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Buddhist Monastic Code I
Chapter 2 (3. Edition 2013)
Thanissaro Bhikkhu
Alternate formats: [PDF icon]   [book icon] A paperback copy of this book is available free of charge. To request one write to: Book Request, Metta Forest Monastery, PO Box 1409, Valley Center, CA 92082 USA.
Alternate Edition: Secound Edition, 2007

Note by the editor: Passages marked with an asterix * at its end are additions or modification in regard of the secound previous edition.


The Dhamma and Vinaya impinge in such detail on so many areas of one's life that no new bhikkhu can be expected to master them in a short time. For this reason, the Buddha arranged for a period of apprenticeship — called nissaya, or dependence — in which every newly ordained bhikkhu must train under the guidance of an experienced bhikkhu for at least five years before he can be considered competent to look after himself.

This apprenticeship has formed the human context in which the practice of the Buddha's teachings has been passed down for the past 2,600 years. To overlook it is to miss one of the basic parameters of the life of the Dhamma and Vinaya. Thus we will discuss it here first, before going on to the individual training rules of the Pāṭimokkha.

Dependence is of two sorts: dependence on one's preceptor (upajjhāya) and dependence on a teacher (ācariya). The relationships are similar — and in many details, identical — so the following discussion will use the word mentor to cover both preceptor and teacher wherever the pattern applies to both, and will distinguish them only where the patterns differ.

Choosing a mentor. Before ordination, one must choose a bhikkhu to act as one's preceptor. The Mahāvagga (I.36-37) gives a long list of qualifications a bhikkhu must meet before he can act as a preceptor, while the Commentary divides the list into two levels: ideal and minimal qualifications. A bhikkhu who lacks the minimal qualifications incurs a dukkaṭa if he acts as a preceptor; a bhikkhu who meets the minimal but lacks the ideal qualifications is not an ideal person to give guidance, but he incurs no penalty in doing so.

The ideal qualifications: The preceptor should have an arahant's virtue, concentration, discernment, release, and knowledge and vision of release; and should be able to train another person to the same level of attainment. He should have faith, a sense of shame, a sense of compunction (in the American sense of the term, i.e., an reluctance to do wrong for fear of its consequences), persistence in the practice, and quick mindfulness (according to the Sub-commentary, this means that he is constantly mindful of whatever mental object is before the mind). He should be free of heavy and light offenses, and be possessed of right view. (This last point, the Commentary says, means that he does not adhere to the extremes of eternalism or annihilationism.) He should be competent to tend to a sick pupil or to find someone who will tend to him, and to dispel dissatisfaction in a pupil who wants to leave the celibate life.

The Mahāvagga does not say outright that these are ideal, as opposed to minimal, qualifications, but the Commentary offers as proof the fact that one of a pupil's duties is to try to allay any dissatisfaction that may arise in his preceptor. If all preceptors were arahants, no case of this sort would ever arise and there would be no need to mention it. Thus the Commentary concludes that arahantship, although ideal in a preceptor, is not necessary.

The minimal qualifications: The preceptor must be learned and competent. According to the Commentary, this means that he knows enough of the Dhamma and Vinaya to govern a following and is competent enough to know what is and is not an offense. He must also be competent enough to allay, in line with the Dhamma, any anxiety that has arisen in his pupil; must know what is and is not an offense, what is a light offense, what is a heavy offense, and how an offense may be removed. He must have detailed knowledge of both Pāṭimokkhas (the one for the bhikkhus and the one for the bhikkhunīs) and be able to train the pupil in the bhikkhus' customs (Com.: this means that he knows the Khandhakas), in the basic rules of the chaste life (Sub-com.: he knows both Vibhaṅgas), the higher Dhamma, and the higher Vinaya. He must be able, in line with the Dhamma, to pry his pupil away from a wrong view, or to find someone who will help pry him away. And — the most basic requirement — he must have been ordained as a bhikkhu for ten years or more.

If, for some reason, the new bhikkhu lives in a separate monastery from his preceptor, he must take dependence under a teacher, whose qualifications are precisely the same as those for a preceptor. Because the Mahāvagga (I.72.1) gives a dukkaṭa for taking dependence under an unconscientious bhikkhu, the new bhikkhu is allowed four to five days to observe his potential teacher's conduct before taking dependence under him (Mv.I.72.2).

Taking dependence. Prior to his ordination — and usually, as part of the ceremony itself — the candidate must make a formal request for dependence from his preceptor. The procedure is as follows:

Arranging his upper robe over his left shoulder, leaving his right shoulder bare, he bows down to the preceptor and then, kneeling with his hands palm-to-palm in front of his heart, repeats the following passage three times:

which means, "Venerable sir, be my preceptor."

If the preceptor responds with any of these words — sāhu (very well), lahu (certainly), opāyikaṃ (all right), paṭirūpaṃ (it is proper), or pāsādikena sampādehi (attain consummation (in the practice) in an amicable way) — the dependence has taken hold. Mv.I.25.7 adds that if the preceptor indicates any of these meanings by gesture, that also counts; and according to the Commentary, the same holds true if he makes any equivalent statement.

If, after his ordination, the new bhikkhu needs to request dependence from a teacher, the procedure is the same, except that the request he makes three times is this:

which means, "Venerable sir, be my teacher; I will live in dependence on you." (Mv.I.32.2)

Duties. The Mahāvagga (I.25.6; 32.1) states that a pupil should regard his mentor as a father; and the mentor, the pupil as his son. It then goes on to delineate this relationship as a set of reciprocal duties.

The pupil's duties to his mentor fall into the following five categories:

According to the Commentary, a pupil is freed from these duties when he is ill. Otherwise, he should observe all the above duties to his preceptor as long as he is in dependence on him. It adds that the duties in sections 1-3 are incumbent on the pupil even after he is released from dependence, as long as both he and the preceptor are alive and still ordained, although not every Community follows the Commentary on this point.

As for the duties to one's teacher, the Commentary lists four types of teachers: the going-forth teacher (the one who gives one the ten precepts during one's ordination ceremony); the acceptance teacher (the one who chants the motion and announcements during the ceremony); the Dhamma teacher (the one who teaches one the Pali language and Canon); and the dependence teacher (the one with whom one lives in dependence). With the dependence teacher and Dhamma teacher, one must observe all the above duties only as long as one is living in dependence on him. As for the other two, the Commentary adds that one should observe sections 1-3 as long as both parties are alive and still ordained — although, again, not all Communities follow the Commentary on this point.

The Commentary adds that if the mentor already has a pupil performing these duties for him, he may inform his remaining pupils that they need not take them on. This exempts them from having to observe them. If he neglects to do this, the pupil who is performing the duties may inform his fellows that he will take responsibility for looking after the mentor. This also exempts them. Otherwise, they incur a dukkaṭa for every duty they neglect to perform.

The mentor's duties to his pupil.

According to the Commentary, the preceptor, going-forth teacher, and acceptance teacher must observe these duties toward the pupil as long as both parties are alive and still ordained. As for the Dhamma and dependence teachers, they must observe these duties only as long as the pupil is living with them.

Dismissal. If the pupil does not observe his duties to his mentor, the mentor is empowered to dismiss him. In fact, if the pupil deserves dismissal, the mentor incurs a dukkaṭa if for some reason he does not dismiss him, just as he would for dismissing a pupil who did not deserve it (Mv.I.27.5-8). The grounds for dismissal are any of the following five:

The Vinaya-mukha notes that the mentor should reflect on his own conduct before dismissing such a pupil. If he has done anything that would give the pupil valid reason for losing affection, etc., he should first correct his own conduct. Only after reflecting that there is no longer anything in his own conduct that would give the pupil valid reason to disregard him should he go ahead with the dismissal.

The Mahāvagga mentions each of the following statements as a valid means of dismissal: "I dismiss you." "Don't come back here." "Take away your robes and bowl." "Don't attend to me." It also states that if the mentor makes any of these meanings known by gesture — e.g., he evicts the pupil from his quarters and throws his robes and bowl out after him — that also counts as a valid means of dismissal (Mv.I.27.2). The Commentary to Mv.I.32 adds that any statement conveying the same basic meaning as those above would count as well.

Once a pupil has been dismissed, his duty is to apologize. If he doesn't, he incurs a dukkaṭa (Mv.I.27.3). Once the pupil has apologized, the mentor's duty is to forgive him (Mv.I.27.4). If, however, he sees that the pupil is still unconscientious, he should not take him back, for a mentor who takes on an unconscientious pupil incurs a dukkaṭa (Mv.I.72.1.). Thus the mentor may, if he sees fit, inflict a non-physical punishment on the pupil before taking him back on the original footing, to make sure that he has actually seen the error of his ways. An example of such punishment, mentioned in the Vinaya-mukha, is simply asking to wait to observe the pupil's behavior for a while to test whether his apology is sincere.

The Commentary to Mv.I.32 recommends that if the mentor refuses to forgive the pupil, the latter should try to get other bhikkhus in the monastery to intercede for him. If that doesn't work, he should go stay in another monastery and take dependence under a senior bhikkhu there who is on congenial terms with the mentor, in hopes that the mentor will take this as a sign of the pupil's good intentions and will eventually grant his forgiveness. If for some reason the pupil cannot stay at that other monastery, he may return to his original monastery and take dependence under another teacher.

Dependence lapses. Mv.I.36.1 says that if a pupil is staying in dependence with his preceptor, the dependence lapses in any of the following scenarios:

In all of the above cases, the commentaries interpret "he" as referring to the preceptor, although it would seem to refer to the pupil as well. This would fit with the passages from the Mahāvagga, to be mentioned below, that refer to a new bhikkhu on a journey as not being in dependence. In such cases, the new bhikkhu is most likely the one who has left the preceptor, and his leaving is what has caused the dependence to lapse.

In each of these cases, a pupil who is not yet released from dependence must find someone else to take dependence under on that very day, except in the following instances (taken from the Commentary):

— The preceptor leaves, saying that he will be away only for a day or two, and that the pupil need not ask anyone else for dependence in the meantime. If the preceptor's return is delayed, he should send word to his pupil, saying that he still intends to come back. If, however, the pupil receives word from his preceptor that the latter no longer intends to return, he should immediately look for a teacher under whom to take dependence.

— The preceptor leaves, and the only other senior bhikkhu in the monastery is one whom the pupil does not know well. In this case, the pupil is allowed four or five days to observe the senior bhikkhu's behavior (as mentioned above) before requesting dependence from him. If, though, the pupil already knows the senior bhikkhu well enough to feel confident in his conduct, he should take dependence with him on the day of his preceptor's departure.

If the pupil is staying in dependence on a teacher, the dependence can lapse for any of six reasons. The first five are identical with those above, although even the Commentary states that "he leaves," the first reason, applies not only to cases where the teacher leaves but also to cases where the pupil leaves. The sixth reason is:

The Vinaya-mukha objects to this judgment, saying that "rejoins the preceptor" should refer to the pupil's actually living with the preceptor, either in another monastery or in the same monastery where the teacher lives. This, however, is an area where different Communities differ in their interpretation, and the wise policy is to follow the interpretation of the Community in which one lives.

Temporary exemption from dependence. Normally a junior bhikkhu is required to live in dependence under a mentor at all times. However, Mv.I.73 allows him not to take dependence when living in any of the following situations if no qualified bhikkhu is available as a mentor:

The Commentary, in discussing these allowances, makes the following points:

A bhikkhu on a journey is said to have no mentor available if no qualified senior bhikkhu is traveling with him. In other words, the fact that he happens to pass by a monastery containing a qualified mentor does not mean that a mentor is available, and he is allowed to continue traveling without taking dependence. If, however, he spends the night in a place where he has taken dependence before, he should take dependence on the day of his arrival. If he reaches a place where he has never been before and plans to spend only two or three days, he need not take dependence; but if he plans to spend a week, he must. If the senior bhikkhu he requests dependence from says, "What's the use of taking dependence for only a week?" that exempts him from this requirement.

As for the bhikkhu living alone in the wilderness, the Commentary says that "meditating comfortably" means that his tranquility and insight meditation are going smoothly. For some reason, though, it says that this allowance applies only to bhikkhus whose meditation is at a tender stage and might deteriorate if they were to leave the wilderness; if a bhikkhu has attained any of the noble attainments — beginning with stream-entry — he may not make use of this allowance. Why the Commentary limits the allowance in this way, it doesn't say.

At any rate, once the month before the Rains-residence (vassa) arrives and no suitable mentor appears, the junior bhikkhu must leave his wilderness abode and look for a place with a suitable mentor under whom he can take dependence for the Rains.

Release from dependence. According to Mv.I.53.4, a bhikkhu may be released from dependence after he has been ordained for five years, on the condition that he be experienced and competent. If he is not yet experienced and competent, he must remain under dependency until he is. If he never becomes experienced and competent, he must remain in dependence for his entire life as a bhikkhu. The Commentary adds that, in the last case, if he cannot find a competent experienced bhikkhu who is senior to him, he must take dependence with a competent, experienced bhikkhu who is his junior.

To be considered competent and experienced enough to deserve release from dependence, a bhikkhu must meet many of the same general qualifications as those for a mentor, except that he need not possess the competence to look after a pupil, and the minimum number of years he needs as a bhikkhu is five. None of the texts divide the qualifications here into ideal and minimal qualifications, as they do for the mentor, but it seems reasonable that the same division would apply here as well. This would give us the following list:

The ideal qualifications: The bhikkhu should have an arahant's virtue, concentration, discernment, release, and knowledge and vision of release. He should have faith, a sense of shame, compunction, persistence in the practice, and quick mindfulness. He should be free of heavy and light offenses, and possess right view.

The minimal qualifications: The bhikkhu must be learned and intelligent, knowing both Pāṭimokkhas in detail, understanding what is and is not an offense, what is a light offense, what is a heavy offense, and how an offense may be removed. And — the most basic requirement — he must have been ordained as a bhikkhu for at least five years (Mv.I.53.5-13).

The Commentary to Mv.I.53, in explaining learned, refers to the definition of the term given by the Commentary to Pc 21, which says that a learned bhikkhu must have memorized:

The Commentary adds that he must also know the rules for such Community transactions as the Pāṭimokkha recitation and the Invitation at the end of the Rains-residence, and be acquainted with themes for tranquility and insight meditation leading to arahantship.

This definition of learned is not universally accepted, and some traditions have reworked it. As this is another area where different Communities have different interpretations, the wise policy is to adhere to the practice followed in one's Community, as long as it follows the basic requirements in the Canon, mentioned above.

Once a pupil has been released from dependence, the Commentary states that he need no longer perform the duties mentioned in sections 4 and 5 under the pupil's duties to his mentor.

Return to dependence. The Cullavagga (I.9-12) states that a bhikkhu released from dependence may be forced, by a Community transaction — called either a demotion transaction (niyasa-kamma) or a dependence transaction (nissaya-kamma) — to return to dependence if his conduct is so bad as to warrant it. The qualifying factors are:

If these factors apply to a bhikkhu to the extent that the Community is "fed up with granting him probation, sending him back to the beginning, imposing penance, and rehabilitating him" — these terms refer to the procedures for dealing with a bhikkhu who has committed repeated saṅghādisesa offenses (see Chapter 5) — then the Community is justified in imposing a demotion (or dependence) transaction (see BMC2, Chapter 20). This is similar to a "further punishment" transaction, to be discussed in Chapter 11 of this volume, and carries the same penalties with the additional penalty that the bhikkhu must live in dependence under a mentor as long as the transaction is in effect. If he mends his ways to the Community's satisfaction, they may rescind the transaction and return his independence.

As mentioned above, the Commentary states that regardless of whether a pupil is under dependence or released from it, he is still expected to observe certain duties to his preceptor — and his preceptor, certain duties to him — as long as both are alive and ordained. This is in line with the fact that they are always to regard each other as father and son: The preceptor is to take a continuing interest in his pupil's welfare, and the pupil is to show his continuing gratitude for the initiation his preceptor has given him into the bhikkhu's life.