theme of the novel?

  43. Who is best at understanding life – the artist or the scientist?

  44. What is the significance of Mrs. Ramsay reading to her son James?

  45. Where does Woolf show us the private consciousness of Mrs. Ramsay?

  46. How does Woof describe the inner core of every intelligent being?

  47. What is the symbol for the peace and unity that people can sometimes find by retreating into their inner selves apart from society, relationships and roles?

  48. What is the significance of the phrase “We are in the hands of the Lord?” that pops into Mrs. Ramsay’s mind?

  49. How does this reflect the difference between a modern writer like Woolf and an earlier writer like Dostoyevsky?

  50. What’s Woolf’s problem with Mr. Ramsay’s “phrase making”?

  51. What’s wrong with Mr. Ramsay’s and most male’s sympathy for the world?

  52. What word does Woolf use to describe the reality that one finds when one gets to the root of consciousness? Can you think of a spiritual system that comes to a similar conclusion?

  53. In Chapter 16 of Part or Section I, what is referred to as Mrs. Ramsay’s “old antagonist”?

  54. How does Woolf describe the human consciousness in Chapter 17 of Part I?

  55. Woolf thinks that friendship is more real and important than love, which is why she has Lily Briscoe become Mr. Banke’s friend rather than wife. But how real is friendship?

  56. When people in relationships think about one another, what’s the result?

  57. Is Woolf suggesting that we start being more honest in our relationships?

  58. Make no mistake about it, Mrs. Ramsay is an intelligent and likeable person. But when you get right inside her character you find all sorts of attitudes that are not particularly admirable and that she keeps secret. For example, what kind of men does she like?

  59. In what other ways is Mrs. Ramsay something less than the Greek godess she resembles?

  60. How does Woolf explode the widespread belief in romantic love?

  61. Chapter 18 of Part I focuses on an important idea that is further developed in Part II. What is it?

  62. What is the significance of Part II – “Time Passes”?

  63. What’s the significance of the description of the passing of the seasons with respect to the summerhouse?

  64. In an indifferent universe, what is the human condition reduced to?

  65. Woolf uses an interesting natural image to demonstrate the horrific and meaningless nature of human life. Can you suggest what it is?

  66. Why does the character Lily Briscoe offer the reader some hope?

  67. Mrs. Ramsay’s enemy was life? What’s Lily Briscoe’s enemy?

  68. Instead of looking for some higher meaning or reality, where does Lily Briscoe find the answer to her questions?

  69. What is Woolf’s answer to those who feel that a Godless and meaningless universe provides no hope for human beings?

  70. Who is better able to appreciate and capture the new reality of everyday life – men or women? How does this relate to the increasing importance of women writers?

  71. How is Lily’s art similar to that of Virginia Woolf?

  72. How do Lily and Mrs. Ramsay (i.e. Virginia Woolf and her own mother) become unified at the end of the novel?

  73. What does Lily have an intuitive insight into by the end of the novel?

  74. What’s the problem with Lily’s intuitive insight and new understanding of life?

  75. Mrs. Ramsay’s subjective universe was infinitely superior to that presented by her husband and most of the other males in the novel. Ultimately, why was her perspective so psychologically damaging?

  76. Why is it virtually impossible for scientists and logical philosophers (like Bankes and Mr. Ramsay) to generate the kind of insights that Lily Briscoe can?

  77. How would you describe Lily Briscoe’s new understanding of life? How satisfying to you find her solution to the problem of the human condition?

Suggested or Possible Answers:

  1. The novel is loosely based on Virginia Woolf’s own childhood. The summerhouse is like the one she went to in her youth. Mr. and Mrs. Ramsay are based on her parents. At first, Mr. Ramsay was going to be the central focus of the novel, but gradually the enigmatic Mrs. Ramsay becomes the central character.

  2. The technique is called psychological tunneling. Woolf burrows more and more deeply into the consciousness of her characters in order to reveal them more clearly. The approach can also be compared to peeling the layers of an onion.

  3. She uses three devices with some regularitly. First, she offers us multiple perspectives based on the consciousness of the characters or other characters perceptions of one another. Second, she describes the mental insights of characters, when things crystallize in their minds for brief moments. Third, she uses memories, semi-fixed impressions that have somehow stayed in the mind, even if they can sometimes only be recalled with great effort.

  4. Although objective reality, such as the rooms of the summerhouse, the lawn around it, the waves on the ocean or the lighthouse itself may appear to be described realistically, they have significance only in relation to the minds and dilemmas of the characters. The true reality, albeit an illusive one, is their consciousness of themselves and one another.

  5. Their role is primarily symbolic. Thus, for example, waves represent a number of things in this novel. First, the surface of the waves hides the deep complexity of what lies beneath (human consciousness); waves change dramatically, like human emotions; waves are forever striving for a unity that eludes them; the unity that does occur when the ocean is still is always momentary.

  6. Here you might want to talk about: 1) the lighthouse, 2) mirrors, 3) painting and the artist’s perspective.

  7. Unlike the scientists of the eighteenth and nineteenth century, who looked for the conjunction between nature and human nature, the natural world of Virginia Woolf is totally alien to man. It changes according to different laws. It is not in sympathy with, but is “indifferent to”, human beings. Although we can be moved by it, it has nothing to do with us.

  8. Humans are complex emotional beings who are largely enclosed within their own subjective realities. Even that subjective reality is constantly changing and elusive.

  9. Two things result in major changes in our subjective reality. First, the strength of our perspective changes as a result of time. Gradually, only a few primary memories remain of our past. Second, our subjective reality is constantly shifting with the play of emotions. Mrs. Ramsay can move from the deepest affection for her husband to a real revulsion in a matter of seconds, depending on how words or actions strike her subconscious.

  10. The dinner scene is a brilliant example of the multi-personal approach to describing subjective reality and the way that people’s perceptions of one another are constantly changing even during brief periods of time. Consider, for example, the different impressions of Charles Tansley during this single meal.

  11. There’s no one simple answer to this question. Here are a few. First, it is impossible to get to the bottom of anyone’s subconscious, even if they seem relatively straightforward on the outside. No one can ever really know anyone else. Second, Mrs. Ramsay is extremely beautiful, and beauty – especially female beauty – clouds one’s judgment of deep character. Third, people in life play complex roles – and intelligent women have been forced to play supportive roles – so it is difficult, even for them, to know themselves apart from these roles.

  12. She’s the supporter of the male of the species. Almost her entire life (with the exception of those revealing private moments) are devoted to sympathizing with, and comforting, men. This emphasis on male-female roles does not prevent Mrs. Ramsay from being insightful, and she has a real talent for seeing things intuitively, but it means that she cannot explore other parts of her personality in the way that Lily Briscoe can. Because she sees the world in terms of male-female relationships, Mrs. Ramsay is an incessant matchmaker. She sees it as her role to bring men and women together.

  13. Love is the primary emotion that allows people to feel a sense of unity and to embrace life – everyone loves a lover. The tragedy here is that, ultimately, we are all alone in our own private solitudes.

  14. Love provides us with great promise of happiness and meaningfulness, but the reality of love is that it is often hard and tedious work. Look at the way that it ages Mrs. Ramsay and probably contributes to her early death.

  15. The novel wrestles with the meaning of human life and the desire that human beings have for unity.

  16. Woolf suggests that life is characterized by constant change – we never step into the same stream twice – and that any attempt at completeness, harmony, or solidity will be elusive. Her answer is to seek fulfillment in the moment, and to permit moments to be incorporated in memory.

  17. Woolf suggests that our most real and authentic moments occur in the common events of life. She is suggesting that human beings.

  18. By privileging the commonalities of life, Woolf affirms a feminine approach that emphasizes getting along and showing sympathy to others. She brings into question the overwhelmingly masculine emphasis on civilization, science and politics.

  19. The male characters are emotionally dried up. They have such need for control, and are so egotistical about putting their stamp upon life, that they are socially dysfunctional. In To the Lighthouse, all the pressure is on the female characters to provide their male counterparts with sympathy.

  20. The novel has a tripartite structure. The first part is a brilliant example of Woolf’s technique of psychological tunneling. The second section is a bridge that explores the effect of the duration of time on human perception. It also presents the stark and brutal fact that nothing, especially life itself, is permanent. The final section is highly symbolic, and more directly addresses the metaphysical questions that arise from the instability of life and the aloneness of each individual in a meaningless universe.

  21. The term psychological should be self-evident. The term elegy suggests that one of the purposes of this work was to confront the issue of men and women facing their death in a universe that bears no connection to human needs and desires.

  22. She addresses the difficulty of crystallizing and transfixing a reality that is fragmented, momentary and based on the wheel of sensation. Each person’s subjective reality is like a private code that, ultimately, is secret to others.

  23. They are obsessed with facts that are black and white rather than a reality that is much more elusive and complex. They can also by tyrannical in attempting to impose those categories on others.

  24. It is described as a perceived rather than a physical reality. These perceptions are based on sense impressions, emotions, and relationships. Thus, the way the sun illuminates the rooms, the objects that one sees, the feel of the grit of the sand, the sobbing of a Swiss main, and the “smell of salt and weeds” all mingle in ones consciousness to create a perceptions.

  25. Mrs. Ramsay laments that her young children are already showing “strive, divisions, differences of opinion, prejudices twisted into the very fibre of their being.”

  26. He’s obsessed with his own insecurities. He wants to be liked by a beautiful woman like Mrs. Ramsay but he can’t get over his impoverished youth, his envy of others, his egoistic desire to be a well-known academic, his experience with the circus, etc. He’s an extreme case of someone who is so self-obsessed that he has little capacity for sympathizing with others. But all of the other characters in the novel, to some extent, are locked up in their own private universes.

  27. We evaluate and judge people from moment to moment. Sometimes we love them; sometimes we hate them. Sometimes Mrs. Ramsay likes Tansley; sometimes she thinks he is “odious”. A lot depends on how she is feeling at that particular moment and what Tansley does (i.e. upset’s her son James). We are only able to get along in society because we keep a lot of these inner thoughts secret from one another. If we always knew what others were thinking about us all the lime, social life would be next to impossible.

  28. We often see nature as being in conjunction with us; we intuit a certain sympathy between human nature and nature (as in the gentle rocking of the waves). But Woolf reminds us that nature has no inherent kindly meaning. The same waves that lull us to sleep can also kill us.

  29. Sleepwalking.

  30. Aloneness. We are all strangers to one another.

  31. It shifts and changes from moment to moment. Even at the same moment, it can be problematic or contradictory: “I’m in love with you? No, that was not true. I’m in love with all this…It was absurd, it was impossible. One could not say what one meant.”

  32. Impressions and ideas “danced up and down, like a company of gnats, each separate, but all marvelously controlled in an invisible elastic net.”

  33. They are merely trivial episodes that act as openings into the tunnel of consciousness. Elsewhere in the novel, especially in the third section, they can be brutally brief facts – like Mrs. Ramsay and Andrew’s death – that highlight the difference between our human nature (needs and desires) and our fragile and brief lives.

  34. These give our life a structure and sooth us. But they can never fully obscure the fact that our lives are basically meaningless in an existentialist universe.

  35. When obsessive, it shows an “astonishing lack of consideration for other people’s feelings.” Woolf is arguing that the little considerations of life are the most important and that human “decency” should take priority over “facts” and “truths” that have no special validity outside of human consciousness.

  36. They are supported by women, who constantly patch up their males’ private selves and meet males’ emotional needs. Woolf appears to be arguing for a more decent common humanity where men and women both understand that the human condition is fragile and a good life is basically about being decent to one another. Males are able to deceive themselves that what they are doing is much more important only because women take on all the emotional responsibility for being sympathetic.

  37. They become physically drained and emotionally exhausted. When you penetrate more deeply into their consciousness, very intelligent women like Mrs. Ramsay exhibit much more “disagreeable sensations” that they are forced to suppress.

  38. Sometimes they are “vain” about their ability to capture and mould men. Thus, they throw themselves into the responsibility for making their marriages work and don’t understand their own needs for solitude.

  39. Mrs. Ramsay has an air of “sadness” about her whenever she is not engaged in the role of wife and mother. That sadness is natural to those who are intelligent and understand the nature of the human condition. Mrs. Ramsay understands the human condition intuitively. Her husband, on the other hand, only understands our existential condition intellectually. Intellectual understanding is highly artificial and limited, based as it is primarily on reason. For Woolf, we are primarily emotional beings.

  40. He understands that Mrs. Ramsay also needs to dominate and control others, and that many of her actions are vain and self-seeking. Mrs. Ramsay’s love is real, but she is a human being like everyone else with an ego and a desire for praise.

  41. It temporarily obscures the fact that human life is tragic and human relationships are, at best, accommodations. When Lily Briscoe feels love for Mr. Bankes, her judgment is impaired. She is saved when she opts for friendship and independence rather than marriage.

  42. It is impossible to fully capture human nature. The best one can do is provide a momentary impression that reveals a perspective. Artists like people, aim for unity and completeness. But this is never possible. Life and art are “relations of masses, of lights and shadows.”

  43. The artist, as long as the artist understands that the best they can achieve is a very partial picture of life.

  44. Woolf uses the reading of The Fisherman and His Wife to show how the human mind multitasks – thinks of more than one thing simultaneously. Here mind wanders “like the bass gently accompanying a tune, which now and then ran up unexpectedly into the melody.”

  45. In chapter 10 of the first section on “The Window”. This private self is never seen by her children or her husband, but is nonetheless more “real” than the self that she shows them, since she has “a clear sense of it there.” Whenever, she is permitted to explore this private self, she sees herself in opposition to life. Life is “terrible, hostile, and quick to pounce on you if you gave it a chance.” When in this headspace, she cannot easily maintain her confidence in her domestic, marital and matchmaking roles. She recognizes them as a retreat or escape from what is really essential.

  46. She views it simultaneously as a terrifying “core of darkness” but also a place were one can sometimes grasp “peace”, “rest” and a sense of “eternity”.

  47. The steady, but intermittent, beam of the lighthouse.

  48. Such slogans are socially imposed. The real truth and understanding is a private truth. You need time for reflection – away from social rules and regulations – to achieve a more accurate sense of the meaning of your existence.

  49. For Dostoyevsky, the voyage interior was dangerous and socially destructive. For Woolf, it is a more natural route, even if it ends up making individuals a little bit sad and melancholic.

  50. Words, especially in the form of scientific or academic rationalizations, cannot capture life. The real subjective reality of human existence is difficult to capture in words. Males use words to dominate and control, rather than interpret, life. Academic writers and scientists focus on so-called higher things rather than the “ordinary things” that make up common life. For Woolf, the latter are far more important than the former.

  51. When Mr. Ramsay says things like “Poor little world” or Charles Tansley’s criticisms of the rich, they are simply mouthing artificial phrases. These men have only a very weak idea of what sympathy is because they are incapable of demonstrating it in common life and relationships.

  52. The word is “nothingness” as in “the intensity of feelings which reduced her (the daughter Cam) own body, her own life, and the lives of all the people in the word, forever, to nothingness.” The spiritual system that puts “nothingness” at its core is Buddhism.

  53. Life. Presumably, also Death.

  54. She refers to “that strange no-man’s-land, where to follow people is impossible.” We can never really know anyone else, even our own families or husbands/wives.

  55. “Friendships, even the best of them, are frail things.” They are based primarily on conjunctions in time and place. When Mrs. Ramsay is apart from her old friend Carrie Manning, she almost forgets that the Mannings even existed.

  56. They think all kinds of things, some of them very bad. Woolf suggests that people practice secrecy because they hope that no one will recognize what they are thinking. People also hope that others are not thinking bad things about them. This applies as much to husbands and wives as casual acquaintances. We are all a mix of contradictory emotions, some of them not very flattering to ourselves.

  57. Not at all. Characters who are blunt and honest about their feelings, like Tansley, show a lack of decency towards others.

  58. She “liked her boobies” – attractive but dumb men who needed to be charming to make an impression. Clever men bored Mrs. Ramsay, partly because they weren’t as entertaining or as easy to manipulate.

  59. At the dinner party, Mrs. Ramsay has her eye on a pear that she craves. She even “keeps guard” over it and is disappointed (even mildly offended) when her daughter Rose takes the coveted fruit.

  60. She has Mrs. Ramsay go to considerable trouble to bring the couple Minta and Paul together as a symbolic unification representing the power and social significance of love. The marriage is a complete bust, at least in the conventional sense. Mrs. Ramsay’s dearest values with respect to marriage and the role of a good wife become passé by the end of World War I.

  61. The inevitability of change. Everything is transitory; one’s position in the human drama can never be fully stabilized. Mrs. Ramsay hopes that her belief in the sanctity of marriage and the importance of propriety will be carried on by others. All her energies are devoted to creating a world of stable relationships. But her protogés Paul and Minta totally fail her.

  62. Woolf tries to show us, in the decaying, almost destroyed, summerhouse, that nothing is permanent. The house is just a symbol for the human personality. “not only was furniture confounded; there was scarcely anything left of doy or mind by which one could say “this is he” or “This is she”.

  63. Nature has no concern for human life. Nature goes on its own course without any sympathy for such human questions as “to what, and why, and wherefore, which tempt the sleeper from his bed to seek an answer.”

  64. “We remain.” Humans simply are here; we have no purpose apart from our own needs and desires. Good does not necessarily triumph; happiness does not necessarily prevail; order does not necessarily rule. All that’s left of man’s great hopes and projects, it seems, are the ordinary pleasures of domestic life and relationships. Of course, these too are fragile. Mrs. Ramsay dies suddenly. Her brilliant son, Andrew, is killed in the work. Her beautiful daughter, and heir apparent, Prue, also dies in childbirth. Life becomes, in Woolf’s words, little more than “idiot games”.

  65. She has flowers – typically symbols of human beauty and affection – “standing there, looking before them, looking up, yet beholding nothing, eyeless, and terrible.” Nature is “insensible”. There is no identification between human nature and external nature in a world where even flowers can be described as terrible.

  66. She has looked deeply into life and discovered the nothingness at its core – an “empty place” or an “empty coffee cup”. But she has an artists instinct for appreciating the moment and for spotting the vitality of “ordinary human things”.

  67. Her “ancient enemy” is the space between human beings that is symbolized by an empty canvas. But she is able to fashion her own independent reality in that “hideously difficult white space.”

  68. In the artist’s imagination – the “little daily miracles, illuminations, matches struck unexpectedly in the dark” – that allow life to stand still for a moment to be captured on her canvas.

  69. She suggests that we stop clinging to those big masculine questions and learn to appreciate the moments in our life.

  70. Women are better able to appreciate the nuances of everyday life and social relations because that has been the domain in which they have always operated. The focus on everyday life and relations opened a natural arena for women, who have gone on to dominate the genre of the novel in recent decades.

  71. Woolf describes Lily’s artistic technique in the same way she described her own role as a psychological realist: “She went on tunneling her way int her picture, into the past.”

  72. Lily learns to stand up to the enormous emotional power of Mrs. Ramsay by setting her own more independent course. In the process, she lets go of any mental conflict that she had with Mrs. Ramsay and intuitively understands the terrible price that Mrs. Ramsay point for her astonishing beauty.

  73. For her, the external world dissolves into a “deep basin of reality.” That reality is 1) subjective, 2) glimpsed only in the moment, and 3) related to the ordinary pains and struggles of everyday life.

  74. It needs to be “perpetually remade.” This artistic understanding must be continually re-interpreted and re-envisioned in the life of each individual. Each person must take responsibility for recapturing the joy of life and for imagining a world of possibilities, that are the best antidotes to the sense of purposefulness and aloneness that are also part of the human condition.

  75. Mrs. Ramsay’s perspective was so rigid, so static that she could only for brief moments embrace a deeper reality. For her, life was always the enemy. After her apotheosis, Lily is able to seize upon moments in life and to combine them in a personal picture.

  76. The ability to capture ordinary moments and their significance is not something that science or logical positivism can achieve. Living life is an art. Living life well involves an emotional, rather than an intellectual, response that combines mind and body. It required the ability to jump into life and embrace it in all its emptiness, without “a guide” or “shelter”. It involved recapturing one’s sense of adventure.

  77. Your answer goes here: _____________________________

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4. Subjective Reality: The Artist’s Journey Into the Interior

A. Introduction

The intellectual hero of the last module was Max Weber. Why? Because Max Weber: 1) understood that the world of scientific rationalism (positivism) could never encompass a human reality that was subjective and a social world that was inter-subjective. Neither logic nor the realistic investigation of our illogical imaginations could make sense of human life by themselves or in isolation. It was necessary not only to recognize that human understanding would always be inherently subjective, but also to affirm that this subjective reality could be made comprehensible by rational investigation. Weber and some of his contemporaries attempted to balance the rational and emotional sides of human nature.

The literary hero of the last module was the great novelist Dostoyevsky. In works like The Brothers Karamazov and Notes From the Underground, Dostoyevsky explored the inner reality of human beings with an accuracy that had never before been attempted. In the process, he showed how human beings were propelled by their instincts and emotions. Human values were forged in an emotional cauldron that could not be avoided, even if people tried to lock themselves away in a monastery like Alyosha. But that did not make human ethics meaningless or relativistic. Dostoyevsky saw the human mind (the only true reality) as a battle between reason and emotion, good and evil, light and darkness. By following the promptings of conscience and seeking a balance between intellect and feeling, the brothers Karamozov were able to achieve redemption.

The intellectual world of Weber and the literary/ethical world of Dostoyevsky were characterized by acute tension. That tension was mirrored in the consciousness of Western civilization generally, especially in the period between the 1890s and the 1930s. It was a highly precarious balancing act. The best social thinkers and literary writers of the early twentieth century “were obliged to walk the edge of a razor.” The formerly universal confidence in reason and ethics was reduced, hedged in by the new psychological understanding of the sub-consciousness and a new history that questioned the existence of absolute human facts.

Cultural tensions are hard to sustain, even among those whose job it is to understand and articulate complexities. If you have had a difficult time understanding the subtleties of European consciousness in the period between 1890 and 1930, then you will appreciate how difficult it was for these ideas to maintain a foothold in Western culture. There was always the temptation for Western writers to veer off to one side or another. Those who continued to advocate realism were inclined to explore the human mind – the ultimate reality – without the ethical shackles of good or evil. Others went in a different direction, to produce literature that was fantastical – that relied entirely on the imagination, without any need of a foundation in reality. Some favoured an imagined reality of the past; for the first time since the Romantics, nostalgia for things past became a cultural movement. Those who believed in reason could take a number of paths. Some still clung to a positivist belief in reason and progress. Others adopted the new approach developed by Bertrand Russell and Ludwig Wittgenstein that came to be known as logical positivism. A logical positivist approach limited philosophy and science to a very limited number of certain rational propositions (often expressed in mathematical form) and suggested that even to discuss other issues was as silly as it was unscientific. “Whereof one cannot speak,” said Wittgenstein, “thereof one must be silent.”

B. Cultural Relativism

Perhaps the most identifiable cultural thread that began to penetrate Western thinking from the beginning of the twentieth century, and probably the one that you are most familiar with, was cultural and ethical relativism. The crisis of Western consciousness significantly eroded the confidence that Europeans had in their civilization and values. In this climate, it became more common for people to consider these values to be relative to a particular time and place.

Relativistic thinking could take pessimistic and optimistic forms. On the one hand, if values were impermanent and transitory, this allowed individuals a great deal of freedom to do things like: 1) shake off the authoritarian values of their society; 2) enjoy the moment; 3) create and adopt new values in the way that one would fashions. Instead of continuing to privilege a canon like classical music or European literature, one could now legitimately espouse jazz and popular music or explore the literature of other non-Western civilizations. There is no doubt that many found the new cultural freedom exhilarating.

Another, and more characteristic approach at the deep level of European culture, was a sense of meaningless and hopelessness. T.S. Eliot’s poetry, with its cultural wasteland and hollow men with heads filled with straw epitomize the sense of loss that many writers felt as the old verities were eroded. This cultural despair or sadness was most prevalent among German academics and intellectuals, but it also found a home in popular culture across Europe during the twentieth-century. Indeed, the feeling that the world had changed for the worse – so different from the widespread positivism of the nineteenth century – permeated European society at many levels and helps to explain the widespread euphoria that greeted the outbreak of World War I. The feeling that war would purify society and rid the west of cultural tension was naïve, but it reflected a heartfelt desire to escape from a world where everything had become relative.

Today, you and I are much more comfortable with relativism that the writers of the early twentieth century were, although I dare say many of you will be disturbed at the relativistic thinking and tendency to privilege ambiguity in modern cultural studies at this University. Part of the reason we are more comfortable with relativism is that we are more accustomed to rapid change than the people living a century ago. The changes that took place during the early twentieth century were much more rapid than any that had occurred earlier in history. These were years of considerable unrest and civil conflict in most European countries. From 1905 on, the balance of power in Europe was threatened by one diplomatic crisis after another. In 1905, and again in 1918, Russia experienced a revolution that transformed an entire society and brought into question the liberal values of freedom and debate. Socialist movements, based upon economic conflict rather than rational discussion, consequently gained momentum across Europe The rise of imperialism allowed people to view different cultures with radically different non-European values. The abuses and criticism of colonialism showed that many sacred European beliefs were little more than tools of class and cultural oppression. In the economic domain, technological development and urbanization, began to transform a still predominantly agricultural society of like-minded neighbours into a much more alienated and diverse grouping of individuals.

And yet, none of these events alone explains the sadness that settled into European life – at many levels – during the early twentieth-century. The lament was a cultural one. Everywhere, people were searching for ideals that they could believe in. There was a universal sense of a lack of direction that accompanied the new relativism. The level of uncertainty was so intense that many yearned for something to happen, for a goal or a leader that they could follow. The need was such that, when World War I broke out, there was an “intoxicating sense of physical and spiritual liberation”. Similarly, the attraction of Fascism between the wars cannot be explained solely by factors like economic depression. The Fascists had a cult-like appeal for those who were searching for some meaning in a seemingly meaningless and relativistic world.

C. The Privatization of Literature

Throughout the twentieth-century, there were writers who carried on the European tradition of searching for the links between the rational and the irrational sides of human nature. For all the problems that rationalism and realism had inflicted on Western culture, many writers still searched for an ideal and rational humanity in the labyrinth of human emotion. However, the early twentieth century was the period when imaginative literature began to set itself a new path by separating itself from cultural and social thought. What is more, the new realistic literature of the twentieth century also divorced itself from its traditional ethical function. By the First World War, Dostoyevsky’s description of the soul as a spiritual/ethical battlefield had become decidedly old fashioned.

The ethical function of imaginative literature was not totally eclipsed but was watered down into something much more trivial than Dostoyevsky’s eternal questions. In Marcel Proust’s Remembrances of Things Past, for example, we discover a typically sad European writer attempting to reconnect by memory with the warm and affectionate feelings of a childhood in which he was shielded from the unpleasantness of an ugly world. In writers like Proust, ethics is reduced to the recognition that, despite all the meaninglessness and brutality of modern life, kindness and human feeling still survive. Needless to say, this ethical germ is totally dwarfed by the Christian, Humanist or Enlightened conceptions of moral persons in either a spiritual or earthly brotherhood. For some modern writers, who feel unabashed scorn for their fellow men, even this small remembrance of an ethical universe may be lacking.

The imagined world of modern literature is highly private and relativistic. In some writers, these characteristics were pushed to an extreme. For example, Luigi Pirandello’s Six Characters in Search of an Author (1921) describes a group of individuals, each of who have their own private logic that is incompatible with the internal logic of the other characters. Not only do these individuals have a different and opposing reality from one another, but also their own sense of reality continually varies from day to day. Each of them creates a fragile private universe that they constantly need to maintain in order to give their lives a meaning. Even in the face of massive contradictions, they continue to deny logic and reason in order to sustain “the passionate conviction of individual truths.”

Pirandello completely explodes the rational world by showing what happens to someone who has his/her imagined world taken away. The protagonist of his play Naked, for example, loses all her dignity and respectability and asks to be left to die. This and other characters may live in inter-subjective universes, and they certainly want to be socially respectable, but the best they can do is “maintain some semblance of ordered existence.” Ultimately, Pirandello suggests, we are alone in the universe. He even deprives his actors of a coherent self that they can cling to. This unsentimental and realistic writer not only has exposed logic as a trick of the imagination, but also the self as a shifting entity devoid of serious meaning. All that’s left is their longing to rejoin humanity in a world where real human communication is impossible.

The privatization of literature took a separate path from intellectual life generally. During the 1930s, a younger generation of intellectuals began to reject the increasingly subjective universe that European thought had created. Rather than returning to the balancing act of Max Weber, many called for a return to the rationalistic ideals of the Enlightenment or pointed to a new tradition of engaged relationism and pragmatism. In the process, writers such as Julien Benda were willing to ignore the subtleties and complexities of several generations of intellectual development in the West and to attempt a new and more optimistic, if somewhat less idealistic, approach to the European search for certainty. In this environment, the concept of the unattached and contemplative intellectual fell out of favour.

The impact of these cultural developments on imaginative literature was negligible. Why? Writers, especially novelists, had by now discovered a new subjective reality that provided much greater scope for realistic exploration and technical innovation. For the novelist, the private world of the individual offered an uncharted domain. In order to explore that domain of consciousness to any considerable extent, the author had to abandon any traditional role as the narrator of objective facts. The critical issue for the modern writer centers on the imperative of realistic characterization. Regardless or not of whether an objective reality exists, realistic characters can only be developed fully if the writer takes the road interior.

The novel was developed in order to explore the individual and the self. For at least three centuries, the individual was the focal point of European culture. For most of this time, the individual was presumed to be rational and linked to a mechanical universe governed by the laws of cause and effect. Human nature and nature were linked in a progressive movement towards a rationale and humane society. When human reason was exploded, particularly after the 1890s, the imaginative writer could not easily turn back the literary clock. The individual and the self now had become the shrine at which most imaginative literature worshipped. Given a choice between giving up the individual and exploring the subjective reality of the self, most writers opted for the latter. In the process, they continued to affirm the cultural hegemony of the self (possibly the divided, confused or deluded self), even in a world where the independent thinking individual was an anachronism.

D. The Existential Self

The one area where philosophy and literature did come together for a time was a highly influential movement called existentialism. Existentialism began between the two world wars and became very fashionable after World War II. The most fascinating thing about this marriage of philosophy and literature was its highly artificial and arranged character. Existentialism is not so much modern philosophy as a series of ethical propositions framed in philosophical terms. Existential literature is not so much modern literature as an attempt to describe and resolve the dilemma of the self in a meaningless world. Existential literature and philosophy are beset with problems when taken in isolation, but, when taken together, they become a powerful and enduring cultural force.

For our purposes, existentialism reflected the “disintegration and dissolution of external realities” much more than it advanced a recognizably modern and realistic exploration of human consciousness. Because its main focus was ethical and philosophical, it did not contribute to a literary methodology for exploring consciousness. The closest that existentialism came to even suggesting such a methodology was Jean-Paul Sartre’s discussion of bad faith. However, the possibilities for literary realism inherent in such concepts as self-deceit and bad faith were effectively nullified by Sartre’s attempt to develop a humanistic ethics based on authenticity, integrity and responsibility. No modern literary explorer of human consciousness would allow herself to restricted by such an agenda.

Many of the key existentialist writings were not composed by individuals who would have called themselves existentialists. But these writings are touchstones because they symbolize the revolt against reason that triggered the exploration of the self and its subconscious. Dostoyevsky, in particular, brilliantly described the existential condition of the underground man in his classic Notes From the Underground. The underground man, faced with the negation of human life and human civilization, retreats into his individual consciousness. The primary reality for Dostoyevsky’s underground man is subjective and autobiographical. The only thing that the underground man can know with any certainty is himself as pure consciousness.

This extreme consciousness of self, however, leads the underground man so deeply into his inner world that society becomes completely secondary. Despite any self-loathing that comes from exploring ones passions and motives, the underground man is rarely inclined to embrace the real life of society. Real life in the world is no longer natural for him, because he knows that it consists of social conventions and artificial roles that mask man’s true identity as a thinking but not completely rational animal. Ultimately, only the consciousness of self is real in a chaotic and meaningless world.

For Dostoyevsky, the dilemma of the underground man was a modern problem to be solved by spiritual faith. For many writers after Dostoyevsky, however, the religious solution was unacceptable and the fundamental existential question remained unresolved. That existential question — how are we to comprehend human nature in an irrational world — is answered by the practice of the underground man. The underground man looks at life with clear eyes and accepts it for precisely what it is, in all its horror. This means being willing to adopt an introspective approach and to walk on the path interior. The existentialist man looks deeply within himself in order to understand his own nature. The existentialist/underground approach means advocating psychological rather than social realism. Only by intensely examining one’s inner consciousness, without shunning the nausea that regularly occurs, are we practicing psychological realism.

When Socrates advised his followers to get to know themselves, he meant that they should use their reason. When Dostoyevsky’s underground man gets to know himself, we are exposed to raw nerves. Psychological realism illuminates human beings as egotistical, spiteful and petty creatures. Existential psychology cannot fail to expose human dread and human guilt.

We need to distinguish this introspective/psychological approach from much of what passes for clinical psychology. The latter is a set of cause and effect abstractions that can never realistically capture the complexity of the individual. Dostoyevsky’s underground man caricatures the science of psychology in the following way:

“Possibly,” you will add on your own account with a grin, “people will not understand it either who have never received a slap in the face,” and in that way you will politely hint to me that I, too, perhaps, have had the experience of a slap in the face in my life, and so I speak as one who knows. I bet you are thinking that. But set your minds at rest, gentlemen, I have not received a slap in the face, though it is absolutely a matter of indifference to me what you think about it.

Academic psychology, therefore, is just another rationalistic system that obscures the complex reality of the individual, primarily by trying to blame an individual’s pain on his or her past experiences. But the real individual can only be known by affirming all the suffering, dread, and extreme states of mind that are contained within human consciousness.

That is precisely why existentialist anti-heroes like the underground man can only be understood in terms of his own highly personal experience. This extreme emphasis on the subjective world of the individual – as the most meaningful way of understanding the human condition – is a fundamental characteristic of existentialism. But this introspective approach is not confined to those who call themselves existentialists. It has found its way into modern art and literature generally, wherein the individual headspace now has become the supreme reality.

Existentialism had a major influence on the development of psychological realism in art and literature. Ironically, the existentialists themselves have not explored the path interior to anywhere near the extent that might be expected. Ultimately, existentialism is weighted down by its concern to establish an ethical framework for living in a meaningless world. In a world that is not intrinsically moral, the existentialist challenges humans to create their own ethical meaning for life. This moral belief can be expressed negatively or positively. In The Rebel, the existentialist philosopher Albert Camus argues that the existentialist man or woman must attempt to avoid ethical systems or extreme actions. Every ethical action is an individual choice, for which the individual has to accept full responsibility. Friedrich Nietzsche wanted to create a new ethical paradigm that went beyond traditional notions of good and evil in order to affirm human creativity and an intense identification with life. Camus was concerned about the negatives associated with wrong behaviour; Nietzsche wanted to give modern life a new and more positive direction.

Existential ethical frameworks are guides to action in a problematic world. The difficulty lies in the fact that existential ethics continually runs up against the brick wall of human nature. The introspective approach shows that man does not operate in accord with moral absolutes, but is a contradictory creature, full of all sorts of opposing elements that can be most accurately described in a stream of consciousness. The best that existentialist ethics can do is to offer tentative suggestions that seem to accord with some of the more desirable features of our nature.

Without diminishing the importance of the existentialist ethical agenda, it clearly limits the freedom of writers to realistically explore consciousness. When a writer is continually striving to affix an ethical meaning to live, no matter how tentative, he or she is taking a distinctly different route from someone who is interested in describing the interior reality in all its complexity. Thus, in Jean-Paul Sartre’s famous novel The Wall, the tension revolves around different approaches to dealing with death and the destruction of one’s personal universe. If one fights against death emotionally and irrationally, like the character Juan, one practices a form of self-deceit. If one faces his or her demise maturely, like the character Ibbieta, such an individual can maintain personal integrity, even in a meaningless world.

Despite the fact that the ethical elements in The Wall are muted, nevertheless they get in the way of the realistic representation of reality. Writers like Sartre and Camus have such a need to affirm humanist values in a Godless world, that they cannot easily develop new techniques for examining consciousness. Sartre moved from literature and the imaginative construction of reality into philosophy in order to work out his ethical agenda. Other writers, however, who were eager to describe the horrors of consciousness, or who were willing to settle for a mildly sympathetic rendering of individuals experiencing the pain and confusion of existence, were able to develop much more sophisticated techniques for representing consciousness.

E. Literary Subjectivists

In the most technically advanced modern writing, objective reality almost disappears. The narrator is interested only in reflecting on “the consciousness of the dramatis personae.” In other words, the best modern novelists explore the subjective reality of their characters. Often, there isn’t even an objective reality outside of the novel to which we can clearly point in order to compare or contrast that reality with the psychological reality of the characters. Any external realities that we find are usually reference points that have impacted upon their minds.

The narrator now relinquishes the role of storyteller or arbiter of the drama. The author appears to merely eavesdrop on his or her characters. When an authorial voice appears, it is never authoritative or judgmental, but more typically doubting and questioning. The author’s attitude towards his or her subject matter has changed. Whereas earlier authors – such as Dickens, Balzac or even Dostoyevsky — interpreted the “actions, situations, and characters” of their subjects, many modern novelists are concerned “to render the flow and the play of consciousness adrift in the current of changing impressions.

Another major difference characteristic of this new approach is that the world described by these authors is that all the characters relate to one another subjectively. Everyone in the novel – not simply the individualistic hero or underground man inhabits the world of his or her own consciousness. Characters relate to one another through a “multiperson representation of consciousness”; the entire world of these novels in inter-subjective. Because the reality being described is inter-subjective, it is not bound by time and space. Minds can wander over an entire lifetime in a matter of seconds. Someone can wander through a myriad of mental associations in the time it takes to change the sheets or measure a stocking. The wandering itself can be random and dreamlike, since it is not subject to the external world where events are contingent upon one another

Measuring a stocking may sound like a trivial exercise, but another characteristic of modern writers is that they focus on the ordinary events of life. In their attempt to render or mirror consciousness, modern authors have no need of exterior events or even dramatic tensions. The point of literary departure is “nothing but an occasion” that can be as simple as seeing whether a stocking fits. The important thing is not the event that triggers the wandering of consciousness, which can be entirely accidental, but what is released in consciousness when it begins to wander.

For many modern writers, Proust in particular, the most important wanderings of consciousness are triggered by seemingly insignificant occurrences. Something relatively small – a smell or a touch – can unleash an entire world of one’s childhood. That private and personal world has more significance for the individual than political events, economic transformations, or anything that will occur later in one’s life. These memories are the “layers” through which the present is filtered. They are inherently subjective; but this subjectivity is more real for the individual than any external fact.

Just because these memories are confined to the consciousness of the individual does not make them any the less complex. The individual’s subjective reality is constantly shifting, depending on the particular perspective adopted. Thus, it is difficult to pin down anything like a character. Moreover, as others, including the author, comment from their own subjective vantage point, personality becomes measured on a continuum. This ambiguity and fragmentation of personality makes it very difficult for the reader to follow a “definite thread of action” or to identify completely with any of the dramatis personae.

The best modern authors want to break away from chronological order, objective reality, or dramatic twists of plot for a very good reason. Any of these traditional approaches to novel writing will only serve to distract the reader from the most important task – i.e. opening up the play of consciousness. Modern authors, and indeed many modern academics, seek to escape the tyranny of “great exterior turning points and blows of fate” in order to yield more “decisive information concerning the subject.” Thus, not only modern novelists, but modern historians will focus on a seemingly trivial event, like the killing of a few cats in seventeenth century France, in order to see what it reveals about the mentalité of ordinary people living at the time.

The new subject matter of the modern novelist is our own self, and the new techniques that writers and scholars use to get at the self are:

  1. describing the individual stream of consciousness;
  2. representing multipersonal and inter-subjective consciousness;
  3. disintegrating the continuity of external events;
  4. continually shifting personal and narrator viewpoints;
  5. rendering time and duration subjectively;
  6. ignoring any attempts at completeness or describing a whole;
  7. focusing on random, trivial, and accidental moments;
  8. presenting life as a continuum, where the observer can step in at any time;
  9. documenting a random reality that is hazy, vague and bereft of anything but subjective meaning;
  10. privileging the reality of everyday life.

What is particularly interesting about these techniques is their universality. Of course, not every writer has adopted these modern motifs. But a large number of modern writers certainly have, some great like James Joyce and some merely competent. Certainly most modern writers who have striven to gain a reputation have used at least a few of them.

F. The Brown Stocking

One great modern writer who uses most of these techniques is Virginia Woolf. In her novel To The Lighthouse (1927), Woolf provides her readers with a clinic on how to write in the form of random realism. This classic passage is taken from section 5 of the opening chapter entitled “The Window”, sometimes called “The Brown Stocking” because the central character is knitting a brown stocking that she will take for the children who live at the Lighthouse. The central character is Mrs. Ramsay. She’s knitting in a room with her son, who she uses to measure the length of the stocking. Her son wants to go to the lighthouse desperately, but he’s concerned because they wont go if the weather is bad. Mrs. Ramsay is annoyed at her husband who has unnecessarily upset the boy by saying that the weather “won’t be fine.”

Obviously, the event and the activities are entirely insignificant in the great scheme of things, but they are the occasion of Mrs. Ramsay wandering into a stream of consciousness. The only external realities we know are that Mrs. Ramsay is the wife of a London professor. She’s sitting in a room in a summerhouse in the Hebrides and there are also a number of houseguests around. The main events that occur are Mrs. Ramsay consoling her son James; making James stand still while she measures the sock against his leg; James being a bit fidgety; Mrs. Ramsay discovering that the stocking is too short. In these brief moments, however, a major inner process occurs in Mrs. Ramsay’s mind. In addition, incorporating other people’s subjective realities creates an entire inter-subjective world. Finally, the author interjects, not to judge or to evaluate, but merely as another subjective observer of a subjective world.

There hardly exists any real exterior world outside of the subjective reality of the characters. Mrs. Ramsay begins thinking about the shabby furniture in the room and wonders whether or not she should improve it. But this merely triggers a host of other associations, including ruminations on the children’s messy hobbies or the tragedy of a Swiss maid who is melancholic for home and her dying father. Instead of these mental pictures leading to a plan or purposeful action, the only thing they lead to is personal “exasperation”. This allows the author to intrude without any introduction whatsoever, as though none was necessary, and as though the traditional conventions of narrator and subject could be ignored. The author is going to say that Mrs. Ramsay looked very sad. But clearly this is just a subjective impression, and only one among many in the passage.

This intervention only becomes meaningful as the personality of Mrs. Ramsay unfolds. But it is a highly complex personality. We only get glimpses of and insights into Mrs. Ramsay as a formerly beautiful and highly intelligent person who seems to have a sense of regret. There is elegant simplicity and genuineness to this character, but ultimately she is intangible. We don’t really get to know her. Even as her mind wanders, and the author introduces the subjective evaluations of Mrs. Ramsay by others who admire or admired her, we still don’t get any line on the sadness in Mrs. Ramsay’s still beautiful face. All we ever get to know is that there is something strange, fascinating and deep about her.

Mrs. Ramsay doesn’t even know herself, apart from some insights gleaned from others. Like many people, she spends most of her life engaged in trivial everyday tasks that allow her to hide from who she is. Mr. Bankes, who thinks her one of the most beautiful and fascinating people he’s ever met, also gives up trying to figure out this enigmatic character. Even her obvious love, mixed with temporary irritation, for her son James is anything but “natural and simple”. She clearly is not a symbol of motherly love. Ultimately, her motives are unknowable. Her individual consciousness is hazy and indeterminate. The intervening author does not know her, nor do the other “people” who have attempted to “discover” the real Mrs. Ramsay.

Woolf plays with time in her attempt to create random realism. Twice, she measures the stocking against James’ leg. Those actions are described tersely and briefly, because they are of no great importance. In between, her mind wanders through an inter-subjective universe. This journey is full of interludes and containing something very modern – the flash back. The nature of the journey is entirely uneventful; it is a natural and purposeless description of the free flow of consciousness. There is no external reality holding any of these subjective wanderings together, only the vague notion of a sad and slightly mysterious lady.

Of course, the lady herself is interesting to us. But we need to be clear what we mean by interesting. She is no longer so beautiful that she can play the role of a goddess. While intelligent, her mind is confined mostly to everyday things. She has no dramatic role to play; she is not a model or an example. She’s really not much different from many everyday people, whose lives and dreams may have gone in different directions. But even that we don’t really know. Sure, Mrs. Ramsay is a bit of an enigma, but only in the sense that her sadness attracts our sympathy. But even our sympathy is limited because she is not a traditional everyman with whom we can identify.

And yet, this person holds the serious reader’s complete attention because we get a fleeting glimpse into the depths of her consciousness. We are aware of gaining some genuine insights into the deeper subjective reality of Mrs. Ramsay. Somehow, we don’t feel cheated that our own subjective impression of Mrs. Ramsay is still very partial and confused. For us moderns, who are comfortable with ambiguity, this trip into Mrs. Ramsay’s consciousness seems more satisfying that Dostoyevsky’s much more definitive exploration of the soul of his characters. The realities of the modern world are gray, and Dostoyevsky, for all his complexity, strives for a black and white understanding that eludes us.

Dostoyevsky struggled to provide his readers with meaning in a seemingly meaningless world. He discovered a higher reality in the human soul and he pioneered the technique of psychological realism to explore its internal battle between light and darkness. Modern European authors don’t have the same need for closure or completeness that Dostoyevsky evidenced in The Brothers Karamazov. We moderns are much more accepting of the enigma that is consciousness. All that is left of the anguished revolt against the centuries old alliance of reason and realism is a lingering sadness. That sadness is perfectly exhibited in the character, or rather the person, since she does not have a definitive character, of Mrs. Ramsay. The famous intellectual and professor of romantic languages, Erich Auerbach, describes it perfectly:

We never come to learn what Mrs. Ramsay’s situation really is. Only the sadness, the vanity of her beauty and vital force emerge from the depths of secrecy. Even when we have read the whole novel, the meaning of the relationship between the planned trip to the lighthouse and the actual trip many years later remains unexpressed, enigmatic, only dimly to be conjectured… It is one of the few books of this type which are filled with good and genuine love but also, in its feminine way, with irony, amorphous sadness, and doubt of life. Yet what realistic depth is achieved in every individual occurrence, for example the measuring of the stocking! Aspects of the occurrence come to the fore, and links to other occurrences, which, before this time, had hardly been sensed, which had never been clearly seen and attended to, and yet they are determining factors in our real lives. What takes place here in Virginia Woolf’s novel is precisely what was attempted everywhere in works of this kind (although not everywhere with the same insight and mastery) – that is, to put the emphasis on the random occurrence, to exploit it not in the service of a planned continuity of action but in itself. And in the process something new and elemental appeared: nothing less than the wealth of reality and depth of life in every moment to which we surrender ourselves without prejudice.

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