Like so many other aspects of the Vinaya, the procedures for ordination—the patterns to be followed in accepting applicants into the Community—were not determined all at once, but grew in response to events over time. There were three main stages in their development. In the first stage, during the very early years of the Buddha’s career, when an applicant asked to join the Community the Buddha would simply say, Ehi bhikkhu… (Come, bhikkhu.) That constituted the applicant’s acceptance into the Community. As the Community grew, the Buddha sent his bhikkhu disciples their separate ways to spread the teaching. When they inspired in others a desire to join the Community, they had to bring the applicants back to the Buddha for him to accept. Seeing the difficulties this entailed—roads were poor; the bhikkhus and their applicants had to travel great distances on foot—the Buddha allowed individual disciples to accept applicants on their own, using the formula of going for the Triple Refuge. This was the second stage. In the third stage, when the Buddha saw that the Community required a more formal organization, he rescinded the going for the Triple Refuge as a means of acceptance and replaced it with a formal Community transaction, using a motion and three proclamations.

Even then, however, the rules and procedures governing ordination continued to develop in response to events recorded in the Canon. And after the closing of the Canon, traditions continued to build up around the act of ordination, so that different sects within the Theravāda school have differing customs surrounding the basic core of instructions included in the Canon and explained in the commentaries. In this chapter, we will focus on the common core: the aspects of the ordination procedure that are absolutely necessary for it to be a valid Community transaction. After a few general remarks, our discussion will start with the validity of the object, i.e., the applicant for ordination, followed by the validity of the assembly and the validity of the transaction statements. Anyone interested in learning the complete patterns for ordination as currently practiced in the various Theravādin sects should consult the ordination guides issued by those sects.

Going-forth & Acceptance

Ordination falls into two parts: Going-forth (pabbajjā) and Acceptance (upasampadā). The first has traditionally been treated as a prerequisite for the second, but nothing in the Canon indicates that it need be so. The transaction for Acceptance was first formulated when there was no ceremony for Going-forth; and even after the Going-forth ceremony was instituted, no directives required that it form a prelude for Acceptance. However, the pattern of giving the Going-forth prior to Acceptance is ancient—the standard short description of a full ordination in Mv.I is, “x obtained the Going-forth; he obtained Acceptance”—so that is the pattern discussed here.

In the Going-forth, one leaves the home life for the homeless life, becoming a novice (sāmaṇera). After one’s head is shaved, one dons the ochre robes, takes refuge in the Triple Gem, and undertakes the ten precepts. In the Acceptance, one becomes a full-fledged bhikkhu, with full rights to live in common affiliation with the Bhikkhu Saṅgha. The Going-forth is not a Community transaction, whereas Acceptance is.

The validity of the object

An applicant for ordination must be a male who meets the age requirements, and he must not have any characteristics that would disqualify him from ordination.

Age requirements

An applicant for the Going-forth must be at least fifteen years old or, if not yet fifteen, “capable of chasing crows away.” According to the Commentary, this means that, while holding a clod of earth in one hand, he can chase crows away from food placed in front of him while he is eating it with his other hand.

An applicant for full Acceptance must be at least twenty years old, counting from the time his consciousness first arose at conception in his mother’s womb. As this is difficult—if not impossible—to date with any accuracy, the usual practice in calculating a person’s age is to add six months to the number of years since his birth, to allow for his having been born prematurely. As the Commentary notes, a baby born after seven months in the womb may survive, but one born after only six months won’t. Pc 65 states that if an applicant less than twenty years old receives full Acceptance, he does not count as a bhikkhu; the Commentary says that he remains a novice. Any bhikkhu who acts as his preceptor, knowing that he is too young to be accepted, incurs a pācittiya; any other bhikkhus in the assembly performing the ordination who also know the applicant’s age incur a dukkaṭa.

Disqualifications

The factors that would disqualify an applicant from receiving ordination are of three sorts:

Absolutely disqualified

A person may be absolutely disqualified if he:

The Canon states that such people may not receive full Acceptance. The Commentary adds (with one exception, noted below) that they may not receive the Going-forth. Even if they receive ordination, they do not count as ordained. Once the truth about them is discovered, they must immediately be expelled.

1) The prohibition for abnormal gender covers paṇḍakas and hermaphrodites. According to the Commentary, there are five kinds of paṇḍakas, two of whom do not come under this prohibition: voyeurs and those whose sexual fever is allayed by performing fellatio. The three who do come under this prohibition are: castrated men (eunuchs), those born neuter, and half-time paṇḍakas (those with the sexual desires of a paṇḍaka during the dark fortnight, and none during the bright fortnight (?)). In the origin story for this prohibition, a paṇḍaka who had received Acceptance unsuccessfully propositioned some bhikkhus and novices, then succeeded in propositioning some horse- and elephant-trainers, who spread it about, “These Sakyan-son monks are paṇḍakas. And those among them who are not paṇḍakas molest paṇḍakas.”

2) The five deeds of immediate retribution are:

3) The prohibition for having seriously wronged the Dhamma-Vinaya covers any person who has:

4) The prohibition against ordaining an animal comes from one of the more poignant origin stories in the Canon:

The Commentary states that the term animal covers all types of non-human beings, “even Sakka, the king of the devas.” However, its statements under the topic of matricides and patricides, quoted above, show that—in its view of mixed unions—the offspring of a human/non-human union would either be human or non-human. In the first case he would qualify for ordination; in the second case, not.

Undesirable

Applicants falling into the following categories should not be given the Going-forth. As the Going-forth is the customary first step in full Acceptance, this means that they should not receive full Acceptance, either. Any bhikkhu who gives any of these applicants the Going-forth incurs a dukkaṭa. However, the applicant does count as having properly gone forth; if fully accepted he is properly accepted and need not be expelled.

Formally unprepared

The Canon says that the following applicants should not be given full Acceptance. As the Vinaya-mukha points out, they should not receive the Going-forth, either. Although the Canon does not say whether—if they happen to receive Acceptance—their Acceptance stands, the Commentary affirms that it does. Because the disqualifications are formal and easy to correct, there should be no reason to overlook them. Anyone who participates in giving Acceptance to such an applicant incurs a dukkaṭa.

Special cases

Previous suspension

If an applicant was previously ordained, the Community should check to see if, during his previous time as a bhikkhu, he was suspended for not seeing an offense, for not making amends for an offense, or for not relinquishing an evil view. If he was, then Mv.I.79.2 says he is to be treated as follows (taking suspension for not seeing an offense as an example):

Upon asking for Acceptance he is to be told, ‘Will you see this offense?’ If he says Yes, he may be given the Going-forth. If he says No, he is not to be given the Going-forth. Having gone forth, he is to be asked, ‘Will you see this offense?’ If he says Yes, he may be accepted. If No, he is not to be accepted. Having been accepted, he is to be asked, ‘Will you see this offense?’ If he says Yes, he may be restored. If No, he is not to be restored. Having been restored, he is to be asked, ‘Do you see this offense?’ If he says Yes, well and good. If No, then if unity can be obtained, he is to be suspended again. If unity cannot be obtained, there is no offense in communing or affiliating with him (see Pc 69).

Probation

Another special case is that of an applicant who has previously been ordained in another religion. Mv.I.38.1 states that he must first be granted four months’ probation. The Commentary maintains that this probation applies only to naked ascetics, but the Canon itself makes an exception only for those whose previous religion teaches a doctrine of kamma; therefore, the probation should apply to any religion that would deny the doctrine of kamma (saying, for instance, that one’s experiences are totally predetermined by a creator deity or an impersonal force) or would teach special dispensations from kamma (such as Buddhist religions that teach ritual ways to counteract the results of kamma).

The probation is granted as follows: The applicant takes the Going-forth (see below) and then three times requests probation. The Community, if it sees fit, may grant him probation using a motion and one proclamation. The request and transaction statement are given in Appendix II.

If, while on probation, the applicant behaves in any of the ways listed below, he fails in his probation and is not to be accepted. The Commentary adds that, if he still desires Acceptance, his probation automatically starts again at that point for another four months “even if he fails while in the ordination hall, even if he attains the eight attainments.” It adds, however, that if he attains stream-entry, he should be allowed to ordain on that very day. Given, however, that modern meditation traditions cannot agree on what constitutes stream-entry, such a claim would always be controversial, and so the wise policy would be to let the applicant complete his probation. If he has really attained stream-entry, he shouldn’t mind.

An applicant fails in his probation if:

1) He enters the village too early, returns too late in the day. According to the Commentary too early means while the bhikkhus are performing their morning duties; too late means that he stays to eat in the village, discussing worldly affairs with villagers; he doesn’t perform his duties for his mentor on his return; he just goes back to his dwelling and sleeps.

2) He associates with a prostitute, with a widowed or divorced woman, with a “fat princess” (a male transvestite? old maid?—see Chapter 11), with a paṇḍaka, or with a bhikkhunī (see Appendix V). According to the Sub-commentary, associates means treating as a friend or intimate. The Commentary adds that it is all right for him to visit these people as long as he goes with bhikkhus on bhikkhu business.

3) He is not adept at the major and minor affairs involving his fellows in the holy life, is not dexterous, not diligent, not quick-witted in the techniques involved in them, is not willing to do them or to get others to do them. The Commentary says that major affairs means such things as repair of the cetiya and other buildings for which bhikkhus are called together for work; minor affairs means the Khandhaka protocols (see Chapter 9); not diligent means, for example, knowing that there’s work to be done, he goes into town early for alms, returns to his room to sleep until late in the day; not willing to do them means making excuses based on illness or “just showing his head”—i.e., showing up briefly at the work site without actually doing any work.

4) He does not have a keen desire for recitation, interrogation (asking questions about the meaning of the Dhamma—see AN 8:2), heightened virtue, heightened mind, or heightened discernment. According to the Commentary, heightened virtue means the Pāṭimokkha; heightened mind, worldly concentration; heightened discernment, the transcendent paths.

5) He feels angered, displeased, and upset if dispraise is spoken of the teacher, the view, the persuasion, the preferences, the belief of the religion from which he has come over. He feels gratified, pleased, and elated if dispraise is spoken of the Buddha, Dhamma, or Saṅgha.

If, after four months, the applicant has not “failed” in any of these ways, he may be given full Acceptance. None of the texts discuss the case where he does fail and yet is given the full Acceptance. Apparently, the Acceptance would still be valid, and yet the bhikkhus giving it would each incur a dukkaṭa.

The validity of the assembly

The quorum for full Acceptance in the middle Ganges valley is ten bhikkhus. In the outlying districts (this covers the entire world outside the middle Ganges valley), the quorum is five as long as one of the five is a Vinaya-expert. Here the Commentary defines Vinaya-expert as one competent to recite the transaction statement, but this seems overly lenient. As the Commentary itself notes when explaining Mv.I.28.3, the presence of a “competent, experienced” bhikkhu capable of reciting the transaction statement is assumed in all Community transactions. Thus there would seem to be no reason to mention it here as a special requirement. A more likely definition for Vinaya-expert in this context would be a bhikkhu well-versed in the Pāṭimokkha and knowledgeable about the rules and procedures related to Going-forth and Acceptance.

Mv.V.13.12 defines the precise borders of the middle Ganges valley: Mahāsālā on the east, the Sallavatī River on the south-east, the town of Setakaṇṇika on the south, the village of Thūna on the west, and the mountain slope of Usīraddhaja on the north. Unfortunately the identity of these place names at present is largely conjectural. Notes to BD identify Thūna with Sthānesvara, and Usīraddhaja with Usiragiri, a mountain to the north of Kaṇkhal. For the others, see B. C. Law, Geography of Early Buddhism.

The validity of the transaction statement

Ordination, as set forth in the Canon, is a complex procedure involving not only a series of transaction statements but also several preliminary and subsequent steps. As mentioned above, the commentaries and the various national traditions have added steps of their own, but here we will focus on the steps required by the Canon, together with relevant explanations from the commentaries. The transaction statements and other standard passages for recitation are given in Appendix II.

Preliminary steps

Prior to ordination, an applicant must have his head shaved and be clothed in the ochre robes. Then he receives the Going-forth, after which he takes dependence on a preceptor. His robes and bowl are pointed out to him, and he is then sent outside the assembly, where an experienced, competent bhikkhu instructs him about the thirteen obstructing factors to Acceptance. The instructing bhikkhu returns to the assembly and then the applicant is called back into the assembly, where he requests Acceptance. He is then quizzed in the assembly about the obstructing factors, and when his answers are satisfactory he may be given the full Acceptance.

Some of these steps require further explanation.

Shaving the head

If the applicant comes with his hair longer than two fingerbreadths, the Community must be informed of the shaving of his head through a formal announcement. The reason for this is suggested by the origin story to the rule:

For this announcement, the Commentary recommends gathering all the bhikkhus in the territory and announcing, “I am informing the Community of this child’s head shaving,” or “This child wants to go forth.” Alternatively, it suggests sending word out to all the bhikkhus in the monastery. Even if some are missed because they are sleeping, meditating, etc., it is all right to go ahead, shave the applicant’s head, and give him the Going-forth. There is no need to inform the Community if the applicant’s head is already shaven or if his hair is two fingerbreadths or less in length. The Commentary also recommends teaching the five meditation objects (hair of the head, hair of the body, nails, teeth, and skin) to the applicant prior to or during his head shaving.

The Going-forth

The Going-forth is not a Community transaction. The Canon’s requirements for the procedure are simple: The applicant is given the Three Refuges three times. Although the Canon mentions that bhikkhus (plural) are present at the Going-forth, it does not set a minimum for the quorum or any specific qualifications for the bhikkhu officiating. However, a bhikkhu who does not meet the qualifications of a bhikkhu’s preceptor should not have a novice attend to him (Mv.I.36-37), which suggests that even if the applicant is simply going forth without yet taking full Acceptance, the bhikkhu officiating must meet the qualifications of a bhikkhu’s preceptor.

The Commentary states further that, before giving the Three Refuges, the preceptor must bestow the ochre robes on the applicant or must tell a bhikkhu, novice, or layman to put robes on the applicant. If the applicant comes with robes already on, he must take them off and then put them on again. (The tradition in Thailand and Sri Lanka is that a novice wear only the upper and under robes. The Commentary to Mv.I.12.4 mentions the outer robe as part of a novice’s set of robes as well. However, Mv.VIII.27.3 mentions a novice’s “robe,” whereas a parallel passage in Mv.VIII.27.2 mentions a bhikkhu’s “triple robe,” which suggests that novices in the time of the Canon did not wear the outer robe, either.) Arranging his upper robe over one shoulder, the applicant should pay homage to the feet of the bhikkhus and sit on his haunches with his hands raised in añjali. Then he should be told: “Evaṁ vadehi (Say this),” followed by the threefold formula for going for refuge in the Triple Gem. The Commentary insists that both sides—the preceptor and the applicant—must pronounce the refuge formula properly. That constitutes the applicant’s Going-forth. It is customary to have him undertake the ten precepts immediately after going for refuge (see Chapter 24).

Taking dependence

Taking dependence follows the standard formula given at Mv.I.32.2 and discussed in BMC1, Chapter 3.

Instruction

After the applicant has been sent out of the assembly, a competent, experienced bhikkhu is authorized through a formal motion to instruct him about the thirteen obstructing factors. One bhikkhu may give the motion to authorize another, or may give it to authorize himself. The “instruction” is a rehearsal of the questions the applicant will be asked in the midst of the Community just prior to his full Acceptance. It is interesting to note that not all the possible disqualifications for full Acceptance are included in the list of thirteen. The Vinaya-mukha postulates that, in the very beginning, these were either the only disqualifications or the ones reckoned most important. The second possibility is unlikely, as only three of the thirteen are absolute.

When the instruction is complete, the instructing bhikkhu returns first to the assembly and recites a formal motion to inform the assembly that the applicant has been instructed and that the applicant should be allowed into the assembly.

After the applicant comes and requests full Acceptance, an experienced, competent bhikkhu (usually the same one who instructed the applicant) recites a formal motion to authorize himself to quiz the applicant about the thirteen obstructing factors. When he has finished the quiz, the preliminary steps are done.

Full Acceptance

The transaction statement for full Acceptance consists of a motion and three proclamations. As with all other transaction statements, it should be recited by an experienced, competent bhikkhu. At present, it is often recited by two bhikkhus together. The applicant becomes a bhikkhu when the third proclamation is finished. If two or three applicants are requesting full Acceptance at the same time, they may all be included in a single transaction statement as long as they have the same preceptor, but not if their preceptors are different. No more than three may be included in a single transaction statement. The Commentary notes that this single transaction statement can mean either one statement covering all the candidates, recited by one bhikkhu, or a separate statement for each candidate all recited at the same time by an equal number of bhikkhus. This last possibility, although it would create a cacophony, is probably intended for Communities where none of the members can put the transaction statement into the plural forms required by more than one candidate.

Subsequent steps

Immediately after full Acceptance, the Canon says, the shadow (time of day) should be measured. The length of the season should be told, the portion of the day told, along with the “rehearsal,” which, according to the Commentary, means drilling the candidate to make sure that he has memorized these three pieces of information. At present, the time is marked with a reliable clock or watch, and then recorded together with the date and the names of the preceptor and the announcing teachers.

The Canon also states that the four supports should be told immediately, and that the new bhikkhu be given a companion who will tell him of the four things never-to-be-done (i.e., the four pārājika rules). At present, the common practice is for the preceptor to tell both the four supports and the four things never-to-be-done immediately after the transaction statement. That concludes the procedure.