Refuge and Precepts

When a person recognizes that they cannot navigate alone — that the path is too vast, the dangers too real, the confusion too deep — the natural response is to seek help. This is what refuge means. Not passive surrender but intelligent humility: acknowledging that you need a guide, a path, and companions who have walked it before you.

With loving-kindness and compassion now cultivated, the path turns toward bodhicitta — the wish to achieve Buddhahood for the benefit of all beings. But bodhicitta needs a foundation, a ground to stand on. That foundation is refuge in the Three Jewels. Gampopa establishes it through four elements:

1. Belonging to the Mahayana family
2. Taking refuge in the Three Jewels
3. Maintaining one of the seven pratimoksha vows
4. Having aspiration bodhicitta

These form the foundation from which to cultivate action bodhicitta. A person with the qualities up to taking refuge is the basis for cultivating aspiration bodhicitta.

The logic proceeds step by step:

• Aspiration bodhicitta is required to cultivate action bodhicitta (Bodhisattva Bhumis)
• Refuge must be taken to cultivate aspiration bodhicitta (Lamp for the Path)
• A pratimoksha vow is required to cultivate action bodhicitta (Lamp for the Path)
• Refuge is necessary to receive a pratimoksha vow (Treasury of Abhidharma)
• Without the Mahayana family, one cannot receive the bodhisattva vow even through ceremony (Bodhisattva Bhumis)

Therefore, all necessary elements must be connected and gathered.

A. The Mahayana Family

This refers back to Chapter One. One should not only have the Mahayana family characteristics—natural gentleness, kindness, compassion—but belong to the "awakened family": those who have realized these inclinations and can act upon them.

Someone born in a non-Buddhist culture might possess Mahayana family characteristics yet never encounter the teachings. The awakened family means having both the emotional characteristics and the understanding to develop them.

B. Taking Refuge in the Three Jewels

What Are Proper Objects of Refuge?

Should one take refuge in powerful deities—Brahma, Vishnu, Mahadeva, or local gods dwelling in mountains, boulders, lakes, and trees? They cannot give refuge because they are not free from suffering themselves.

In sutra it says:

Worldly beings take refuge In the deities of mountains, Forests, shrines, Rocks, and trees. These are not the supreme refuge.

Should one take refuge in parents, relatives, and friends—those who are kind and benefit you? They also cannot give refuge. The Representation of the Manifestation of Manjushri Sutra says:

Parents are not your refuge. Relatives and friends are also not your refuge. They will go to their own destination And leave you.

Why can't these give refuge? To give refuge, one must be free from all fear and suffering. These beings are not free from fear and are in a state of suffering.

Therefore:

• Buddhas are the only ones completely free from suffering
• Dharma is the only path for the practice of Buddhahood
• Sangha is the only guide to Dharma practice

In sutra it says:

From today, take refuge in the Buddha, Dharma, and Sangha, Who protect those without protection And dispel the fear of those who are afraid.

The Sutra of the Great Parinirvana confirms:

By taking refuge in the Three Jewels, One will achieve the state of fearlessness.

The Nine Topics of Refuge

Classification, working basis, objects, time, Motivation, ceremony, activities, Training and beneficial effects— These nine comprise the explanation of taking refuge.

1. Classification

Two categories:

• Common refuge — The basic understanding shared with Hinayana practitioners
• Special refuge — The Mahayana understanding

2. Working Basis

Common working basis: One who fears the suffering of samsara and holds the Three Jewels as deities. Their understanding is not profound; they respond primarily to their own difficulties.

Special working basis: A person who possesses the Mahayana family and the pure body of gods or humans. They approach refuge with a more altruistic, inclusive perspective.

These are not exclusive—a person can mature from the first to the second understanding over time.

3. Objects of Refuge

a) Common Objects

Buddha Jewel: The Blessed, Exalted One who possesses the perfection of purification, primordial wisdom, and excellent qualities.

Dharma Jewel (two parts):

• Scriptures: The twelve aspects of Dharma (or condensed: sutras, Abhidharma, and Vinaya)
• Dharma-of-realization: The Truth of the Path and Truth of Cessation experienced through practice

Sangha Jewel (also two):

• Ordinary Sangha: A community of four or more fully ordained monastics
• Noble Sangha: The "Four Pairs" or "Eight Individuals"—those who have achieved the irreversible levels of Stream-Enterer, Once-Returner, Non-Returner, and Arhat (both entering and abiding on each level)

b) Special Objects of Refuge

Three categories: objects abiding in front of us, those with full realization, and suchness.

Objects abiding in front of us (during ritual):

• Buddha = images of the Tathagata
• Dharma = Mahayana scriptures
• Sangha = community of bodhisattvas

In a state of full realization:

• Buddha = embodiment of the three kayas
• Dharma = the peace of the precious, noble Dharma and nirvana
• Sangha = bodhisattvas who have attained the great bhumis

Regarding suchness: Buddha alone is the ultimate refuge. The Unsurpassed Tantra says:

Ultimately, only the Buddha constitutes a refuge for beings.

Why is Buddha alone the ultimate refuge?

Because that great victor is the embodiment of Dharma, Which is the ultimate attainment of the Sangha.

The Sage is free from birth and cessation, fully purified, free from desire, and has the nature of Dharmakaya. The assembly of the three vehicles attains perfection when it achieves the ultimate purity of the Dharmakaya.

Are Dharma and Sangha not ultimate refuge? The Unsurpassed Tantra says:

Neither both aspects of Dharma Nor the assembly of Noble Ones Constitute a supreme refuge.

Why not?

• Scriptural Dharma is merely assemblage of names and writings—like a boat that must be abandoned once one crosses
• Truth of the Path is composite, impermanent, and thus deceptive
• Truth of Cessation (for Hearers) ceases its continuity like an extinguished lamp
• Sangha itself fears samsara and goes for refuge to the Buddha

Therefore, Acharya Asanga said:

The inexhaustible refuge, the eternal refuge, the unchanging refuge, the ultimate refuge is only one—the Thus-gone One, the Foe Destroyer, the Complete, Perfect Buddha.

Does this contradict having three refuges? The Great Liberation Sutra says:

In brief, one refuge and three methods.

The three methods are laid out according to interests: teacher (Buddha) for those of the bodhisattva vehicle, teachings (Dharma) for Solitary Realizers, practitioners (Sangha) for Hearers—six persons according to three meanings.

4. Time

Common: From now until death.

Special: From this time until ultimate enlightenment is achieved.

5. Motivation

Common: Taking refuge with the thought of one's own unbearable suffering.

Special: Taking refuge with the thought of others' unbearable suffering.

6. Ceremony

Common ceremony: The disciple supplicates the master to perform the ceremony. The master makes offerings to the Three Jewels. If not possible, the disciple visualizes the Three Jewels in space, mentally doing prostrations and making offerings. Then repeating three times:

"Please hear me, all Buddhas and bodhisattvas. Please hear me, masters. My name is ___. From this time until I achieve enlightenment, I take refuge in all the Buddhas, the supreme beings among the 'two-leggeds.' I take refuge in the Dharma, the supreme freedom from all attachments. I take refuge in the Sangha, the most excellent of all communities."

Superior ceremony (three parts):

(1) Preparation: On the first day, a qualified master is offered a mandala with flowers and requested to perform the ceremony. If the disciple belongs to the Mahayana family and is a proper vessel, the master prepares the objects of refuge, performs offerings, and explains the beneficial effects of taking refuge and faults of not taking refuge.

(2) Actual ceremony: On the second day:

• The disciple visualizes the objects of refuge as actually present
• Does prostrations and makes offerings
• Repeats the refuge formula three times
• Then the full-realization refuge objects are invited; the disciple visualizes them present, prostrates, makes offerings, and repeats refuge three times with complete surrender
• Finally, prostrates and makes offerings to the suchness refuge object, free of the three spheres

The Naga King Anavatapta-Requested Sutra says:

What is taking refuge with a mind free from worldly activities? Those who realize all phenomena are nonexistent and have no form, no perception, and no characteristics see the Buddha perfectly. That is taking refuge in the Buddha. One who realizes all phenomena are the nature of Dharmadhatu is taking refuge in the Dharma. One who realizes that the composite and non-composite are non-dual is taking refuge in the Sangha.

(3) Conclusion: On the third day, offerings are made to the Triple Jewel with gratitude.

7. Activities

The Ornament of Mahayana Sutra says:

Protection from all harm, Freedom from lower realms and being unskilled, Freedom from the view that there is a person, and protection from the lower vehicles— Therefore, it is the noble refuge.

Common refuge protects from all harms, the three lower realms, unskillful means, and belief in an abiding person. Special refuge protects from the lower vehicles.

8. Training

Three general trainings:

1. Constantly make offerings to the Triple Jewel, even offering whatever one eats or drinks
2. Do not forsake the Triple Jewel even at risk of life or for great rewards
3. Repeatedly take refuge by recollecting the qualities of the Triple Jewel

Three particular trainings:

1. Having taken refuge in Buddha, do not take refuge in other deities
2. Having taken refuge in Dharma, do not harm other sentient beings
3. Having taken refuge in Sangha, do not rely on heretics

Three common trainings:

1. Respect the Buddha Jewel in every form, even a piece of a tsa-tsa
2. Respect the Dharma Jewel, even one syllable of the texts
3. Respect the Sangha Jewel, even a patch of yellow cloth

9. Beneficial Effects

Eight benefits of taking refuge:

1. One enters the Buddhist path
2. Refuge becomes the foundation for all other precepts
3. Refuge becomes a cause for purification of negative karmas
4. One cannot be thwarted by human and non-human obstacles
5. One accomplishes all that one wishes
6. One achieves the great cause of merit
7. One will not fall into the lower realms
8. One quickly achieves perfect enlightenment

C. Pratimoksha Precepts

The pratimoksha (individual liberation) precepts are divided into four groups or eight working bases. Excepting the upavasatha (one-day vow), any of the other seven should be taken as the working basis:

1. Bhikshu (fully ordained monk)
2. Bhikshuni (fully ordained nun)
3. Shiksamana (probationary nun)
4. Shramanera (novice monk)
5. Shramanerika (novice nun)
6. Upasaka (lay male follower)
7. Upasika (lay female follower)

From the Bodhisattva Bhumis:

Within the pratimoksha precepts, there are seven ways to take precepts perfectly... These are divided into lay persons and renounced.

Why Is Pratimoksha Required for Action Bodhicitta?

Three reasons:

1. Analogy: It is not proper to invite a great monarch to reside in a place with dung and dirt. Rather, one should clean and decorate it. Likewise, bodhicitta cannot be invited where body, speech, and mind are stained with the dirt of negative karma. Bodhicitta should be invited where body, speech, and mind are free of defilement and adorned with the ornament of moral ethics.

2. Scriptural Authority: The Ornament of Mahayana Sutra says:

Its basis is vast precepts.

The upavasatha (one-day vow) is not "vast"—the other seven precepts are. The Lamp for the Path says:

One who keeps One of the seven pratimoksha precepts Has the fortune to receive the bodhisattva precepts. Otherwise, not.

3. Reasoning: By taking pratimoksha precepts, one abandons causing harm to others and having harmful motives. The bodhisattva's vow causes one to benefit others. Without avoiding harm, there is no method of benefiting others.

A Clarification

Some argue that pratimoksha cannot be the foundation for bodhisattva precepts because certain beings (eunuchs, hermaphrodites, gods) cannot receive pratimoksha but can take bodhisattva vows. Also, pratimoksha ceases at death while the bodhisattva vow continues.

Response: There are three aspects to pratimoksha depending on mental state:

a) If taken merely from desire for happiness in the three realms → morality with vested interest

b) If taken to completely free oneself from suffering → morality associated with the Hearer's renunciation

c) If taken with an attitude of achieving great enlightenment → morality of the bodhisattva's precept

The first two cease at death and cannot be received by all beings. But the morality of the bodhisattva's precept exists in all, does not cease at death, and can be renewed if it declines. Therefore, it serves as the foundation for the bodhisattva vow.

The commentary to the Ornament of Mahayana Sutra says:

What is the basis of this mind? The basis is the bodhisattva's vow of moral ethics.

This discipline is necessary to cultivate bodhicitta, but optional for its maintenance.

Conclusion

A person possessing the Mahayana family, taking refuge in the Three Jewels, and possessing any one of the seven pratimoksha vows is one who has the working foundation for cultivating the mind of enlightenment.