1.1 UpÄy in the Lotus SÅ«tra
The idea of upÄya, usually translated as skillful means,1 plays a large role in MahÄyÄna Buddhist ethics and epistemology, where it used to motivate hermeneutic practice, to sort out ethical conundrums, and to defend a particular approach to moral psychology and phenomenology. It comes to provide an overarching conception of what it is to live well, to live a virtuoso life of skilled perceptual and ethical engagement, and so can be seen as providing one vision of the nature of awakening, particularly in the context of a nondual understanding of samsara and nirvanaāan understanding according to which there is no ontological difference between them.
Despite the centrality of this idea in MahÄyÄna thought, it plays virtually no discernible role in pre-MahÄyÄna Buddhist literature, except perhaps by implication. UpÄya is mentioned briefly in a long list of qualities to be cultivated in the SuttanipÄta and gets one brief mention in the TherigÄta. Beyond that, only the frequent mention of the metaphor of the raft to describe the need to discard the Buddhaās teachings once one has achieved awakening, just as one discards a raft after using it to cross a river, can be taken as indicating the role of upÄya in early Buddhist teachings.
The Lotus SÅ«tra, an early MahÄyÄna text (possibly 1st or 2nd century BCE), is probably the earliest text that specifically thematizes upÄya and takes it to be an essential ethical and pedagogical skill. The sutra deploys the example of a man whose children are in a burning house but who are oblivious to their danger and reluctant to leave. He lures them from the house by offering them various toys, none of which he actually can deliver to them. The sutra compares the probity of his using a falsehood to save the childrenās lives to a bodhisattvaās use of Buddhist teachings that are not literally true to educate beginning disciples in Buddhist philosophy.
The Buddhist canon contains many sets of doctrines that are mutually inconsistent, and which are canonically arranged in a hierarchy from the most elementary to the most advanced, with only the most advanced regarded as literally true, or definitive in meaning (nithÄrtha), while the others are regarded as only provisional (neyÄrtha), to be abandoned when one is sufficiently advanced to understand a higher-level teaching (much as one might be taught Newtonian physics as true, as a prolegomenon to relativistic physics). The bodhisattvaās ability to select the right teaching for the right disciple, as opposed to trying to teach the definitive doctrine to everyone, is valorized in this sutra as upÄya, skill in teaching.
But we might equally note that the fact that the behavior of the father is praised despite the fact that it violates the precept against lying indicates a more literal understanding of upÄya at work, that in the ethical domain. Ethical conduct itself is regarded as requiring skill and judgment, and cannot involve merely following rules or conforming to precepts. The Lotus thus valorizes upÄya in at least two domains, that of teaching doctrine, and that of ethical conduct.
So much for background. We will begin what we have to say about upÄya with a discussion of the ways in which skill is treated in the Indian Madhyamaka and YogÄcÄra Buddhist traditions. We will then consider the way skill is treated in the Chinese Daoist tradition. This sets the stage for an examination of how these conceptions of skill inform the martial arts traditions of East Asia which emerge from this philosophical matrix. Finally, we turn to a treatment of the larger picture of skill as underlying an ethical life, as understood from these Asian perspectives.
1.2 UpÄya in teaching: the VimalakÄ«rtinirdeÅa-sÅ«tra and Saį¹dhinirmocana-sÅ«tra
UpÄya is a central theme of two MahÄyÄna sutras.2 The VimalakÄ«rtinirdeÅa (The Teaching of VimalakÄ«rti, henceforth VKN (Thurman 1976)) takes it as its principal topic; in the Saį¹dhinirmocana (The Discourse Untangling the Thought, henceforth SNS (Powers 1995)) it is introduced only as a hermeneutical device to explain the relationship between the three cycles of Buddhist teachings distinguished in that text. Although it is a later text, it will be convenient to begin with the SNS. The SNS addresses a hermeneutical question posed by the fact that Buddhist sutra literature is apparently an inconsistent corpus, with the Buddha asserting some things in one sutra that he denies in others. The SNS resolves this conundrum by sorting this literature into three collections, referred to as the three turnings of the wheel of dharma, and by arguing that these are progressively more sophisticated articulations of Buddhist doctrine. The sutra does not, however, argue that the Buddhaās own thought evolved, since that would be to deny his omniscience; instead, it argues that the Buddha, being a highly skilled teacher, produced three sets of teachings, each ideally suited to a different audience. Skill here is explicitly pedagogical skill, and it consists in being able to adjust oneās speech and approach to oneās audience.
The VKN, on the other hand, develops an expansive theory of upÄya and its role in all of life. Indeed, the two central themes of the sutra are upÄya and nonduality, and, by linking them, the sutra makes a case for the nonduality of upÄya and awakening, a case that sets the stage for much of the Chan/Zen traditionās discourse about the nonduality of practice and awakening, the fact that genuine practice is already a manifestation of awakening, and that awakening can only be manifested in practice. VimalakÄ«rti himself, the hero of the sutra, is a layperson valorized for his mastery of upÄya. He is a businessman, but earns money as a lesson to others, and for their benefit; he hangs out in bars and brothels, but does so to benefit others, etc. His life is described as one in which every action he performs and every word he speaks is a manifestation of perfect upÄya, and this constitutes a complete union of ordinary life and awakened consciousness. Awakening, then, according to the VKN consists in a kind of spontaneous, skillful engagement in, rather than a withdrawal from, the world.
A striking illustration of this idea is the most famous moment in the sutraāVimalakÄ«rtiās ālionās roar of silenceā at the culmination of the ninth chapter. The scene for the sutra is VimalakÄ«rtiās house, now occupied by large assemblies of monks who follow the ÅrÄvakayÄna, or disciplesā vehicle (the first turning sutras, if we follow the classification introduced in the SNS) and a large assembly of bodhisattvas (followers of the second). The VKN itself is a second turning (MahÄyÄna, or Great Vehicleāa term comprising the second and third turnings) text, and is part of a body of literature that disparages the disciplesā vehicle as HinÄyÄya (an inferior vehicle) and a great deal of the sutra involves scenes that are meant to show the superiority of the bodhisattvas of the MahÄyÄna over the monks of the ÅrÄvakayÄna. These are often followed by demonstrations that VimalakÄ«rti, the embodiment of upÄya, surpasses all of the bodhisattvas, enshrining the idea that skillāunderstood as the union of wisdom and practiceāis the highest form of awakened knowledge.
Before we get to the dĆ©nouement of this chapter, let us consider a bit more context. In the seventh chapter of the sutra, an amusing episode is reported in which, in the midst of a complex philosophical debate, a goddess pops out of a closet in VimalakÄ«rtiās house. This poses a problem for the ÅrÄvakayÄna monks, who are not supposed to be in houses with women present. ÅÄriputra, renowned as the wisest of the ÅrÄvakas, enters into a discussion of this issue with the goddess which leads, after some amusing incidents involving flowers and miraculous gender reassignment surgery (all manifestations of the goddessā upÄya) to ÅÄriputra being asked a difficult question about how long he has been awakened.
The question is skillful because it gives poor ÅÄriputra no way to answer. If he speaks, he will be using language to characterize the inexpressible, and will be distinguishing awakened from non-awakened consciousness, in the context of a sutra whose very point is the nonduality of the ordinary and the awakened states; if he is silent, he does not answer a straightforward question.3 ÅÄriputra walks into the trap, taking the horn of silence. When the goddess chides him for not answering, he replies that since awakening is inexpressible, there is nothing he can say. She then ridicules his lack of upÄya, noting that the Buddha himself said plenty of stuff. Silence, when you are asked a direct question, she suggests, is not skillful.
The ninth chapter opens with VimalakÄ«rti asking an assembly of bodhisattvas how one enters āthe dharma door of nonduality,ā that is, how one achieves a nondual understanding of reality, an understanding in which the distinction between subject and object is not thematized, and in which distinctions between apparently contrary phenomena (good and bad; conventional and ultimate; freedom and bondage; etc.) are not seen as reflecting reality, but rather our conceptual superimpositions on reality. After a long sequence of perfectly good replies by the assembled adepts, VimalakÄ«rti turns to MaƱjuÅrÄ«, the celestial bodhisattva who embodies wisdom and asks him to comment. MaƱjuÅrÄ« replies that while all of the answers were fine, they are all deficient, because each of them is expressed in language, a medium that itself embodies and reinscribes duality. This, in itself, is an indictment of the bodhisattvas for a failure of upÄya. The problem, MaƱjuÅrÄ« indicates, is not with what the bodhisattvas said, but in how they said it. Their method undercuts their message. The only way to really communicate nonduality, he says, is to remain silent. So far, so good.
MaƱjuÅrÄ« then turns to VimalakÄ«rti and asks him for a comment. VimalakÄ«rti remains silent, a silence received with enormous admiration by all present. MaƱjuÅrÄ«, chiding the other bodhisattvas for undermining their own explanations through the unskillful use of language, we now see, despite having himself spoken the truth about their failure to live up to the truths they articulated, was just as lacking in skill as were they, using language to say that only silence is appropriate as a way to communicate nonduality. Only VimalakÄ«rti, who remains silent, demonstrates real upÄya here. Even though what he says, and what MaƱjuÅrÄ« says are exactly the same, his silent affirmation is skillful; MaƱjuÅrÄ«ās explicit statement of exactly the same thing is not.
But wait! Wasnāt ÅÄriputraās silence just the same? A refusal to say anything when language could only undermine what one wants to say? Why was the first silence unskillful and the second skillful? The juxtaposition of these two silences is the heart of the sutra. ÅÄriputraās silence has no context; it is unskillful because he is unskillful, and has been maneuvered into a spot where there is no right thing to say or to do. VimalakÄ«rtiās silence is skillful precisely because MaƱjuÅrÄ« provided the context for him. His silence could be articulate because its content was already available. The silences are the same; their circumstances differ and so their meanings do as well; similarly, the meanings of MaƱjuÅrÄ«ās speech and VimalakÄ«rtiās silence are the same; but in the context, only one can be skillful (and, like ÅÄriputra, MaƱjuÅrÄ« had no good options: speaking opened him up to VimalakÄ«rtiās critique just as silence opened ÅÄriputra to that of the goddess). Everything is in the timing, the circumstance, the context. To pay attention to figu...