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Tuesday, January 16, 2024

Buddha-nature

From Wikipedia, the free encyclopedia
The moon hidden by the clouds is a metaphor for Buddha-nature which is always shining but can be hidden or covered over by the afflictions.

In Buddhist philosophy, Buddha-nature is the potential for all sentient beings to become a Buddha or the fact that all beings already have a pure buddha-essence within. "Buddha-nature" is the common English translation for several related Mahayana Buddhist terms, most notably tathāgatagarbha and buddhadhātu, but also sugatagarbha, and buddhagarbha. Tathāgatagarbha can mean "the womb" or "embryo" (garbha) of the "thus-gone one" (tathāgata), and can also mean "containing a tathāgata". Buddhadhātu can mean "buddha-element," "buddha-realm" or "buddha-substrate".

Buddha-nature has a wide range of (sometimes conflicting) meanings in Indian and later East Asian and Tibetan Buddhist literature. Broadly speaking, it refers to the belief that the luminous mind, "the natural and true state of the mind," which is pure (visuddhi) mind undefiled by kleshas, is inherently present in every sentient being, and is eternal and unchanging. It will shine forth when it is cleansed of the defilements, that is, when the nature of mind is recognised for what it is.

The Mahāyāna Mahāparinirvāṇa Sūtra (written 2nd century CE), which was very influential in the Chinese reception of these teachings, linked the concept of tathāgatagarbha with the buddhadhātu. The term buddhadhātu originally referred to buddha relics. In the Mahāparinirvāṇa, it came to be used in place of the concept of tathāgatagārbha, reshaping the worship of physical buddha relics of the Buddha into worship of the inner Buddha as a principle of salvation.

The primordial or undefiled mind, the tathagatagarbha, is also often equated with emptiness; with the alayavijñana ("storehouse-consciousness", a yogacara concept); and with the interpenetration of all dharmas (in East Asian traditions like Huayan). Buddha nature ideas are central to East Asian Buddhism, which relies on key buddha-nature sources like the Mahāparinirvāṇa. In Tibetan Buddhism, buddha-nature ideas are also important, and are often studied through the key Indian treatise on buddha-nature, the Ratnagotravibhāga.

Etymology

Tathāgatagarbha

The term tathāgatagarbha may mean "embryonic tathāgata", "womb of the tathāgata", or "containing a tathagata". Various meanings may all be brought into mind when the term tathagatagarbha is being used.

Compound

The Sanskrit term tathāgatagarbha is a compound of two terms, tathāgata and garbha:

  • tathāgata means "the one thus gone", referring to the Buddha. It is composed of "tathā" and "āgata", "thus come", or "tathā" and "gata", "thus gone". The term refers to a Buddha, who has "thus gone" from samsara into nirvana, and "thus come" from nirvana into samsara to work for the salvation of all sentient beings.
  • garbha, "womb", "embryo", "center", "essence".

Asian translations

The Chinese translated the term tathāgatagarbha as rúláizàng (如来藏), or "Tathāgata's (rúlái) storehouse" (zàng). According to Brown, "storehouse" may indicate both "that which enfolds or contains something", or "that which is itself enfolded, hidden or contained by another." The Tibetan translation is de bzhin gshegs pa'i snying po, which cannot be translated as "womb" (mngal or lhums), but as "embryonic essence", "kernel" or "heart". The term "heart" was also used by Mongolian translators.

The Tibetan scholar Go Lotsawa outlined four meanings of the term Tathāgatagarbha as used by Indian Buddhist scholars generally: (1) As an emptiness that is a nonimplicative negation, (2) the luminous nature of the mind, (3) alaya-vijñana (store-consciousness), (4) all bodhisattvas and sentient beings.

Western translations

The term tathagatagarbha first appears in the Tathāgatagarbha sūtras, which date to the 2nd and third centuries CE. It is translated and interpreted in various ways by western translators and scholars:

  • According to Sally King, the term tathāgatagarbha may be understood in two ways:
  1. "embryonic tathāgata", the incipient Buddha, the cause of the Tathāgata,
  2. "womb of the tathāgata", the fruit of Tathāgata.
According to King, the Chinese rúláizàng was taken in its meaning as "womb" or "fruit".
  • Wayman & Hideko also point out that the Chinese regularly takes garbha as "womb", but prefer to use the term "embryo".
  • According to Brown, following Wayman & Hideko, "embryo" is the best fitting translation, since it preserves "the dynamic, self-transformative nature of the tathagatagarbha."
  • According to Zimmermann, garbha may also mean the interior or center of something, and its essence or central part. As a tatpuruṣa it may refer to a person being a "womb" for or "container" of the tathagata. As a bahuvrihi it may refer to a person as having an embryonic tathagata inside. In both cases, this embryonic tathagata still has to be developed. Zimmermann concludes that tathagatagarbha is a bahuvrihi, meaning "containing a tathagata", but notes the variety of meanings of garbha, such as "containing", "born from", "embryo", "(embracing/concealing) womb", "calyx", "child", "member of a clan", "core", which may all be brought into mind when the term tathagatagarbha is being used.
  • In addition to Zimmerman's statement that tathagatagarbha most natural means "containing a Tathagata," Paul Williams notes that garbha also means "womb/matrix" and "seed/embryo," and "the innermost part of something." The term tathagatagarbha can thus also imply "that sentient beings have a tathāgata within them in seed or embryo, that sentient beings are the wombs or matrices of the tathāgata, or that they have a tathāgata as their essence, core, or essential inner nature." According to Williams, the term tathāgatagarbha "may also have been intended simply to answer the question how it is possible that all sentient beings can attain the state of a Buddha.

Buddhadhātu

The term "buddha-nature" (traditional Chinese: 佛性; ; pinyin: fóxìng, Japanese: busshō) is closely related in meaning to the term tathāgatagarbha, but is not an exact translation of this term. It refers to what is essential in the human being.

The corresponding Sanskrit term is buddhadhātu. It has two meanings, namely the nature of the Buddha, equivalent to the term dharmakāya, and the cause of the Buddha. The link between the cause and the result is the nature (dhātu) which is common to both, namely the dharmadhātu.

Matsumoto Shirō also points out that "buddha-nature" translates the Sanskrit-term buddhadhātu, a "place to put something," a "foundation," a "locus." According to Shirō, it does not mean "original nature" or "essence," nor does it mean the "possibility of the attainment of Buddhahood," "the original nature of the Buddha," or "the essence of the Buddha."

In the Vajrayana, the term for buddha-nature is sugatagarbha.

Indian Sutra sources

Historical pre-cursors

According to Alex Wayman, the idea of the tathāgatagarbha is grounded on sayings by the Buddha that there is something called the luminous mind (prabhasvaracitta), "which is only adventitiously covered over by defilements (agantuka klesha)." The luminous mind is mentioned in a passage from the Anguttara Nikaya (which has various parallels) which states that the mind is luminous but "is defiled by incoming defilements." The Mahāsāṃghika school coupled this idea with the idea of the "root consciousness" (mulavijñana) which serves as the basic layer of the mind and which is held to have a self-nature (cittasvabhāva) which is pure (visuddhi) and undefiled. In some of the tathagatagarbha-sutras a consciousness which is naturally pure (prakṛti-pariśuddha) is regarded to be the seed from which Buddhahood grows. Wayman thus argues that the pure luminous mind doctrine formed the basis for the classic buddha-nature doctrine.

Karl Brunnholzl writes that the first probable mention of the term tathāgatagarbha is in the Ekottarika Agama (though here it is used in a different way than in later texts). The passage states:

If someone devotes himself to the Ekottarikagama, Then he has the tathagatagarbha. Even if his body cannot exhaust defilements in this life, In his next life he will attain supreme wisdom.

This tathāgatagarbha idea was the result of an interplay between various strands of Buddhist thought, on the nature of human consciousness and the means of awakening. Gregory sees this doctrine as implying that enlightenment is the natural state of the mind.

Avatamsaka and Lotus Sutras

According to Wayman, the teachings of the Avataṃsaka Sūtra (1st–3rd century CE), which say that the Buddha's knowledge is all pervasive and is present in all sentient beings were also an important step in the development of buddha-nature thought. The Avataṃsaka Sūtra does not mention the term tathāgatagarbha, but the idea of "a universal penetration of sentient beings by the wisdom of the Buddha (buddhajñāna)," is seen by some scholars as complementary to the tathāgatagarbha concept.

The Lotus Sutra, written between 100 BCE and 200 CE, also does not use the term tathāgatagarbha, but Japanese scholars suggest that a similar idea is nevertheless expressed or implied in the text. The tenth chapter emphasizes that all living beings can become a Buddha. The twelfth chapter of the Lotus Sutra details that the potential to become enlightened is universal among all people, even the historical Devadatta has the potential to become a buddha. East Asian commentaries saw these teachings as indicating that the Lotus sutra was also drawing on the concept of the universality of buddha-nature. The sutra shares other themes and ideas with the later tathāgatagarbha sūtras and thus several scholars theorize that it was an influence on these texts.

Tathāgatagarbha Sūtra and Nirvana Sūtra

The Tathāgatagarbha Sūtra states that the tathāgatagarbha is like the grain of rice contained inside of the husk of the rice plant
The Tathāgatagarbha Sūtra uses the image of a Buddha within a lotus flower as a metaphor for the tathāgatagarbha

According to Zimmerman, the Tathāgatagarbha Sūtra (200–250 CE) is the earliest buddha-nature text. Zimmerman argues that "the term tathāgatagarbha itself seems to have been coined in this very sutra." The Tathāgatagarbha Sūtra states that all beings already have perfect Buddha body (*tathāgatatva, *buddhatva, *tathāgatakāya) within themselves, but do not recognize it because it is covered over by afflictions.

The Tathāgatagarbha Sūtra uses nine similes to illustrate the concept:

This [tathāgatagarbha] abides within the shroud of the afflictions, as should be understood through [the following nine] examples: Just like a buddha in a decaying lotus, honey amidst bees, a grain in its husk, gold in filth, a treasure underground, a shoot and so on sprouting from a little fruit, a statue of the Victorious One in a tattered rag, a ruler of humankind in a destitute woman's womb, and a precious image under clay, this [buddha] element abides within all sentient beings, obscured by the defilement of the adventitious poisons.

Another important and early source for buddha-nature is the Mahāyāna Mahāparinirvāṇa Sūtra (often just called the Nirvana Sutra), possibly dating to the 2nd century CE. Some scholars like Michael Radich argue that this is the earliest buddha-nature sutra. This sutra was very influential in the development of East Asian Buddhism. The Mahāparinirvāṇa Sūtra linked the concept of tathāgatagarbha with the "buddhadhātu" ("buddha-nature" or "buddha-element") and it also equates these with the eternal and pure Buddha-body, the Dharmakaya, also called vajrakaya. The sutra also presents the buddha-nature or tathagatagarbha as a "Self" or a true self (ātman), though it also attempts to argue that this claim is not incompatible with the teaching of not-self (anatman). The Nirvana sutra further claims that buddha-nature (and the Buddha's body, his Dharmakaya) is characterized by four perfections (pāramitās) or qualities: permanence (nitya), bliss (sukha), self (ātman), and purity (śuddha).

Other important buddha-nature sutras

Other important tathāgatagarbha sutras include:

  • The Śrīmālādevī Siṃhanāda Sūtra (The Lion's Roar of Queen Srimala, c. 3rd century CE) which discusses the tathāgatagarbha along with other key Mahayana doctrines like the one vehicle and the luminous mind and links them to buddha-nature thought. This sutra also states that the mind's luminous nature, while being empty of adventitious defilements, is not empty of limitless buddha qualities. Furthermore, the Śrīmālādevī also says that the tathāgatagarbha is the basis of both saṃsāra and nirvāṇa and equates it with the dharmakāya (which is described as "permanent," "eternal," "everlasting," and "peaceful").[61]
  • The Anūnatvāpurnatvanirdeśa (The Teaching of Neither Increase nor Decrease). This sutra states that there is no increase or decrease in the “realm (or domain, or element) of (sentient) beings” (sattvadhātu), which is really a single domain (*ekadhātu) that is equally samsara and buddhahood and is equated with the “originally pure mind” (*prakṛtipariśuddhacitta) and tathāgatagarbha.
  • The Aṅgulimālīya Sūtra (2nd c. CE) – Features the mass murderer convert Aṅgulimāla as a central character (now reformed and turned into a bodhisattva). The text attributes various qualities to the universal tathāgatagarbha, such as non-arising, independence, invariability, and not being the perceptive mind.
  • Mahābherīhārakaparivarta Sūtra, The Beater of the Great Drum Sutra) – Describes buddha nature as luminous and pure, as eternal, everlasting, peaceful and self (ātman).
  • Mahamegha Sūtra (Great Cloud Sutra). Like the Nirvana sutra this sutra also teaches the eternity of Buddhas (and their docetic nature) and the four perfections of permanence, bliss, self and purity as qualities of the Buddha. It also discusses the non-dual nature of all sentient beings with the Dharmadhatu along with four hundred types of samādhi.
  • The Dhāraṇīśvararāja sūtra is a key source for the Ratnagotravibhāga's seven main vajra topics. It explicitly points out that the nature of the minds of sentient beings is fundamentally pure (cittaprakrtivisuddhi).
  • The Laṅkāvatāra Sūtra (compiled 350–400 CE) synthesized the tathāgatagarbha doctrine and teachings of the Yogācāra school, like the ālāya-vijñāna (storehouse consciousness) and the "three natures". According to the Laṅkāvatāra, tathāgatagarbha is the same as the ālayavijñāna (though this is qualified in other passages which explain that there are two layers of the ālayavijñāna, a pure and an impure layer). The storehouse consciousness is supposed to contain the pure tathāgatagarbha, from which awakening arises. Wayman notes that this synthesis of tathāgatagarbha thought and Yogacara Buddhism is a key innovation of the Laṅkāvatāra.
  • The Ghanavyūha sūtra is another sutra which synthesizes Yogācāra doctrines like the three natures and the ālayavijñāna (storehouse consciousness) with the tathāgatagarbha teaching.

Indian commentaries

The tathāgatagarbha doctrine was also widely discussed by Indian Mahayana scholars in treatises or commentaries, called śāstra, the most influential of which was the Ratnagotravibhāga (5th century CE).

Ratnagotravibhāga

A ritual vajra, a symbol of indestructibility, which is used in the Ratnagotravibhāga as an image of the adamantine-like permanence of buddha nature.

The Ratnagotravibhāga (Investigating the Jewel Disposition), also called Uttaratantraśāstra (Treatise on the Ultimate Continuum), is a 5th century CE Indian treatise (śāstra) which synthesised major elements and themes of the tathāgatagārbha theory. It gives an overview of key themes found in many tathāgatagarbha sutras, and it cites the Tathāgatagarbha Sūtra, the Śrīmālādevī Siṃhanāda Sūtra, Mahāparinirvāṇa Sūtra, the Aṅgulimālīya Sūtra, the Anunatva-Apurnatva-Nirdesa and the Mahābherīharaka-sūtra. The Ratnagotravibhāga presents the tathāgatagarbha as "an ultimate, unconditional reality that is simultaneously the inherent, dynamic process towards its complete manifestation". Mundane and enlightened reality are seen as complementary:

Thusness [tathata] defiled is the Tathagatagarbha, and Thusness undefiled is Enlightenment.

In the Ratnagotravibhāga, the tathāgatagarbha is seen as having three specific characteristics: (1) dharmakaya, (2) suchness, and (3) disposition, as well as the general characteristic (4) non-conceptuality.

According to the Ratnagotravibhāga, all sentient beings have "the embryo of the Tathagata" in three senses:

  1. the Tathāgata's dharmakāya permeates all sentient beings;
  2. the Tathāgata's tathatā is omnipresent (avyatibheda);
  3. the Tathāgata's species (gotra, a synonym for tathagatagarbha) occurs in them.

The Ratnagotravibhāga equates enlightenment with the nirvāṇa-realm and the dharmakāya. It gives a variety of synonyms for garbha, the most frequently used being gotra and dhatu.

This text also explains the tathāgatagarbha in terms of luminous mind, stating that "the luminous nature of the mind Is unchanging, just like space."

Other possible Indian treatises on buddha-nature

Takasaki Jikido notes various buddha nature treatises which exist only in Chinese and which are similar in some ways to the Ratnagotra. These works are unknown in other textual traditions and scholars disagree on whether they are translations, original compositions or a mixture of the two. These works are:

  • Dharmadhātvaviśeṣaśāstra (Dasheng fajie wuchabie lun 大乘法界無差別論), said to have been translated by Paramartha and attributed to Saramati (the same author which the Chinese tradition states wrote the Ratnagotra).
  • Buddhagotraśāstra (佛性論, Fó xìng lùn, Buddha-nature treatise, Taishō 1610), said to have been translated by Paramartha and is attributed by Chinese tradition to Vasubandhu
  • Anuttarâśrayasūtra, which according to Takasaki "is clearly a composition based upon the Ratna."

Madhyamaka school

Indian Madhyamaka philosophers interpreted the theory as a description of emptiness and as a non implicative negation. Bhaviveka's Tarkajvala states:

[The expression] "possessing the tathagata heart" is [used] because emptiness, signlessness, wishlessness, and so on, exist in the mind streams of all sentient beings. However, it is not something like a permanent and all-pervasive person that is the inner agent. For we find [passages] such as "All phenomena have the nature of emptiness, signlessness, and wishlessness. What is emptiness, signlessness, and wishlessness is the Tathagata."

According to Candrakirti's Madhyamakāvatārabhāsya the storehouse consciousness "is nothing but emptiness that is taught through the term 'alaya-consciousness.'" Go Lotsawa states that this statement is referencing the tathāgatagarbha doctrine. Candrakirti's Madhyamakāvatārabhāsya also argues, basing itself on the Lankavatara sutra, that "the statement of the emptiness of sentient beings being a buddha adorned with all major and minor marks is of expedient meaning".

Kamalasila's (c. 740–795) Madhyamakaloka associates tathāgatagarbha with luminosity and luminosity with emptiness. According to Kamalasila the idea that all sentient beings have tathāgatagarbha means that all beings can attain full awakening and also refers to how "the term tathāgata expresses that the dharmadhātu, which is characterized by personal and phenomenal identitylessness, is natural luminosity."

Paul Williams puts forward the Madhyamaka interpretation of the buddha-nature as emptiness in the following terms:

… if one is a Madhyamika then that which enables sentient beings to become buddhas must be the very factor that enables the minds of sentient beings to change into the minds of Buddhas. That which enables things to change is their simple absence of inherent existence, their emptiness. Thus the tathagatagarbha becomes emptiness itself, but specifically emptiness when applied to the mental continuum.

Uniquely among Madhyamaka texts, some texts attributed to Nagarjuna, mainly poetic works like the Dharmadhatustava, Cittavajrastava, and Bodhicittavivarana, associate the term tathāgatagarbha with the luminous nature of the mind.

Yogācāra school

According to Brunnholzl, "all early Indian Yogācāra masters (such as Asanga, Vasubandhu, Sthiramati, and Asvabhava), if they refer to the term tathāgatagarbha at all, always explain it as nothing but suchness in the sense of twofold identitylessness".

Some later Yogacara scholars spoke of the tathāgatagarbha in more positive terms, such as Jñanasrimitra who in his Sakarasiddhi equates it with the appearances of lucidity (prakāśa-rupa). Likewise, the Vikramashila scholar Ratnākaraśānti describes buddha-nature as the natural luminous mind, which is a non-dual self-awareness. Brunnholzl also notes that for Ratnākaraśānti, this luminosity is equivalent to the Yogacara concept of the perfected nature, which he sees as an implicative negation. Ratnākaraśānti also describes this ultimate self-nature as radiance (prakāśa, ‘shining forth’), which is the capacity to appear (pratibhāsa).

The Yogācāra concept of the alaya-vijñana (store consciousness) also came to be associated by some scholars with the tathāgatagarbha. This can be seen in sutras like the Lankavatara, the Srimaladevi and in the translations of Paramartha. The concept of the ālaya-vijñāna originally meant defiled consciousness: defiled by the workings of the five senses and the mind. It was also seen as the mūla-vijñāna, the base-consciousness or "stream of consciousness" (Mindstream) from which awareness and perception spring.

Around 300 CE, the Yogācāra school systematized the prevalent ideas on the nature of the Buddha in the Trikaya (triple body) doctrine, in which the Buddha is held to have three bodies: Nirmanakaya (transformation body which people see on earth), Sambhogakāya (a subtle body which appears to bodhisattvas) and the Dharmakāya (ultimate reality). This doctrine was also later to be synthesized with buddha-nature teachings by various sources (with buddha-nature generally referring to the Dharmakaya as it does in some sutras).

The Yogācāra school also had a doctrine of "gotra" (lineage, family) which held that there were five categories of living beings each with their own inner nature. To make this teaching compatible with the notion of buddha-nature in all beings, Yogācāra scholars in China such as Tz'u-en (慈恩, 632–682) the first patriarch in China, advocated two types of nature: the latent nature found in all beings (理佛性) and the buddha-nature in practice (行佛性). The latter nature was determined by the innate seeds in the alaya.

East Asian Buddhism

A Sui dynasty manuscript of the Nirvāṇa Sūtra

The doctrines associated with buddha-nature (Chinese: fóxìng) and tathāgatagarbha (rúláizàng) were extremely influential in the development of East Asian Buddhism. The buddha-nature idea was introduced into China with the translation of the Nirvana Sutra in the early fifth century and this text became the central source of buddha-nature doctrine in Chinese Buddhism. When Buddhism was introduced to China, it was initially understood through comparing it with native Chinese philosophies such as neo-daoism. Based on their understanding of the Mahayana Mahaparinirvana Sutra some Chinese Buddhists supposed that the teaching of the buddha-nature was, as stated by that sutra, the final Buddhist teaching, and that there is an essential truth above emptiness and the two truths. This idea was often interpreted as being similar to the ideas of the Dao, non-being (wu), and Principle (Li) in Chinese philosophy and developed into what was called "essence-function" thought (體用, pinyin: tǐ yòng) which held there were two main ontological levels to reality, the most foundational being the buddha-nature, the "essence" of all phenomena (which in turn were the "functions" of buddha-nature).

Awakening of Faith in the Mahāyāna

A page of a commentary on the Awakening of Faith, one of the most influential buddha-nature works in East Asian Buddhism.

The Awakening of Faith in the Mahayana (Dàshéng Qǐxìn Lùn) was very influential in the development of Chinese Buddhism  While the text is traditionally attributed to the Indian Aśvaghoṣa, no Sanskrit version of the text is extant. The earliest known versions are written in Chinese, and contemporary scholars believe that the text is a Chinese composition.

The Awakening of Faith offers an ontological synthesis of buddha-nature and Yogacara thought from the perspective of "essence-function" philosophy. It describes the "One Mind" which "includes in itself all states of being of the phenomenal and transcendental world. The Awakening of Faith tries to harmonize the ideas of the tathāgatagarbha and the storehouse consciousness (ālāyavijñāna) into a single theory which sees self, world, mind and ultimate realty as an integrated the "one mind", which is the ultimate substratum of all things (including samsara and nirvana).

In the Awakening of Faith the "one mind" has two aspects, namely "the aspect of enlightenment," (which is tathata, suchness, the true nature of things), and "the aspect of nonenlightenment" (samsara, the cycle of birth and death, defilement and ignorance). This text was in line with an essay by Emperor Wu of the Liang dynasty (reign 502–549 CE), in which he postulated a pure essence, the enlightened mind, trapped in darkness, which is ignorance. By this ignorance the pure mind is trapped in samsara. This resembles the tathāgatagarba and the idea of the defilement of the luminous mind.

In a similar fashion to the Awakening of Faith, the Korean Vajrasamādhi Sūtra (685 CE) uses the doctrine of Essence-Function to explain the tathāgatagarbha (also called "the dharma of the one mind" and original enlightenment) as having two elements: one essential, immutable, changeless and still (the "essence"); the other an active and salvational inspirational power (function).

In Chinese Yogacara and Madhyamaka

By the 6th century CE buddha nature had been well established in Chinese Buddhism and a wide variety of theories developed to explain it. One influential figure who wrote about buddha nature was Ching-ying Hui-yuan (523–592 CE), a Chinese Yogacarin who argued for a kind of idealism which held that "all dharmas without exception originate and are formed from the true[-mind], and other than the true[-mind], there exists absolutely nothing which can give rise to false thoughts." Ching-ying Hui-yuan equated this "true mind" with the storehouse consciousness and with buddha-nature and held that it was an essence, a true consciousness and a metaphysical principle that ensured that all sentient beings will reach enlightenment.

In the sixth and seventh centuries, the Yogacara theory became associated with a substantialist non-dual metaphysics which saw buddha nature as an eternal ground. This idea was promoted by figures like Ratnamati. The Chinese Yogacara tradition included numerous traditions with their own interpretations of buddha-nature. The Dilun or Daśabhūmikā school and the Shelun school were some of the earliest schools in this Chinese Yogacara. The Dilun school became split on the issue of the relationship between the storehouse consciousness and buddha-nature. The southern faction held that storehouse consciousness was identical with the pure mind, while the northern school held that the storehouse consciousness was exclusively a deluded and defiled mind.

In contrast with the Chinese Yogacara view, the Chinese Madhyamaka scholar Jizang (549–623 CE) sought to remove all ontological connotations of the term as a metaphysical reality and saw buddha nature as being synonymous with terms like "tathata," "dharmadhatu," "ekayana," "wisdom, '' "ultimate reality," "middle way" and also the wisdom that contemplates dependent origination. In formulating his view, Jizang was influenced by the earlier Chinese Madhyamaka thinker Sengzhao (384–414 CE) who was a key figure in outlining an understanding of emptiness which was based on the Indian sources and not on Daoist concepts which previous Chinese Buddhists had used. Jizang used the compound "Middle Way-buddha-nature" (zhongdao foxing 中道佛 性) to refer to his view. Jizang was also one of the first Chinese philosophers to famously argue that plants and insentient objects have buddha-nature, which he also termed true reality and universal principle (dao).

In Tiantai

The Tiantai school is one of the first native Chinese doctrinal schools, and the primary figure of this tradition is the scholar Zhiyi. According to Paul L. Swanson, none of Zhiyi's works discuss buddha-nature explicitly at length however. Yet it is still an important concept in his philosophy, which is seen as synonymous with the ekayana principle outlined in the Lotus Sutra. Swanson argues that for Zhiyi, buddha-nature is:

an active threefold process which involves the way reality is, the wisdom to see reality as it is, and the practice required to attain this wisdom. Buddha Nature is threefold: the three aspects of reality, wisdom, and practice are interdependent—one aspect does not make any sense without the others.

Thus, for Zhiyi, buddha-nature has three aspects which he bases on passages from the Lotus sutra and the Nirvana sutra. These three aspects are:

  1. The direct cause of attaining Buddhahood, the innate potential in all sentient beings to become Buddhas, which is the aspect of 'true nature', the way things are.
  2. The complete cause of attaining Buddhahood, which is the aspect of wisdom that illuminates the true nature and the goal of practice.
  3. The conditional causes of attaining Buddhahood, which is the aspect of the practices and activities that lead to Buddhahood.

The later Tiantai scholar Zhanran would expand the Tiantai view of buddha-nature, which he saw as synonymous with suchness, to argue for the idea that insentient rocks and plants also have buddha-nature.

In Huayan

The other major native Chinese doctrinal school is the Huayan school. The Huayan tradition heavily relied on buddha nature sources like the Awakening of Faith and on the doctrine of principle (理, li, or the ultimate pattern) and phenomena (shi). In the Huayan tradition, the ultimate principle is associated with buddha-nature, and with the One Mind of the Awakening of Faith. This ultimate nature is seen as the ontological source and ground of all phenomena. This is a key idea in Huayan thought which is called "nature-origination" (xingqi). According to this doctrine defended by Huayan thinkers like Fazang, the entire universe is a manifestation of the one nature, and it is also fully interfused with its source. As such, the ultimate principle is non-dual with all relative phenomena. Because the ultimate source of all things is also interdependent and interconnected with them, it remains a ground which is empty of self-existence (svabhava) and thus it is not an independent essence.

In Chan Buddhism

In Chan Buddhism, buddha-nature tends to be seen as the essential nature of all beings, while also emphasizing that buddha-nature is emptiness, the absence of an independent and substantial "self". The term buddha-nature is interpreted in various ways throughout the voluminous Chan literature. In the East Mountain Teaching of early Chan, buddha-nature was equated with the nature of mind, while later sects sometimes rejected any identification of the term with the mind. This rejection of any reification of the term is reflected in the recorded sayings of Chan master Mazu Daoyi (709–788) of the influential Hongzhou school, who sometimes would teach on the "ordinary mind" or say "Mind is Buddha," but at other times would say "Neither mind nor Buddha."

The influential Chan patriarch Guifeng Zongmi (780–841), who was also a patriarch of Huayan, interpreted buddha-nature as "empty tranquil awareness" (k'ung-chi chih), which he took from the Ho-tse school of Chan. Following the Srimala sutra, he interpreted the theory of emptiness as presented in the Prajñaparamita sutras as provisional and saw the awareness which is buddha-nature as the definitive teaching of Buddhism.

Chan masters from Huineng (7th-century China), Chinul (12th century Korea), Hakuin Ekaku (18th-century Japan) to Hsu Yun (20th-century China), have taught that the process of awakening begins with the light of the mind turning around to recognize its own true nature, so that the storehouse consciousness (also called the 8th consciousness in Yogacara Buddhism), which is also the tathāgatagarbha, is transformed into the "bright mirror wisdom". According to D.T. Suzuki, the Zen view of buddha-nature can be found in the Laṅkāvatāra Sūtra, which states that one must let go of all discriminating notions of any kind to attain the perfect knowledge of the tathāgatagarbha. When this transformation is complete, the other seven consciousnesses are also transformed into wisdom.

A famous reference to buddha-nature in the Chan tradition is found in the influential koan called the mu-koan (from The Gateless Barrier, a 13th century koan collection) which asks "does a dog have Buddha nature?" The enigmatic response given by the master is "no" ("wú'', Chinese, ''mu'' in Japanese) which can interpreted in various ways.

According to Heng-Ching Shih, the teaching of the universal buddha-nature does not intend to assert the existence of substantial, entity-like self endowed with excellent features of a Buddha. Rather, buddha-nature simply represents the potentiality to be realized in the future. Hsing Yun, forty-eighth patriarch of the Linji school, equates the buddha-nature with the dharmakāya in line with pronouncements in key tathāgatagarbha sūtras. He defines these as "the inherent nature that exists in all beings....transcendental reality....the unity of the Buddha with everything that exists," and sees it as the goal of Mahayana Buddhism.

Japanese Buddhism

A Japanese Kamakura period reliquary topped with a cintamani (a "wish fulfilling jewel"). Buddha nature texts often use the metaphor of a hidden jewel (buddha-nature) which all beings have, but are unaware of.

The major Japanese Buddhist traditions all take the idea of buddha-nature (Japanese: busshō, 仏性) as a central teaching, from Tendai and Shingon, to the new Kamakura schools. One of the most important developments of buddha-nature thought in Japanese Buddhism was hongaku theory (本覚, innate or original enlightenment) which developed within the Tendai school from the cloistered rule era (1086–1185) through the Edo period (1688–1735) and is derived from the Awakening of Faith (which uses the term pen-chileh, “original enlightenment”). Jacqueline Stone writes that Tendai doctrine held that enlightenment was "inherent from the outset and as accessible in the present, rather than as the fruit of a long process of cultivation." It was often held that hongaku was a feature of all phenomena, including plants and inanimate objects.

Hongaku thought was also influential on the development of New Kamakura Buddhist schools, like Japanese Pure Land Buddhism, Zen and Nichiren. Japanese Pure Land Buddhism relied on Tendai buddha-nature doctrine. The founder of the Jōdo Shinshū of Pure Land Buddhism, Shinran, equated buddha-nature with the central Shin concept of shinjin (true faith or the entrusting mind).

The founder of the Sōtō school of Zen Buddhism, Dōgen Zenji, held that buddha-nature was simply the true nature of reality and being. This true nature was just impermanence, becoming and 'vast emptiness'. Because he saw the whole universe as an expression of buddha-nature, he held that even grass and trees are buddha-nature. According to Dōgen:

Therefore, the very impermanency of grass and tree, thicket and forest is the Buddha nature. The very impermanency of men and things, body and mind, is the Buddha nature. Nature and lands, mountains and rivers, are impermanent because they are the Buddha nature. Supreme and complete enlightenment, because it is impermanent, is the Buddha nature.

Buddha-nature was likewise influential for the other sects of Zen, like Rinzai.

Nichiren Buddhism, founded by Nichiren (1222–1282), views the buddha-nature present in all beings as "the inner potential for attaining Buddhahood". The emphasis in Nichiren Buddhism is on attaining Buddhahood in this lifetime, described as manifesting or summoning forth buddha-nature by chanting the name of the Lotus Sutra: Namu Myōhō Renge Kyō Like the classic Tendai hongaku doctrine, Nichiren held that all life and even all insentient matter (such mandalas, images, statues) also possesses buddha nature, because they serve as objects of worship.

Tibetan Buddhism

In Tibetan Buddhist scholastics, there are two main camps of interpreting buddha-nature:There are those who argue that tathāgatagarbha is just emptiness (described either as dharmadhatu, the nature of phenomena). This pure Madhyamaka view is described in as "a nonimplicative negation", which means that in one's philosophical analysis, one negates all forms of existence (and non-existence) completely, leaving nothing left over.

  • There are those who see it as an implicative negation, which means that there is something further to be said about buddha-nature that is not just the Madhyamaka emptiness based on pure negations of all concepts. This could include positive descriptions like the union of the mind's emptiness and luminosity, a non-dual buddha-wisdom, or even the eternal pure buddhic Self which includes all buddha-qualities (as in Jonang Shentong).

An early Tibetan translator, Ngok Lotsawa (1050–1109) argues in his commentary to the Uttaratantra that buddha-nature is a non-implicative negation, which is to say that it is emptiness, as a total negation of inherent existence (svabhava) that does not imply that anything is left un-negated (in terms of its svabhava). Another early figure, Chaba Chokyi Senge (1109–1169) also argued that buddha-nature was a non-implicative negation. The Kadampa tradition generally followed Ngok Lotsawa by holding that Buddha- nature was a nonimplicative negation. The Gelug school, which sees itself as a continuation of the Kadampas, also hold this view, while also holding, as Chaba did, that buddha-nature teachings are of expedient meaning.

This interpretation is sometimes called the rangtong interpretation of Prasaṅgika Madhyamaka. This view interprets buddha-nature teachings as an expedient ways to talk about the emptiness of inherent existence which should not be taken literally. Other schools, especially the Jonang, and some within the Kagyu tradition have tended to accept the shentong ("other-empty") philosophy, which discerns an ultimate reality which "is empty of adventitious defilements which are intrinsically other than it, but is not empty of its own inherent existence". Shentong influenced interpretations tend to rely heavily on the buddha-nature sutras to balance the negative dialectics of Madhyamaka.

These interpretations of the tathagatagarbha-teachings have been a matter of intensive debates in Tibetan Buddhism down to this day.

Nyingma

Morten Ostensen writes that the buddha-nature teaching (also known as "sugatagarbha", Wylie: bde gshegs snying po, in Tibetan tantric sources), first entered Tibetan Buddhism through the translation of the Nyingma school's Guhyagarbha Tantra in the eighth century. During the early translation period, other works which synthesized and reconciled buddha-nature thought with Yogacara and Madhyamaka philosophy were also translated by Tibetan scholars like Yeshe De (mid 8th – early 9th century). One of these works is Kamalashila"s Madhyamakāloka.

Yeshe De describes the sugatagarbha as twofold. It is the impure mind of sentient beings, the ālayavijñāna, and it is also the pure "natural spiritual disposition" (rigs) that is present within all beings which is also called the dharmakāya, and which he also calls the root (rtsa) and the ground (gzhi).

The teaching of buddha-nature is also a key source for Tibetan Dzogchen texts, which presents the sugatagarbha as equivalent to the ultimate ground or basis of all reality. This teaching can be found in early Dzogchen sources like Nubchen Sangye Yeshe's (9th century) Lamp for the Eye of Contemplation equates buddha-nature with this ultimate basis, which it also calls by various names like "the spontaneous essence", "the innermost treasury of all vehicles", "the great universal grandfather [spyi myes], is to be experienced directly by self-awareness [rang rig pas]", "sphere of the great circle [thig le chen po'i klong] of the self-awareness."

The Nyingma school view of buddha-nature is generally marked by the tendency to align the idea with Dzogchen views and with Prasangika Madhyamaka. This trend begins with the work of Rongzom (1042–1136) and continues into the work of Longchenpa (1308–1364) and Mipham (1846–1912). Mipham Rinpoche, the most authoritative figure in modern Nyingma, adopted a view of buddha-nature as the unity of appearance and emptiness, relating it to the descriptions of the ground in Dzogchen as outlined by Longchenpa. This ground is said to be primordially pure (ka dag) and spontaneously present (Ihun grub). In Dzogchen, buddha nature, which is equated with the basis (gzhi) of all phenomena, is often explained as the unity of "primordial purity" (Wylie: ka dag) and "natural perfection" or "spontaneous presence" (lhun grub). The Nyingma commentary of Ju Mipham upon the Ratnagotravibhaga from a Dzogchen viewpoint has been rendered into English by Duckworth (2008).

The modern Nyingma scholars Khenchen Palden Sherab (1938–2010) and Khenpo Tsewang Dongyal (born 1950), emphasise that the essential nature of the mind (the buddha-nature) is not a blankness, but is characterized by wonderful qualities and a non-conceptual perfection that is already present and complete, it's just obscured and we fail to recognize it.

Sakya

Sakya Pandita (1182–1251), the central figure of the Sakya school, sees the buddha-nature as the dharmadhatu free from all reference points, and states that the teaching that buddha-nature exists in all beings is of expedient meaning (not ultimate) and that its basis is emptiness, citing Candrakirti's Madhyamakāvatārabhāsya. The Sakya scholar Rongtön (1367–1449) meanwhile, argued that buddha-nature is suchness, with stains, or emptiness of the mind with stains.

Sakya scholar Buton Rinchen Drub (1290–1364) likewise held that the buddha-nature teachings were not an ultimate or final teaching (like emptiness), seeing them as teachings of expedient meaning that merely points to emptiness. His view was that the basis for these teachings is the alaya-vijñana and also that buddha-nature is the dharmakaya of a buddha but "never exists in the great mass of sentient beings".

According to Brunnholzl, in the works of the influential Sakya scholar Gorampa Sonam Senge (1429–1489), buddha-nature is

nondual unity of minds lucidity and emptiness or awareness and emptiness free from all reference points. It is not mere emptiness because sheer emptiness cannot be the basis of both samsára and nirvána. However, it is not mere lucidity either because this lucidity is a conditioned entity and the tathágata heart is unconditioned.

Sakya Chokden (1428–1507) meanwhile argues that the ultimate buddha-nature is an implicative negation, which means that its philosophical negation leaves something positive that is not negated by analysis. This is "mind's natural luminosity free from all extremes of reference points, which is the sphere of personally experienced wisdom."

Jonang

The Jonang school, whose foremost historical figure was the Tibetan scholar-monk Dolpopa Sherab Gyaltsen (1292–1361), sees the buddha-nature as the very ground of the Buddha himself, as the "permanent indwelling of the Buddha in the basal state". According to Brunnholzl, Dolpopa, basing himself on certain tathāgatagarbha sutras, argued that the buddha-nature is "ultimately really established, everlasting, eternal, permanent, immutable (therzug), and being beyond dependent origination." This is the foundation of what is called the Shentong view.

The Buddhist tantric scripture entitled Chanting the Names of Mañjuśrī (Mañjuśrī-nāma-saṅgīti), repeatedly exalts, as portrayed by Dolpopa, not the non-Self but the Self, and applies the following terms to this ultimate reality: "the Buddha-Self, the beginningless Self, the solid Self, the diamond Self." These terms are applied in a manner which reflects the cataphatic approach to Buddhism, typical of much of Dolpopa's writings.

Cyrus Stearns writes that Dolpopa's attitude to the third turning of the wheel (i.e. the buddha-nature teachings) is that they "are the final definitive statements on the nature of ultimate reality, the primordial ground or substratum beyond the chain of dependent origination, and which is only empty of other, relative phenomena."

Kagyu

According to Brunnholzl, "virtually all Kagyu masters hold the teaching on buddha nature to be of definitive meaning and deny that the tathagata heart is just sheer emptiness or a nonimplicative negation." This means that most Kagyu scholars do not think that the strictly negative Madhyamaka explanation of buddha-nature is suffient on its own (without drawing on the buddha-nature sutras) to explain buddha-nature. Some Kagyu views can be similar to Jonang shentong and sometimes use shentong language, but they are generally less absolutist than Jonang views (the exception is Jamgon Kongtrul Lodro Taye, who largely follows Taranatha and Dolpopa but at times blends their positions with the Third Karmapa's view).

In Kagyu, the view of the Third Karmapa Rangjung Dorje is generally seen as the most authoritative. His is the view that buddha-nature is "mind's luminous ultimate nature or nondual wisdom, which is the basis of everything in samsara and nirvana." Thrangu Rinpoche sees the Buddha-nature as the indivisible oneness of wisdom and emptiness:

The union of wisdom and emptiness is the essence of Buddha-hood or what is called Buddha-nature (Skt. Tathagata-garbha) because it contains the very seed, the potential of Buddhahood. It resides in each and every being and because of this essential nature, this heart nature, there is the possibility of reaching Buddhahood.

Gelug

Kedrub Jé Geleg Balsang (1385–1438), one of the main disciples of Tsongkhapa, defined the tathāgatagarbha thus:

It is the emptiness of mind's being empty of being really established that is called "the naturally pure true nature of the mind." The naturally pure true nature of the mind in its phase of not being free from adventitious stains is called "sugata heart" or "naturally abiding disposition."

Brunnholzl states that the view of Gyaltsab Darma Rinchen (1364–1432) is that buddha-nature (the tathagata heart) is "the state of a being in whom mind's emptiness is obscured, while buddhas by definition do not possess this tathagata heart."

The 14th Dalai Lama sees the buddha-nature as the "original clear light of mind", but points out that it ultimately does not exist independently, because, like all other phenomena, it is of the nature of emptiness:

Once one pronounces the words "emptiness" and "absolute", one has the impression of speaking of the same thing, in fact of the absolute. If emptiness must be explained through the use of just one of these two terms, there will be confusion. I must say this; otherwise you might think that the innate original clear light as absolute truth really exists.

Rimé movement

The Rimé movement is an ecumenical movement in Tibet which started as an attempt to reconcile the various Tibetan schools in the 19th century. In contrast to the Gelugpa, which adheres to the rang stong, "self-empty", or Prasaṅgika point of view, the Rimé movement supports shen tong (gzhan tong), "other-empty", an essential nature which is "pure radiant non-dual consciousness".

According to Rime scholar Jamgon Kongtrul rangtong and shentong are not ultimately different as both can reach the ultimate state in practice. However, they do differ in how they describe ultimate reality (Dharmata), since shentong describes the buddha-mind as ultimately real, while rangtong rejects this (fearing it will be confused as an atman). Kongtrul "finds the Rangtong way of presentation the best to dissolve concepts and the Shentong way the best to describe the experience."

Modern scholarship

Modern scholarship points to the various possible interpretations of buddha-nature as either an essential self, as Sunyata, or as the inherent possibility of awakening.

Essential self

Shenpen Hookham, Oxford Buddhist scholar and Tibetan lama of the Shentong tradition writes of the buddha-nature or "true self" as something real and permanent, and already present within the being as uncompounded enlightenment. She calls it "the Buddha within", and writes that the Buddha, Nirvana and Buddha-wisdom can be referred to as the "True Self" (as it is done in some buddha-nature sutras). According to Hookham, in the shentong interpretation, buddha-nature is what truly exists, while not-self is what it is not.

Buddhist scholar and chronicler, Merv Fowler, writes that "the main message of the tathagatagarbha literature" is that buddha-nature really is present as "a hidden essence" within each being. According to Fowler, this view is "the idea that enlightenment, or nirvana, is not something which has to be achieved, it is something which is already there... In a way, it means that everyone is really a Buddha now."

Emptiness

According to Heng-Ching Shih, buddha-nature does not represent a substantial self (ātman). Rather, it is a positive expression of emptiness (śūnyatā), which emphasizes the potentiality to realize Buddhahood through Buddhist practices. In this view, the intention of the teaching of buddha-nature is soteriological rather than theoretical.

The influential 20th century Chinese scholar Yin Shun (印順, 1906 – 2005) drew on Chinese Madhyamaka to argue against any Yogacara influenced view that buddha-nature was an underlying permanent ground of reality and instead supported the view that buddha-nature teachings are just an expedient means. Yin Shun, drawing on his study of Indian Madhyamaka promoted the emptiness of all things as the ultimate Buddhist truth, and argued that the buddha-nature teaching was a provisional teaching taught in order to ease the fear of some Buddhists regarding emptiness as well as to attract those people who have an affinity to the idea of a Self or Brahman. Later after taking up the Buddhist path, they would be introduced to the truth of emptiness.

Critical Buddhist interpretation

Several contemporary Japanese Buddhist scholars, headed under the label Critical Buddhism (hihan bukkyō, 批判仏教), have been critical of buddha-nature thought. According to Matsumoto Shirõ and Hakamaya Noriaki of Komazawa University, essentialist conceptions of buddha-nature are at odds with the fundamental Buddhist doctrine of dependent origination and non-self (anātman). The Buddha nature doctrines which they label as dhātuvāda ("substantialism", sometimes rendered "locus theory" or "topicalism" and "generative monism") is not Buddhist at all. As defined by Matsumoto, this "locus" theory or dhātuvāda which he rejects as un-buddhist is: "It is the theory that the single (eka, sama) existent "locus" (dhatu) or basis is the cause that produces the manifold phenomena or "super-loci" (dharmah)." Matsumoto further argues that: "Tathagatagarbha thought was a Buddhist version of Hindu monism, formed by the influence of Hinduism gradually introduced into Buddhism, especially after the rise of Mahayana Buddhism." Other Japanese scholars responded to this view leading to a lively debate in Japan. Takasaki Jikido, a well known authority on tathagathagarbha thought, accepted that Buddha nature theories are similar to Upanishadic theories and that dhātuvāda is an accurate expression of the structure of these doctrines, but argues that the Buddha nature texts are aware of this and that Buddha nature is not necessarily un-Buddhist or anti-Buddhist. Likewise, Hirakawa Akira, sees buddha-nature as the potential to attain Buddhahood which is not static but ever changing and argues that "dhātu" does not necessarily mean substratum (he points to some Agamas which identify dhatu with pratitya-samutpada).

Western scholars have reacted in different ways to this idea. Sallie B. King objects to their view, seeing the buddha-nature as a metaphor for the potential in all beings to attain Buddhahood, rather than as an ontological reality. Robert H. Sharf notes that the worries of the Critical Buddhists is nothing new, for "the early tathāgatagarbha scriptures betray a similar anxiety, as they tacitly acknowledge that the doctrine is close to, if not identical with, the heretical ātmavāda teachings of the non- Buddhists." He also notes how the Nirvāṇa-sūtra "tacitly concedes the non-Buddhist roots of the tathāgatagarbha idea." Sharf also has pointed out how certain Southern Chan masters were concerned with other interpretations of Buddha nature, showing how the tendency to critique certain views of Buddha nature is not new in East Asian Buddhism.

Peter N. Gregory has also argued that at least some East Asian interpretations of Buddha nature are equivalent to what Critical Buddhists call dhātuvāda, especially the work of Tsung-mi, who "emphasizes the underlying ontological ground on which all phenomenal appearances (hsiang) are based, which he variously refers to as the nature (hsing), the one mind (i-hsin)...". According to Dan Lusthaus, certain Chinese Buddhist ideologies which became dominant in the 8th century promoted the idea of an "underlying metaphysical substratum" or "underlying, invariant, universal metaphysical 'source'" and thus do seem to be a kind of dhātuvāda. According to Lusthaus "in early T'ang China (7th–8th century) there was a deliberate attempt to divorce Chinese Buddhism from developments in India." Lusthaus notes that the Huayen thinker Fa-tsang was influential in this theological trend who promoted the idea that true Buddhism was about comprehending the "One Mind that alone is the ground of reality" (wei- hsin).

Paul Williams too has criticised this view, saying that Critical Buddhism is too narrow in its definition of what constitutes Buddhism. According to Williams, "We should abandon any simplistic identification of Buddhism with a straightforward not-Self definition".

Multiple meanings

Sutton agrees with Williams' critique on the narrowness of any single interpretation. In discussing the inadequacy of modern scholarship on buddha-nature, Sutton states, "One is impressed by the fact that these authors, as a rule, tend to opt for a single meaning disregarding all other possible meanings which are embraced in turn by other texts". He goes on to point out that the term tathāgatagarbha has up to six possible connotations. Of these, he says the three most important are:

  1. an underlying ontological reality or essential nature (tathāgata-tathatā-'vyatireka) which is functionally equivalent to a self (ātman) in an Upanishadic sense,
  2. the dharmakāya which penetrates all beings (sarva-sattveṣu dharma-kāya-parispharaṇa), which is functionally equivalent to brahman in an Upanishadic sense
  3. the womb or matrix of Buddhahood existing in all beings (tathāgata-gotra-saṃbhava), which provides beings with the possibility of awakening.

Of these three, Sutton claims that only the third connotation has any soteriological significance, while the other two posit buddha-nature as an ontological reality and essential nature behind all phenomena.

Self-reflection

A lady seated by herself
This next to last scene of the Admonitions Scroll shows a palace lady sitting in quiet contemplation, presumably following the admonitions in the accompanying lines: "Therefore I say: Be cautious and circumspect in all you do, and from this, good fortune will arise. Calmly and respectfully think about your actions, and honor and fame will await you."

Self-reflection is the ability to witness and evaluate our own cognitive, emotional, and behavioural processes. In psychology, other terms used for this self-observation include 'reflective awareness', and 'reflective consciousness', which originate from the work of William James.

Self-reflection depends upon a range of functions, including introspection and metacognition, which develop from infancy through adolescence, affecting how individuals interact with others, and make decisions.

Self-reflection is related to the philosophy of consciousness, the topic of awareness, and the philosophy of mind.

The concept of self-reflection is ancient. More than 3,000 years ago, "Know thyself" was the first of three Delphic maxims inscribed in the forecourt of the Temple of Apollo at Delphi. It is also considered a form of thought that generates new meaning and an opportunity to engage with what seemingly appears incongruous.

History

Early writings

Notions about the status of humanity may be revealed by the etymology of ancient words for humans. Latin homo (PIE *dʰǵʰm̥mō) means "of the earth, earthling", probably in opposition to "celestial" beings. Greek ἂνθρωπος (mycenaean *Anthropos) means "low-eyed", again probably contrasting with a divine perspective.

From the third-millennium Old Kingdom of Egypt, belief in an eternal afterlife of the human ka is documented along with the notion that the actions of a person would be assessed to determine the quality of that existence. A claim of dominance of humanity alongside radical pessimism because of the frailty and brevity of human life is asserted in the Hebrew Bible Genesis 1:28, where dominion of humans is promised, but contrarily, King Solomon who is the alleged author of Ecclesiastes according to rabbinic tradition, bewails the vanity of all human effort.

Classical antiquity

Protagoras made the famous claim that humans are "the measure of all things; of what is, that it is; of what is not, that it is not". Socrates advocated the ancient adage for all humans to "Know thyself", and gave the (doubtlessly tongue-in-cheek) definition of humans as, "featherless bipeds" (Plato, Politicus). Aristotle described humans as the "communal animal" (ζῶον πολιτικόν), i.e., emphasizing society-building as a central trait of human nature, and being a "thought bearer animal" (ζῶον λόγον ἔχον, animal rationale), a term that also may have inspired the species taxonomy, Homo sapiens.

Middle Ages

The dominant world-view of medieval Europe, as directed by the Catholic Church, was that human existence is essentially good and created in "original grace", but because of concupiscence, is marred by sin, and that its aim should be to focus on a beatific vision after death. The thirteenth century pope Innocent III wrote about the essential misery of earthly existence in his "On the misery of the human condition"—a view that was disputed by, for example, Giannozzo Manetti in his treatise "On human dignity".

Renaissance

A famous quote of Shakespeare's Hamlet (II, ii, 115–117), expresses the contrast of human physical beauty, intellectual faculty, and ephemeral nature:

What a piece of work is a man! How noble in reason! how infinite in faculties! in form and moving, how express and admirable! in action how like an angel! in apprehension, how like a god! the beauty of the world! the paragon of animals! And yet, to me, what is this quintessence of dust?

Selbstbetrachtung (self-reflection)
pen and ink drawing by Alfred Kubin (c. 1901)

René Descartes famously and succinctly proposed: Cogito ergo sum (French: "Je pense donc je suis"; English: "I think, therefore I am"), not an assessment of humanity, but certainly reflecting a capacity for reasoning as a characteristic of humans, that potentially, could include individual self-reflection.

Modern era

The Enlightenment was driven by a renewed conviction, that, in the words of Immanuel Kant, "Man is distinguished above all animals by his self-consciousness, by which he is a 'rational animal'." In conscious opposition to this tradition during the nineteenth century, Karl Marx defined humans as a "labouring animal" (animal laborans). In the early twentieth century, Sigmund Freud dealt a serious blow to positivism by postulating that, to a large part, human behaviour is controlled by the unconscious mind. Joseph Conrad uses the analogy of chemistry to describe how the tiniest idea can stimulate a person during reflection like a "little drop precipitating the process of crystallization in a test tube containing a colourless solution".

Mandatory or advisory periods for reflection are built into some regulatory requirements, for example changes to divorce law in England and Wales adopted in 2022 prescribe a 20-week period of reflection before certain proceedings are concluded, and the European Union's Mortgage Credit Directive allows for a seven-day period of reflection before a mortgage offer needs to be accepted.

Impact

Self-reflection is a process of communicating internally with oneself. When one takes time to think about their character or behavior, they analyze the reasons that caused the behavior, where this comes from, what the outcome of the behavior means to them, is it effective for them and what they can do about it. Individuals process this information about themselves to help them find methods to deal with the information gained during the self-reflection process and applying this information to future behavior has been shown to elicit strength and joy.

Self-reflection helps people in multiple ways:

First, self-reflection fortifies an individual’s emotional stability. When setting aside some effort to self-reflect they are looking inwards. This assists with building two parts to their emotional intelligence: self-awareness and self-concept. Self-awareness enables a person to comprehend their feelings, qualities, shortcomings, drives, and objectives, and recognize their effect on others. Self-concept includes the capacity to control or divert their troublesome feelings and motivations and adjust to changing circumstances. Building these skills will improve both their personal and professional life and language learning.

Second, self-reflection enhances a person’s self-esteem and gives transparency for decision-making. Self-esteem is significant for dealing with a filled, complex life that incorporates meetings, vocation, family, network, and self-necessities. It helps in decision-making, effective communication, and building influence. The more they think about their qualities and how they can grow them the more confident they will be later on. A person may become happy with their good qualities and identify the ones that require growth.

Third, the self-reflection process requires honesty of the individual in order to be effective. When a person is honest with themselves when self-reflecting, they are able to understand their experiences; this person can grow and makes changes based on what they have learned and lead them to better choices.

Fourth, self-reflection adapts a person’s actions in future situations. Making time to step back and consider their behaviors, the consequences of those behaviors, and the expectations of those behaviors can give them a source of a clear insight and learning. A person engaging in self-reflection may ask themselves: What appeared to have a more remarkable impact? How can we accomplish a greater amount of that and enhance it? This cycle of reflection and variation—before, during, after actions—is regularly a recognized part of the process.

Psychotherapy

A study involving clients in a twelve-step program explored the role of self‑reflection through diary writing, not only as daily therapy, but in a retrospective context. The study concluded that clients who read and reflected on their past diary entries demonstrated increased participation in the treatment program. The twelve-step program is based on self reflection and the accountability of actions past. The article by Mitchell Friedman indicates that success in one's recovery relies on self-reflection.

Reality in Buddhism

From Wikipedia, the free encyclopedia

Reality in Buddhism is called dharma (Sanskrit) or dhamma (Pali). This word, which is foundational to the conceptual frameworks of the Indian religions, refers in Buddhism to the system of natural laws which constitute the natural order of things. Dharma is therefore reality as-it-is (yatha-bhuta). The teaching of Gautama Buddha constitutes a method by which people can come out of their condition of suffering through developing an awareness of reality (see mindfulness). Buddhism thus seeks to address any disparity between a person's view of reality and the actual state of things. This is called developing Right or Correct View (Pali: samma ditthi). Seeing reality as-it-is is thus an essential prerequisite to mental health and well-being according to Buddha's teaching.

Buddhism addresses deeply philosophical questions regarding the nature of reality. One of the fundamental teachings is that all the constituent forms (sankharas) that make up the universe are transient (Pali: anicca), arising and passing away, and therefore without concrete identity or ownership (atta). This lack of enduring ownership or identity (anatta) of phenomena has important consequences for the possibility of liberation from the conditions which give rise to suffering. This is explained in the doctrine of dependent origination.

One of the most discussed themes in Buddhism is that of the emptiness (sunyata) of form (Pali: rūpa), an important corollary of the transient and conditioned nature of phenomena. Reality is seen, ultimately, in Buddhism as a form of 'projection', resulting from the fruition (vipaka) of karmic seeds (sankharas). The precise nature of this 'illusion' that is the phenomenal universe is debated among different schools. For example;

  • Some consider that the concept of the unreality of "reality" is confusing. They posit that the perceived reality is considered illusory not in the sense that reality is a fantasy or unreal, but that perceptions and preconditions mislead to believe that one is separate from the material. Reality, in this school of Buddhist thought, would be described as the manifestation of karma.
  • Other schools of thought in Buddhism (e.g., Dzogchen), consider perceived reality literally unreal. As Chögyal Namkhai Norbu puts it: "In a real sense, all the visions that we see in our lifetime are like a big dream [...]". In this context, the term 'visions' denotes not only visual perceptions, but appearances perceived through all senses, including sounds, smells, tastes and tactile sensations, and operations on received mental objects.

Reality in Buddhist scriptures

Buddhist sutras devote considerable space to the concept of reality, with each of two major doctrines—the Doctrine of Dependent Origination (pratitya-samutpada) and the Doctrine of Cause and Effect (karma and vipaka)—attempting to incorporate both the natural and the spiritual into its overall world view. Buddhist teachings continue to explore the nature of the world and our place in it.

The Buddha promoted experience over theorizing. According to Karel Werner,

Experience is ... the path most elaborated in early Buddhism. The doctrine on the other hand was kept low. The Buddha avoided doctrinal formulations concerning the final reality as much as possible in order to prevent his followers from resting content with minor achievements on the path in which the absence of the final experience could be substituted by conceptual understanding of the doctrine or by religious faith, a situation which sometimes occurs, in both varieties, in the context of Hindu systems of doctrine.

The Mahayana developed those statements he did make into an extensive, diverse set of sometimes contrasting descriptions of reality "as it really is." For example, in Tibetan Buddhism the Gelugpa draw a distinction between Svatantrika-Prasaṅgika in Madhyamika philosophy. This distinction was most prominently promulgated by Je Tsongkhapa (1357–1419 CE), when he argued that this distinction can be found explicitly and implicitly in the works of Nagarjuna, Chandrakirti, and Buddhapalita.

The Theravada school teaches that there is no universal personal god. The world does not have its origin in a primordial being such as brahman or the creator god. What is seen is only a product of transitory factors of existence, which depend functionally upon each other. The Buddha is said to have said: "The world exists because of causal actions, all things are produced by causal actions and all beings are governed and bound by causal actions. They are fixed like the rolling wheel of a cart, fixed by the pin of its axle shaft." (Sutta Nipata 654)

The word 'illusion' is frequently associated with Buddhism and the nature of reality. Some interpretations of Buddhism teach that reality is a coin with two sides: the not-permanent characteristic or anicca and the "not-self characteristic" or anatta, referred to as "emptiness" in some Mahayana schools. Dzogchen, as the non-dual culmination of the Nyingmapa (a sect with a few million followers out of a few hundred million Buddhists) of Mantrayana, resolves atman and anatman into the Mindstream Doctrine of Tapihritsa. The Buddha Shakyamuni is said to have taught the variously understood and interpreted concept of "not-self" in the Anatta-lakkhana Sutta. In this sutta, he lists the characteristics that are often associated with self identity, and found that these characteristics, ultimately, are not who an individual is because they are subject to change without control. He further illustrates the changing nature of feelings, perceptions, and consciousness.

The concepts of not-permanent and not-self in objective terms, for example by deconstructing the concept of an aggregated object such as a lotus and seeing that the flower is made up entirely of non-flower elements like soil, nutrients, photosynthetic energy, rain water and the effort of the entities that nourished and grew the flower. All of these factors, according to the Diamond Sutra, co-exist with each other to manifest what we call a 'flower'. In other words, there is no essence arisen from nothingness that is unique and personal to any being. In particular, there is neither a human soul that lives on beyond the death of the physical body nor one that is extinguished at death since, strictly speaking, there is nothing to extinguish. The relative reality (i.e., the illusory perceived reality) comes from our belief that human life is separate from the rest of the things in the universe and, at times, at odds with the processes of nature and other beings. The ultimate or absolute reality, in some schools of Buddhist thought, shows that we are inter-connected with all things. The concept of non-discrimination expands on this by saying that, while a chair is different from a flower, they 'inter-are' because they are each made of non-flower and non-chair elements. Ultimately those elements are the same, so the distinction between chair and flower is one of quantity not of quality.

The Diamond Sutra, a Mahayana scripture, has many passages that use the formula: A is not A, therefore A is called A.

Reality and dreams in Dzogchen

In Dzogchen, perceived reality is considered to be illusion.

The real sky is (knowing) that samsara and nirvana are merely an illusory display.

— Mipham Rinpoche, Quintessential Instructions of Mind, p. 117

According to contemporary teacher Chögyal Namkhai Norbu, all appearances perceived during the whole life of an individual, through all senses, including sounds, smells, tastes and tactile sensations in their totality, are like a big dream. It is claimed that, on careful examination, the dream of life and regular nightly dreams are not very different, and that in their essential nature there is no difference between them.

The non-essential difference between the dreaming state and ordinary waking experience is that the latter is more concrete and linked to attachment; the dreaming experience while sleeping is slightly detached.

Also according to this teaching, there is a correspondence between the states of sleep and dream and our experiences when we die. After experiencing the intermediate state of bardo, an individual comes out of it, a new karmic illusion is created and another existence begins. This is how transmigration happens.

According to Dzogchen teachings, the energy of an individual is essentially without form and free from duality. However, karmic traces contained in the individual's mindstream give rise to two kinds of forms:

  • forms that the individual experiences as his or her body, voice and mind
  • forms that the individual experiences as an external environment.

What appears as a world of permanent external phenomena, is the energy of the individual him or herself. There is nothing completely external or separate from the individual. Everything that manifests in the individual's field of experience is a continuum. This is the 'Great Perfection' that is discovered in Dzogchen practice.

It is possible to do yogic practice such as Dream Yoga and Yoga Nidra whilst dreaming, sleeping and in other bardo states of trance. In this way the yogi can have a very strong experience and with this comes understanding of the dream-like nature of daily life. This is also very relevant to diminishing attachments, because they are based on strong beliefs that life's perceptions such as objects are real and as a consequence: important. If one really understands what Buddha Shakyamuni meant when he said that everything is (relatively) unreal, then one can diminish attachments and tensions.

The teacher advises that the realization that life is only a big dream can help us finally liberate ourselves from the chains of various emotions, different kinds of attachment and the chains of ego. Then we have the possibility of ultimately becoming enlightened.

Different schools and traditions in Tibetan Buddhism give different explanations of what is called "reality".

Reality in the Tathagatagarbha Sutras

Prior to the period of the Tathagatagarbha Sutras, Mahayana metaphysics had been dominated by teachings on emptiness in the form of Madhyamaka philosophy. The language used by this approach is primarily negative, and the Tathagatagarbha genre of sutras can be seen as an attempt to state orthodox Buddhist teachings of dependent origination using positive language instead, to prevent people from being turned away from Buddhism by a false impression of nihilism. In these sutras the perfection of the wisdom of not-self is stated to be the true self; the ultimate goal of the path is then characterized using a range of positive language that had been used in Indian philosophy previously by essentialist philosophers, but which was now transmuted into a new Buddhist vocabulary to describe a being who has successfully completed the Buddhist path.

Contrasting with some forms of Buddhism, the Buddha's teaching on 'reality' in the Tathagatagarbha Mahayana scriptures - which the Buddha states constitute the ultimate manifestation of the Mahayana Dharma (other Mahayana sutras make similar claims about their own teachings) - insists that there truly is a sphere or realm of ultimate truth - not just a repetitious cycle of interconnected elements, each dependent on the others. That suffering-filled cycle of x-generating-y-and-y-generating-z-and-z-generating-a, etc., is Samsara, the prison-house of the reincarnating non-self; whereas liberation from dependency, enforced rebirth and bondage is nirvana or reality / spiritual essence (tattva / dharmata). This sphere also bears the name Tathagatagarbha (Buddha matrix). It is the deathless realm where dependent origination holds no sway, where non-self is supplanted by the everlasting, sovereign (aishvarya) self (atman) (as a trans-historical, unconditioned, ultimate, liberating, supra-worldly yet boundless and immanent awakened mind). Of this real truth, called nirvana - which, while salvationally infused into samsara, is not bound or imprisoned in it - the Buddha states in the Mahayana Mahaparinirvana Sutra:

"What is the Real (tattva)? Knowledge of the true attributes of Nirvana; the Tathagata, the Dharma, the Sangha, and the attributes of space ... is the Real. What is knowledge of the attributes of Nirvana? The attributes of Nirvana are eightfold. What are these eight? Cessation [of ignorance and suffering]; loveliness/ wholesomeness; Truth; Reality; Eternity, Bliss, the Self [atman], and complete Purity: that is Nirvana."

He further comments: " ... that which is endowed with the Eternal, Bliss, the Self, and Purity is stated to be the meaning of 'Real Truth' ... Moreover, the Real is the Tathagata [i.e., the Buddha]; the Tathagata is the Real ... The Tathagata is not conditioned and not tainted, but utterly blissful: this is the Real ...".

Thus, in such doctrines, a very positive goal is envisioned, which is said to lie beyond the grasp of the five senses and the ordinary, restless mind, and only attainable through direct meditative perception and when all inner pollutants (twisted modes of view, and all moral contaminants) are purged, and the inherently deathless, spotless, radiantly shining mind of Buddha stands revealed. This is the realm of the Buddha-dhatu (popularly known as buddha nature) - inconceivable, beginning-less, endless, omniscient truth, the Dharmakaya (quintessential body-and-mind) of the Buddha. This reality is empty of all falsehood, impermanence, ignorance, afflictions, and pain, but filled with enduring happiness, purity, knowingness (jnana), and omni-radiant loving-kindness (maitri).

Vipassanā

Vipassanā (Pāli) or vipaśyanā (Sanskrit: विपश्यन) in the Buddhist tradition means insight into the true nature of reality. It is a practice of realizing our reality in order to see life as it is, in turn liberating ourselves like Lord Buddha.

Multivariate statistics

From Wikipedia, the free encyclopedia

Multivariate statistics is a subdivision of statistics encompassing the simultaneous observation and analysis of more than one outcome variable, i.e., multivariate random variables. Multivariate statistics concerns understanding the different aims and background of each of the different forms of multivariate analysis, and how they relate to each other. The practical application of multivariate statistics to a particular problem may involve several types of univariate and multivariate analyses in order to understand the relationships between variables and their relevance to the problem being studied.

In addition, multivariate statistics is concerned with multivariate probability distributions, in terms of both

  • how these can be used to represent the distributions of observed data;
  • how they can be used as part of statistical inference, particularly where several different quantities are of interest to the same analysis.

Certain types of problems involving multivariate data, for example simple linear regression and multiple regression, are not usually considered to be special cases of multivariate statistics because the analysis is dealt with by considering the (univariate) conditional distribution of a single outcome variable given the other variables.

Multivariate analysis

Multivariate analysis (MVA) is based on the principles of multivariate statistics. Typically, MVA is used to address situations where multiple measurements are made on each experimental unit and the relations among these measurements and their structures are important. A modern, overlapping categorization of MVA includes:

  • Normal and general multivariate models and distribution theory
  • The study and measurement of relationships
  • Probability computations of multidimensional regions
  • The exploration of data structures and patterns

Multivariate analysis can be complicated by the desire to include physics-based analysis to calculate the effects of variables for a hierarchical "system-of-systems". Often, studies that wish to use multivariate analysis are stalled by the dimensionality of the problem. These concerns are often eased through the use of surrogate models, highly accurate approximations of the physics-based code. Since surrogate models take the form of an equation, they can be evaluated very quickly. This becomes an enabler for large-scale MVA studies: while a Monte Carlo simulation across the design space is difficult with physics-based codes, it becomes trivial when evaluating surrogate models, which often take the form of response-surface equations.

Types of analysis

Many different models are used in MVA, each with its own type of analysis:

  1. Multivariate analysis of variance (MANOVA) extends the analysis of variance to cover cases where there is more than one dependent variable to be analyzed simultaneously; see also Multivariate analysis of covariance (MANCOVA).
  2. Multivariate regression attempts to determine a formula that can describe how elements in a vector of variables respond simultaneously to changes in others. For linear relations, regression analyses here are based on forms of the general linear model. Some suggest that multivariate regression is distinct from multivariable regression, however, that is debated and not consistently true across scientific fields.
  3. Principal components analysis (PCA) creates a new set of orthogonal variables that contain the same information as the original set. It rotates the axes of variation to give a new set of orthogonal axes, ordered so that they summarize decreasing proportions of the variation.
  4. Factor analysis is similar to PCA but allows the user to extract a specified number of synthetic variables, fewer than the original set, leaving the remaining unexplained variation as error. The extracted variables are known as latent variables or factors; each one may be supposed to account for covariation in a group of observed variables.
  5. Canonical correlation analysis finds linear relationships among two sets of variables; it is the generalised (i.e. canonical) version of bivariate correlation.
  6. Redundancy analysis (RDA) is similar to canonical correlation analysis but allows the user to derive a specified number of synthetic variables from one set of (independent) variables that explain as much variance as possible in another (independent) set. It is a multivariate analogue of regression.
  7. Correspondence analysis (CA), or reciprocal averaging, finds (like PCA) a set of synthetic variables that summarise the original set. The underlying model assumes chi-squared dissimilarities among records (cases).
  8. Canonical (or "constrained") correspondence analysis (CCA) for summarising the joint variation in two sets of variables (like redundancy analysis); combination of correspondence analysis and multivariate regression analysis. The underlying model assumes chi-squared dissimilarities among records (cases).
  9. Multidimensional scaling comprises various algorithms to determine a set of synthetic variables that best represent the pairwise distances between records. The original method is principal coordinates analysis (PCoA; based on PCA).
  10. Discriminant analysis, or canonical variate analysis, attempts to establish whether a set of variables can be used to distinguish between two or more groups of cases.
  11. Linear discriminant analysis (LDA) computes a linear predictor from two sets of normally distributed data to allow for classification of new observations.
  12. Clustering systems assign objects into groups (called clusters) so that objects (cases) from the same cluster are more similar to each other than objects from different clusters.
  13. Recursive partitioning creates a decision tree that attempts to correctly classify members of the population based on a dichotomous dependent variable.
  14. Artificial neural networks extend regression and clustering methods to non-linear multivariate models.
  15. Statistical graphics such as tours, parallel coordinate plots, scatterplot matrices can be used to explore multivariate data.
  16. Simultaneous equations models involve more than one regression equation, with different dependent variables, estimated together.
  17. Vector autoregression involves simultaneous regressions of various time series variables on their own and each other's lagged values.
  18. Principal response curves analysis (PRC) is a method based on RDA that allows the user to focus on treatment effects over time by correcting for changes in control treatments over time.
  19. Iconography of correlations consists in replacing a correlation matrix by a diagram where the “remarkable” correlations are represented by a solid line (positive correlation), or a dotted line (negative correlation).

Dealing with incomplete data

It is very common that in an experimentally acquired set of data the values of some components of a given data point are missing. Rather than discarding the whole data point, it is common to "fill in" values for the missing components, a process called "imputation".

Important probability distributions

There is a set of probability distributions used in multivariate analyses that play a similar role to the corresponding set of distributions that are used in univariate analysis when the normal distribution is appropriate to a dataset. These multivariate distributions are:

The Inverse-Wishart distribution is important in Bayesian inference, for example in Bayesian multivariate linear regression. Additionally, Hotelling's T-squared distribution is a multivariate distribution, generalising Student's t-distribution, that is used in multivariate hypothesis testing.

History

Anderson's 1958 textbook, An Introduction to Multivariate Statistical Analysis, educated a generation of theorists and applied statisticians; Anderson's book emphasizes hypothesis testing via likelihood ratio tests and the properties of power functions: admissibility, unbiasedness and monotonicity.

MVA was formerly discussed solely in the context of statistical theories, due to the size and complexity of underlying datasets and its high computational consumption. With the dramatic growth of computational power, MVA now plays an increasingly important role in data analysis and has wide application in Omics fields.

Applications

Software and tools

There are an enormous number of software packages and other tools for multivariate analysis, including:

Overdetermination

From Wikipedia, the free encyclopedia

Overdetermination occurs when a single-observed effect is determined by multiple causes, any one of which alone would be conceivably sufficient to account for ("determine") the effect. The term "overdetermination" (German: Überdeterminierung) was used by Sigmund Freud as a key concept in his psychoanalysis, and later by Louis Althusser.

In the philosophy of science, the concept of overdetermination has been used to describe a situation in which there are more causes present than are necessary to cause an effect. Overdetermination here is in contrast to underdetermination, when the number or strength of causes is insufficient.

Freud and psychoanalysis

Freud wrote in The Interpretation of Dreams that many features of dreams were usually "overdetermined," in that they were caused by multiple factors in the life of the dreamer, from the "residue of the day" (superficial memories of recent life) to deeply repressed traumas and unconscious wishes, these being "potent thoughts". Freud favored interpretations which accounted for such features not only once, but many times, in the context of various levels and complexes of the dreamer's psyche.

The concept was later borrowed for a variety of other realms of thought.

Richards and literature

The New Critic I. A. Richards appealed to Freud's idea of overdetermination while explaining why what Richards called a 'context theorem of meaning' showed the importance of ambiguity in rhetoric, the philosophy of language, and literary criticism:

Freud taught us that a dream may mean a dozen different things; he has persuaded us that some symbols are, as he says, 'over-determined' and mean many different selections from among their causes. This theorem goes further, and regards all discourse – outside the technicalities of science – as over-determined, as having multiplicity of meaning.

Althusser and structuralist Marxism

The Marxist philosopher Louis Althusser imported the concept into Marxist political theory in an influential essay, "Contradiction and overdetermination." Drawing from both Freud and Mao Zedong, Althusser used the idea of overdetermination as a way of thinking about the multiple, often opposed, forces active at once in any political situation, without falling into an overly simple idea of these forces being simply "contradictory." Brewster, in Althusser et al.'s Reading Capital defines overdetermination as such:

"Althusser uses [overdetermination] to describe the effects of the contradictions in each practice constituting the social formation on the social formation as a whole, and hence back on each practice and each contradiction, defining the pattern of dominance and subordination, antagonism and non-antagonism of the contradictions in the structure in dominance at any given historical moment. More precisely, the overdetermination of a contradiction is the reflection in it of its conditions of existence within the complex whole, that is, of the other contradictions in the complex whole, in other words its uneven development."

An instance of a popular riot calling for revolution could exemplify overdetermination. The event has to it, in capitalist culture, an over-application (determination) of agitation. The determinant contradictions (the reasons for popular revolt) are not addressed and so their great mass is "displaced" onto the singular event.

In analytic philosophy

In contemporary analytic philosophy an event or state of affairs is said to be overdetermined if it has two or more distinct, sufficient causes. In philosophy of mind, the famous case of overdetermination is called mental-physical causal overdetermination. If we accept that a mental state (M) is realized by a physical state (P). And M can cause another mental state (M*) or another physical state (P*). Then, nomologically speaking, P can cause M* or P* too. In this way, M* or P* is both determined by M and P. In other words, both M* and P* are overdetermined. Since either M or P is sufficient for M* or P*, the problem of mental-physical causal overdetermination is the causal redundancy.

Whereas there may unproblematically be recognised many different necessary conditions of the event's occurrence, no two distinct events may lay claim to be sufficient conditions, since this would lead to overdetermination. A much used example is that of firing squads, the members of which simultaneously firing at and 'killing' their targets. Apparently, no one member can be said to have caused the victims' deaths, since they would have been killed anyway. Another example is that Billy and Suzy each throw a rock through a window, and either rock alone could have shattered the window. In this case, similar to the example of firing squads, Billy and Suzy together shatter the window and the result is not overdetermined. Or, we can say, even if these two examples are a kind of overdetermination, this kind of overdetermination is benign.

There are many problems of overdetermination. First, overdetermination is problematic in particular from the viewpoint of a standard counterfactual understanding of causation, according to which an event is the cause of another event if and only if the latter would not have occurred, had the former not occurred. In order to employ this formula to actual complex situations, implicit or explicit conditions need to be accepted to be circumstantial, since the list of counterfactually acceptable causes would otherwise be impractically long (e.g. the Earth's continued existence could be said to be the (necessary) cause of one drinking one's coffee). Unless a circumstance-clause is included, the putative cause to which one wishes to draw attention could never be considered sufficient, and hence not comply with the counterfactual analysis. Second, overdetermination is problematic in that we do not know how to explain where the extra causation "comes from" and "goes". This makes overdetermination mysterious.

Superrationality

From Wikipedia, the free encyclopedia
https://en.wikipedia.org/wiki/Superrationality

In economics and game theory, a participant is considered to have superrationality (or renormalized rationality) if they have perfect rationality (and thus maximize their utility) but assume that all other players are superrational too and that a superrational individual will always come up with the same strategy as any other superrational thinker when facing the same problem. Applying this definition, a superrational player playing against a superrational opponent in a prisoner's dilemma will cooperate while a rationally self-interested player would defect.

This decision rule is not a mainstream model within the game theory and was suggested by Douglas Hofstadter in his article, series, and book Metamagical Themas as an alternative type of rational decision making different from the widely accepted game-theoretic one. Hofstadter provided this definition: "Superrational thinkers, by recursive definition, include in their calculations the fact that they are in a group of superrational thinkers." This is equivalent to reasoning as if everyone in the group obeys Kant's categorical imperative: "one should take those actions and only those actions that one would advocate all others take as well."

Unlike the supposed "reciprocating human", the superrational thinker will not always play the equilibrium that maximizes the total social utility and is thus not a philanthropist.

Prisoner's dilemma

The idea of superrationality is that two logical thinkers analyzing the same problem will think of the same correct answer. For example, if two people are both good at math and both have been given the same complicated problem to do, both will get the same right answer. In math, knowing that the two answers are going to be the same doesn't change the value of the problem, but in the game theory, knowing that the answer will be the same might change the answer itself.

The prisoner's dilemma is usually framed in terms of jail sentences for criminals, but it can be stated equally well with cash prizes instead. Two players are each given the choice to cooperate (C) or to defect (D). The players choose without knowing what the other is going to do. If both cooperate, each will get $100. If they both defect, they each get $1. If one cooperates and the other defects, then the defecting player gets $200, while the cooperating player gets nothing.

The four outcomes and the payoff to each player are listed below.


Player B cooperates Player B defects
Player A cooperates Both get $100 Player A: $0
Player B: $200
Player A defects Player A: $200
Player B: $0
Both get $1

One valid way for the players to reason is as follows:

  1. Assuming the other player defects, if I cooperate I get nothing and if I defect I get a dollar.
  2. Assuming the other player cooperates, I get $100 if I cooperate and $200 if I defect.
  3. So whatever the other player does, my payoff is increased by defecting, if only by one dollar.

The conclusion is that the rational thing to do is to defect. This type of reasoning defines game-theoretic rationality and two game-theoretic rational players playing this game both defect and receive a dollar each.

Superrationality is an alternative method of reasoning. First, it is assumed that the answer to a symmetric problem will be the same for all the superrational players. Thus the sameness is taken into account before knowing what the strategy will be. The strategy is found by maximizing the payoff to each player, assuming that they all use the same strategy. Since the superrational player knows that the other superrational player will do the same thing, whatever that might be, there are only two choices for two superrational players. Both will cooperate or both will defect depending on the value of the superrational answer. Thus the two superrational players will both cooperate since this answer maximizes their payoff. Two superrational players playing this game will each walk away with $100.

Note that a superrational player playing against a game-theoretic rational player will defect, since the strategy only assumes that the superrational players will agree. A superrational player playing against a player of uncertain superrationality will sometimes defect and sometimes cooperate, based on the probability of the other player being superrational.

Although standard game theory assumes common knowledge of rationality, it does so in a different way. The game-theoretic analysis maximizes payoffs by allowing each player to change strategies independently of the others, even though in the end, it assumes that the answer in a symmetric game will be the same for all. This is the definition of a game-theoretic Nash equilibrium, which defines a stable strategy as one where no player can improve the payoffs by unilaterally changing course. The superrational equilibrium in a symmetric game is one where all the players' strategies are forced to be the same before the maximization step. (There is no agreed-upon extension of the concept of superrationality to asymmetric games.)

Some argue that superrationality implies a kind of magical thinking in which each player supposes that their decision to cooperate will cause the other player to cooperate, even though there is no communication. Hofstadter points out that the concept of "choice" doesn't apply when the player's goal is to figure something out, and that the decision does not cause the other player to cooperate, but rather the same logic leads to the same answer independent of communication or cause and effect. This debate is over whether it is reasonable for human beings to act in a superrational manner, not over what superrationality means, and is similar to arguments about whether it is reasonable for humans to act in a 'rational' manner, as described by game theory (wherein they can figure out what other players will or have done by asking themselves, what would I do if I was them, and applying backward induction and iterated elimination of dominated strategies).

Probabilistic strategies

For simplicity, the foregoing account of superrationality ignored mixed strategies: the possibility that the best choice could be to flip a coin, or more generally to choose different outcomes with some probability. In the prisoner's dilemma, it is superrational to cooperate with probability 1 even when mixed strategies are admitted, because the average payoff when one player cooperates and the other defects are the same as when both cooperate and so defecting increases the risk of both defecting, which decreases the expected payout. But in some cases, the superrational strategy is mixed.

For example, if the payoffs in are as follows:

CC – $100/$100
CD – $0/$1,000,000
DC – $1,000,000/$0
DD – $1/$1

So that defecting has a huge reward, the superrational strategy is defecting with a probability of 499,900/999,899 or a little over 49.995%. As the reward increases to infinity, the probability only approaches 1/2 further, and the losses for adopting the simpler strategy of 1/2 (which are already minimal) approach 0. In a less extreme example, if the payoff for one cooperator and one defector was $400 and $0, respectively, the superrational mixed strategy world be defecting with probability 100/299 or about 1/3.

In similar situations with more players, using a randomising device can be essential. One example discussed by Hofstadter is the platonia dilemma: an eccentric trillionaire contacts 20 people, and tells them that if one and only one of them send him or her a telegram (assumed to cost nothing) by noon the next day, that person will receive a billion dollars. If they receive more than one telegram or none at all, no one will get any money, and communication between players is forbidden. In this situation, the superrational thing to do (if it is known that all 20 are superrational) is to send a telegram with probability p=1/20—that is, each recipient essentially rolls a 20-sided die and only sends a telegram if it comes up "1". This maximizes the probability that exactly one telegram is received.

Notice though that this is not the solution in the conventional game-theoretical analysis. Twenty game-theoretically rational players would each send in telegrams and therefore receive nothing. This is because sending telegrams is the dominant strategy; if an individual player sends telegrams they have a chance of receiving money, but if they send no telegrams they cannot get anything. (If all telegrams were guaranteed to arrive, they would only send one, and no one would expect to get any money).

Formalizations and related concepts

Superrationality is a form of Immanuel Kant's categorical imperative, and is closely related to the concept of Kantian equilibrium proposed by the economist and analytic Marxist John Roemer.

The question of whether to cooperate in a one-shot Prisoner's Dilemma in some circumstances has also come up in the decision theory literature sparked by Newcomb's problem. Causal decision theory suggests that superrationality is irrational, while evidential decision theory endorses lines of reasoning similar to superrationality and recommends cooperation in a Prisoner's Dilemma against a similar opponent.

Program equilibrium has been proposed as a mechanistic model of superrationality.

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