- The Jhanas
- In Theravada Buddhist Meditation
- by
- Henepola Gunaratana
- The Wheel Publication No. 351/353
ISBN 955-24-0035-X
- Copyright © 1988 Buddhist Publication Society
Abbreviations ![[go to toc]](return-to-text.gif)
PTS = Pali Text Society edition
BBS = Burmese Buddhasasana Samiti edition
A. ..... Anguttara Nikaya (PTS)
D. ..... Digha Nikaya (PTS)
Dhs. ..... Dhammasangani (BBS)
Dhs.A. ..... Dhammasangani Atthakatha = Atthasalini (BBS)
M. ..... Majjhima Nikaya (PTS)
M.A. ..... Majjhima Nikaya Atthakatha (BBS)
Miln. ..... Milindapanha (PTS)
PP. ..... Path of Purification (translation of Visuddhimagga, by Bhikkhu Ñanamoli;
Kandy: BPS, 1975)
S. ..... Samyutta Nikaya (PTS)
SA. ..... Samyutta Nikaya Atthakatha (BBS)
ST. ..... Samyutta Nikaya Tika (BBS)
Vbh. ..... Vibhanga (PTS)
Vin.A. ..... Vinaya Atthakatha (BBS)
Vism. ..... Visuddhimagga (PTS)
Vism.T. ..... Visuddhimagga Tika (BBS)
1. Introduction
The Doctrinal Context of Jhana
The Buddha says that just as in the great ocean there is but one taste, the taste of
salt, so in his doctrine and discipline there is but one taste, the taste of freedom. The
taste of freedom that pervades the Buddha's teaching is the taste of spiritual freedom,
which from the Buddhist perspective means freedom from suffering. In the process leading
to deliverance from suffering, meditation is the means of generating the inner awakening
required for liberation. The methods of meditation taught in the Theravada Buddhist
tradition are based on the Buddha's own experience, forged by him in the course of his own
quest for enlightenment. They are designed to re-create in the disciple who practices them
the same essential enlightenment that the Buddha himself attained when he sat beneath the
Bodhi tree, the awakening to the Four Noble Truths.
The various subjects and methods of meditation expounded in the Theravada Buddhist
scriptures -- the Pali Canon and its commentaries -- divide into two inter-related
systems. One is called the development of serenity (samathabhavana), the other the
development of insight (vipassanabhavana). The former also goes under the name of
development of concentration (samadhibhavana), the latter the development of wisdom
(paññabhavana). The practice of serenity meditation aims at developing a calm,
concentrated, unified mind as a means of experiencing inner peace and as a basis for
wisdom. The practice of insight meditation aims at gaining a direct understanding of the
real nature of phenomena. Of the two, the development of insight is regarded by Buddhism
as the essential key to liberation, the direct antidote to the ignorance underlying
bondage and suffering. Whereas serenity meditation is recognized as common to both
Buddhist and non-Buddhist contemplative disciplines, insight meditation is held to be the
unique discovery of the Buddha and an unparalleled feature of his path. However, because
the growth of insight presupposes a certain degree of concentration, and serenity
meditation helps to achieve this, the development of serenity also claims an incontestable
place in the Buddhist meditative process. Together the two types of meditation work to
make the mind a fit instrument for enlightenment. With his mind unified by means of the
development of serenity, made sharp and bright by the development of insight, the
meditator can proceed unobstructed to reach the end of suffering, Nibbana.
Pivotal to both systems of meditation, though belonging inherently to the side of
serenity, is a set of meditative attainments called the jhanas. Though translators
have offered various renderings of this word, ranging from the feeble "musing"
to the misleading "trance" and the ambiguous "meditation," we prefer
to leave the word untranslated and to let its meaning emerge from its contextual usages.
From these it is clear that the jhanas are states of deep mental unification which result
from the centering of the mind upon a single object with such power of attention that a
total immersion in the object takes place. The early suttas speak of four jhanas, named
simply after their numerical position in the series: the first jhana, the second jhana,
the third jhana and the forth jhana. In the suttas the four repeatedly appear each
described by a standard formula which we will examine later in detail.
The importance of the jhanas in the Buddhist path can readily be gauged from the
frequency with which they are mentioned throughout the suttas. The jhanas figure
prominently both in the Buddha's own experience and in his exhortation to disciples. In
his childhood, while attending an annual ploughing festival, the future Buddha
spontaneously entered the first jhana. It was the memory of this childhood incident, many
years later after his futile pursuit of austerities, that revealed to him the way to
enlightenment during his period of deepest despondency (M.i, 246-47). After taking his
seat beneath the Bodhi tree, the Buddha entered the four jhanas immediately before
direction his mind to the threefold knowledge that issued in his enlightenment
(M.i.247-49). Throughout his active career the four jhanas remained "his heavenly
dwelling" (D.iii,220) to which he resorted in order to live happily here and now. His
understanding of the corruption, purification and emergence in the jhanas and other
meditative attainments is one of the Tathagata's ten powers which enable him to turn the
matchless wheel of the Dhamma (M.i,70). Just before his passing away the Buddha entered
the jhanas in direct and reverse order, and the passing away itself took place directly
from the fourth jhana (D.ii,156).
The Buddha is constantly seen in the suttas encouraging his disciples to develop jhana.
The four jhanas are invariably included in the complete course of training laid down for
disciples.[1] They figure in the training as the discipline of
higher consciousness (adhicittasikkha), right concentration (sammasamadhi)
of the Noble Eightfold Path, and the faculty and power of concentration (samadhindriya,
samadhibala). Though a vehicle of dry insight can be found, indications are that this
path is not an easy one, lacking the aid of the powerful serenity available to the
practitioner of jhana. The way of the jhana attainer seems by comparison smoother and more
pleasurable (A.ii,150-52). The Buddha even refers to the four jhanas figuratively as a
kind of Nibbana: he calls them immediately visible Nibbana, factorial Nibbana, Nibbana
here and now (A.iv,453-54).
To attain the jhanas, the meditator must begin by eliminating the unwholesome mental
states obstructing inner collectedness, generally grouped together as the five
hindrances (pañcanivarana): sensual desire, ill will, sloth and torpor,
restlessness and worry and doubt.[2] The mind's absorption on
its object is brought about by five opposing mental states -- applied thought, sustained
thought, rapture, happiness and one pointedness[3] -- called
the jhana factors (jhanangani) because they lift the mind to the level of the first
jhana and remain there as its defining components.
After reaching the first jhana the ardent meditator can go on to reach the higher
jhanas, which is done by eliminating the coarser factors in each jhana. Beyond the four
jhanas lies another fourfold set of higher meditative states which deepen still further
the element of serenity. These attainments (aruppa), are the base of boundless
space, the base of boundless consciousness, the base of nothingness, and the base of
neither-perception-nor-non-perception.[4] In the Pali
commentaries these come to be called the four immaterial jhanas (arupajhana), the
four preceding states being renamed for the sake of clarity, the four fine-material
jhanas (rupajhana). Often the two sets are joined together under the collective title
of the eight jhanas or the eight attainments (atthasamapattiyo).
The four jhanas and the four immaterial attainments appear initially as mundane states
of deep serenity pertaining to the preliminary stage of the Buddhist path, and on this
level they help provide the base of concentration needed for wisdom to arise. But the four
jhanas again reappear in a later stage in the development of the path, in direct
association with liberating wisdom, and they are then designated the supramundane
(lokuttara) jhanas. These supramundane jhanas are the levels of concentration
pertaining to the four degrees of enlightenment experience called the supramundane paths (magga)
and the stages of liberation resulting from them, the four fruits (phala).
Finally, even after full liberation is achieved, the mundane jhanas can still remain as
attainments available to the fully liberated person, part of his untrammeled contemplative
experience.
Etymology of Jhana
The great Buddhist commentator Buddhaghosa traces the Pali word "jhana" (Skt.
dhyana) to two verbal forms. One, the etymologically correct derivation, is the
verb jhayati, meaning to think or meditate; the other is a more playful derivation,
intended to illuminate its function rather than its verbal source, from the verb jhapeti
meaning to burn up. He explains: "It burns up opposing states, thus it is jhana"
(Vin.A. i, 116), the purport being that jhana "burns up" or destroys the mental
defilements preventing the developing the development of serenity and insight.
In the same passage Buddhaghosa says that jhana has the characteristic mark of
contemplation (upanijjhana). Contemplation, he states, is twofold: the
contemplation of the object and the contemplation of the characteristics of phenomena. The
former is exercised by the eight attainments of serenity together with their access, since
these contemplate the object used as the basis for developing concentration; for this
reason these attainments are given the name "jhana" in the mainstream of Pali
meditative exposition. However, Buddhaghosa also allows that the term "jhana"
can be extended loosely to insight (vipassana), the paths and the fruits on the
ground that these perform the work of contemplating the characteristics of things the
three marks of impermanence, suffering and non-self in the case of insight, Nibbana in the
case of the paths and fruits.
In brief the twofold meaning of jhana as "contemplation" and "burning
up" can be brought into connection with the meditative process as follows. By fixing
his mind on the object the meditator reduces and eliminates the lower mental qualities
such as the five hindrances and promotes the growth of the higher qualities such as the
jhana factors, which lead the mind to complete absorption in the object. Then by
contemplating the characteristics of phenomena with insight, the meditator eventually
reaches the supramundane jhana of the four paths, and with this jhana he burns up the
defilements and attains the liberating experience of the fruits.
Jhana and Samadhi
In the vocabulary of Buddhist meditation the word "jhana" is closely
connected with another word, "samadhi" generally rendered by
"concentration." Samadhi derives from the prefixed verbal root sam-a-dha,
meaning to collect or to bring together, thus suggesting the concentration or unification
of the mind. The word "samadhi" is almost interchangeable with the word "samatha,"
serenity, though the latter comes from a different root, sam, meaning to become
calm.
In the suttas samadhi is defined as mental one-pointedness, (cittass'ekaggata
M.i,301) and this definition is followed through rigorously in the Abhidhamma. The
Abhidhamma treats one-pointedness as a distinct mental factor present in every state of
consciousness, exercising the function of unifying the mind on its object. From this
strict psychological standpoint samadhi can be present in unwholesome states of
consciousness as well as in wholesome an neutral states. In its unwholesome forms it is
called "wrong concentration" (micchasamadhi), In its wholesome forms
"right concentration" (sammasamadhi).
In expositions on the practice of meditation, however, samadhi is limited to
one-pointedness of mind (Vism.84-85; PP.84-85), and even here we can understand from the
context that the word means only the wholesome one-pointedness involved in the deliberate
transmutation of the mind to a heightened level of calm. Thus Buddhaghosa explains samadhi
etymologically as "the centering of consciousness and consciousness concomitants
evenly and rightly on a single object ... the state in virtue of which consciousness and
its concomitants remain evenly and rightly on a single object, undistracted and
unscattered" (Vism.84-85; PP.85).
However, despite the commentator's bid for consistency, the word samadhi is used
in the Pali literature on meditation with varying degrees of specificity of meaning. In
the narrowest sense, as defined by Buddhaghosa, it denotes the particular mental factor
responsible for the concentrating of the mind, namely, one-pointedness. In a wider sense
it can signify the states of unified consciousness that result from the strengthening of
concentration, i.e. the meditative attainments of serenity and the stages leading up to
them. And in a still wider sense the word samadhi can be applied to the method of
practice used to produce and cultivate these refined states of concentration, here being
equivalent to the development of serenity.
It is in the second sense that samadhi and jhana come closest in meaning. The
Buddha explains right concentration as the four jhanas (D.ii,313), and in doing so allows
concentration to encompass the meditative attainments signified by the jhanas. However,
even though jhana and samadhi can overlap in denotation, certain differences in
their suggested and contextual meanings prevent unqualified identification of the two
terms. First behind the Buddha's use of the jhana formula to explain right concentration
lies a more technical understanding of the terms. According to this understanding samadhi
can be narrowed down in range to signify only one mental factor, the most prominent in the
jhana, namely, one-pointedness, while the word "jhana" itself must be seen as
encompassing the state of consciousness in its entirety, or at least the whole group of
mental factors individuating that meditative state as a jhana.
In the second place, when samadhi is considered in its broader meaning it
involves a wider range of reference than jhana. The Pali exegetical tradition recognizes
three levels of samadhi: preliminary concentration (parikammasamadhi), which
is produced as a result of the meditator's initial efforts to focus his mind on his
meditation subject; access concentration (upacarasamadhi), marked by the
suppression of the five hindrances, the manifestation of the jhana factors, and the
appearance of a luminous mental replica of the meditation object called the counterpart
sign (patibhaganimitta); and absorption concentration (appanasamadhi), the
complete immersion of the mind in its object effected by the full maturation of the jhana
factors.[5] Absorption concentration comprises the eight
attainments, the four immaterial attainments, and to this extent jhana and samadhi
coincide. However, samadhi still has a broader scope than jhana, since it includes
not only the jhanas themselves but also the two preparatory degrees of concentration
leading up to them. Further, samadhi also covers a still different type of
concentration called momentary concentration (khanikasamadhi), the mobile mental
stabilization produced in the course of insight contemplation of the passing flow of
phenomena.
2. The Preparation for Jhana
The jhanas do not arise out of a void but in dependence on the right conditions. They
come to growth only when provided with the nutriments conductive to their development.
Therefore, prior to beginning meditation, the aspirant to the jhanas must prepare a
groundwork for his practice by fulfilling certain preliminary requirements. He first must
endeavor to purify his moral virtue, sever the outer impediments to practice, and place
himself under a qualified teacher who will assign him a suitable meditation subject and
explain to him the methods of developing it. After learning these the disciple must then
seek out a congenial dwelling and diligently strive for success. In this chapter we will
examine in order each of the preparatory steps that have to be fulfilled before commencing
to develop jhana.
The Moral Foundation for Jhana
A disciple aspiring to the jhanas first has to lay a solid foundation of moral
discipline. Moral purity is indispensable to meditative progress for several deeply
psychological reasons. It is needed first, in order to safeguard against the danger of
remorse, the nagging sense of guilt that arises when the basic principles of morality are
ignored or deliberately violated. Scrupulous conformity to virtuous rules of conduct
protects the meditator from this danger disruptive to inner calm, and brings joy and
happiness when the meditator reflects upon the purity of his conduct (see A.v,1-7).
A second reason a moral foundation is needed for meditation follows from an
understanding of the purpose of concentration. Concentration, in the Buddhist discipline,
aims at providing a base for wisdom by cleansing the mind of the dispersive influence of
the defilements. But in order for the concentration exercises to effectively combat the
defilements, the coarser expressions of the latter through bodily and verbal action first
have to be checked. Moral transgressions being invariably motivated by defilements -- by
greed, hatred and delusion -- when a person acts in violation of the precepts of morality
he excites and reinforces the very same mental factors his practice of meditation is
intended to eliminate. This involves him in a crossfire of incompatible aims which renders
his attempts at mental purification ineffective. The only way he can avoid frustration in
his endeavor to purify the mind of its subtler defilements is to prevent the unwholesome
inner impulses from breathing out in the coarser form of unwholesome bodily and verbal
deeds. Only when he establishes control over the outer expression of the defilements can
he turn to deal with them inwardly as mental obsessions that appear in the process of
meditation.
The practice of moral discipline consists negatively in abstinence from immoral actions
of body and speech and positively in the observance of ethical principles promoting peace
within oneself and harmony in one's relations with others. The basic code of moral
discipline taught by the Buddha for the guidance of his lay followers is the five
precepts: abstinence from taking life, from stealing, from sexual misconduct, from false
speech, and from intoxicating drugs and drinks. These principles are bindings as minimal
ethical obligations for all practitioners of the Buddhist path, and within their bounds
considerable progress in meditation can be made. However, those aspiring to reach the
higher levels of jhanas and to pursue the path further to the stages of liberation, are
encouraged to take up the more complete moral discipline pertaining to the life of
renunciation. Early Buddhism is unambiguous in its emphasis on the limitations of
household life for following the path in its fullness and perfection. Time and again the
texts say that the household life is confining, a "path for the dust of
passion," while the life of homelessness is like open space. Thus a disciple who is
fully intent upon making rapid progress towards Nibbana will when outer conditions allow
for it, "shave off his hair and beard, put on the yellow robe, and go forth from the
home life into homelessness" (M.i,179).
The moral training for the bhikkhus or monks has been arranged into a system called the
fourfold purification of morality (catuparisuddhisila).[6]
The first component of this scheme, its backbone, consists in the morality of restraint
according to the Patimokkha, the code of 227 training precepts promulgated by the
Buddha to regulate the conduct of the Sangha or monastic order. Each of these rules is in
some way intended to facilitate control over the defilements and to induce a mode of
living marked by harmlessness, contentment and simplicity. The second aspect of the monk's
moral discipline is restraint of the senses, by which the monk maintains close
watchfulness over his mind as he engages in sense contacts so that he does not give rise
to desire for pleasurable objects and aversion towards repulsive ones. Third, the monk is
to live by a purified livelihood, obtaining his basic requisites such as robes
food, lodgings and medicines in ways consistent with his vocation. The fourth factor of
the moral training is proper use of the requisites, which means that the monk
should reflect upon the purposes for which he makes use of his requisites and should
employ them only for maintaining his health and comfort, not for luxury and enjoyment.
After establishing a foundation of purified morality, the aspirant to meditation is
advised to cut off any outer impediments (palibodha) that may hinder his efforts to
lead a contemplative life. These impediments are numbered as ten: a dwelling, which
becomes an impediment for those who allow their minds to become preoccupied with its
upkeep or with its appurtenances; a family of relatives or supporters with whom the
aspirant may become emotionally involved in ways that hinder his progress; gains, which
may bind the monk by obligation to those who offer them; a class of students who must be
instructed; building work, which demands time and attention; travel; kin, meaning parents,
teachers, pupils or close friends; illness; the study of scriptures; and supernormal
powers, which are an impediment to insight (Vism.90-97; PP.91-98).
The Good Friend and the Subject of Meditation
The path of practice leading to the jhanas is an arduous course involving precise
techniques and skillfulness is needed in dealing with the pitfalls that lie along the way.
The knowledge of how to attain the jhanas has been transmitted through a lineage of
teachers going back to the time of the Buddha himself. A prospective meditator is advised
to avail himself of the living heritage of accumulated knowledge and experience by placing
himself under the care of a qualified teacher, described as a "good friend" (kalyanamitta),
one who gives guidance and wise advice rooted in his own practice and experience. On the
basis of either of the power of penetrating others minds, or by personal observation, or
by questioning, the teacher will size up the temperament of his new pupil and then select
a meditation subject for him appropriate to his temperament.
The various meditation subjects that the Buddha prescribed for the development of
serenity have been collected in the commentaries into a set called the forty kammatthana.
This word means literally a place of work, and is applied to the subject of meditation as
the place where the meditator undertakes the work of meditation. The forty meditation
subjects are distributed into seven categories, enumerated in the Visuddhimagga as
follows: ten kasinas, ten kinds of foulness, ten recollections, four divine abidings, four
immaterial states, one perception, and one defining.[7]
A kasina is a device representing a particular quality used as a support for
concentration. The ten kasinas are those of earth, water, fire and air; four color kasinas
-- blue, yellow, red and white; the light kasina and the limited space kasina. The kasina
can be either a naturally occurring form of the element or color chosen, or an
artificially produced device such as a disk that the meditator can use at his convenience
in his meditation quarters.
The ten kinds of foulness are ten stages in the decomposition of a corpse: the bloated,
the livid, the festering, the cut-up, the gnawed, the scattered, the hacked and scattered,
the bleeding, the worm-infested and a skeleton. The primary purpose of these meditations
is to reduce sensual lust by gaining a clear perception of the repulsiveness of the body.
The ten recollections are the recollections of the Buddha, the Dhamma, the Sangha,
morality, generosity and the deities, mindfulness of death, mindfulness of the body,
mindfulness of breathing, and the recollection of peace. The first three are devotional
contemplations on the sublime qualities of the "Three Jewels," the primary
objects of Buddhist virtues and on the deities inhabiting the heavenly worlds, intended
principally for those still intent on a higher rebirth. Mindfulness of death is reflection
on the inevitably of death, a constant spur to spiritual exertion. Mindfulness of the body
involves the mental dissection of the body into thirty-two parts, undertaken with a view
to perceiving its unattractiveness. Mindfulness of breathing is awareness of the
in-and-out movement of the breath, perhaps the most fundamental of all Buddhist meditation
subjects. And the recollection of peace is reflection on the qualities of Nibbana.
The four divine abidings (brahmavihara) are the development of boundless
loving-kindness, compassion, sympathetic joy and equanimity. These meditations are also
called the "immeasurables" (appamañña) because they are to be developed
towards all sentient beings without qualification or exclusiveness.
The four immaterial states are the base of boundless space, the base of boundless
consciousness, the base of nothingness, and the base of
neither-perception-nor-non-perception. These are the objects leading to the corresponding
meditative attainments, the immaterial jhanas.
The one perception is the perception of the repulsiveness of food. The one defining is
the defining of the four elements, that is, the analysis of the physical body into the
elemental modes of solidity, fluidity, heat and oscillation.
The forty meditation subjects are treated in the commentarial texts from two important
angles -- one their ability to induce different levels of concentration, the other their
suitability for differing temperaments. Not all meditation subjects are equally effective
in inducing the deeper levels of concentration. They are first distinguished on the basis
of their capacity for inducing only access concentration or for inducing full absorption;
those capable of inducing absorption are then distinguished further according to their
ability to induce the different levels of jhana.
Of the forty subjects, ten are capable of leading only to access concentration: eight
recollections -- i.e. all except mindfulness of the body and mindfulness of breathing --
plus the perception of repulsiveness in nutriment and the defining of the four elements.
These, because they are occupied with a diversity of qualities and involve and active
application of discursive thought, cannot lead beyond access. The other thirty subjects
can all lead to absorption.
The ten kasinas and mindfulness of breathing, owing to their simplicity and freedom
from thought construction, can lead to all four jhanas. The ten kinds of foulness and
mindfulness of the body lead only to the first jhana, being limited because the mind can
only hold onto them with the aid of applied thought (vitakka) which is absent in
the second and higher jhanas. The first three divine abidings can induce the lower three
jhanas but the fourth, since they arise in association with pleasant feeling, while the
divine abiding of equanimity occurs only at the level of the fourth jhana, where neutral
feeling gains ascendency. The four immaterial states conduce to the respective immaterial
jhanas corresponding to their names.
The forty subjects are also differentiated according to their appropriateness for
different character types. Six main character types are recognized -- the greedy, the
hating, the deluded, the faithful, the intelligent and the speculative -- this
oversimplified typology being taken only as a pragmatic guideline which in practice admits
various shades and combinations. The ten kind of foulness and mindfulness of the body,
clearly intended to attenuate sensual desire, are suitable for those of greedy
temperament. Eight subjects -- the four divine abidings and four color kasinas -- are
appropriate for the hating temperament. Mindfulness of breathing is suitable for those of
the deluded and the speculative temperament. The first six recollections are appropriate
for the faithful temperament. Four subjects -- mindfulness of death, the recollection of
peace, the defining of the four elements, and the perception of the repulsiveness in
nutriment -- are especially effective for those of intelligent temperament. The remaining
six kasinas and the immaterial states are suitable for all kinds of temperaments. But the
kasinas should be limited in size for one of speculative temperament and large in size for
one of deluded temperament.
Immediately after giving this breakdown Buddhaghosa adds a proviso to prevent
misunderstanding. He states that this division by way of temperament is made on the basis
of direct opposition and complete suitability, but actually there is no wholesome form of
meditation that does not suppress the defilements and strengthen the virtuous mental
factors. Thus an individual meditator may be advised to meditate on foulness to abandon
lust, on loving-kindness to abandon hatred, on breathing to cut off discursive thought,
and on impermanence to eliminate the conceit "I am" (A.iv,358).
Choosing a Suitable Dwelling
The teacher assigns a meditation subject to his pupil appropriate to his character and
explains the methods of developing it. He can teach it gradually to a pupil who is going
to remain in close proximity to him, or in detail to one who will go to practice it
elsewhere. If the disciple is not going to stay with his teacher he must be careful to
select a suitable place for meditation. The texts mention eighteen kinds of monasteries
unfavorable to the development of jhana: a large monastery, a new one, a dilapidated one,
one near a road, one with a pond, leaves, flowers or fruits, one sought after by many
people, one in cities, among timber of fields, where people quarrel, in a port, in border
lands, on a frontier, a haunted place, and one without access to a spiritual teacher
(Vism. 118-121; PP122-125).
The factors which make a dwelling favorable to meditation are mentioned by the Buddha
himself. If should not be too far from or too near a village that can be relied on as an
alms resort, and should have a clear path: it should be quiet and secluded; it should be
free from rough weather and from harmful insects and animals; one should be able to obtain
one's physical requisites while dwelling there; and the dwelling should provide ready
access to learned elders and spiritual friends who can be consulted when problems arise in
meditation (A.v,15). The types of dwelling places commended by the Buddha most frequently
in the suttas as conductive to the jhanas are a secluded dwelling in the forest, at the
foot of a tree, on a mountain, in a cleft, in a cave, in a cemetery, on a wooded flatland,
in the open air, or on a heap of straw (M.i,181). Having found a suitable dwelling and
settled there, the disciple should maintain scrupulous observance of the rules of
discipline, He should be content with his simple requisites, exercise control over his
sense faculties, be mindful and discerning in all activities, and practice meditation
diligently as he was instructed. It is at this point that he meets the first great
challenge of his contemplative life, the battle with the five hindrances.
3. The First Jhana and its Factors
The attainment of any jhana comes about through a twofold process of development. On
one side the states obstructive to it, called its factors of abandonment, have to be
eliminated, on the other the states composing it, called its factors of possession, have
to be acquired. In the case of the first jhana the factors of abandonment are the five
hindrances and the factors of possession the five basic jhana factors. Both are alluded to
in the standard formula for the first jhana, the opening phrase referring to the
abandonment of the hindrances and the subsequent portion enumerating the jhana factors:
Quite secluded from sense pleasures, secluded from unwholesome states of mind, he
enters and dwells in the first jhana, which is accompanied by applied thought and
sustained thought with rapture and happiness born of seclusion. (M.i,1818; Vbh.245)
In this chapter we will first discuss the five hindrances and their abandonment, then
we will investigate the jhana factors both individually and by way of their combined
contribution to the attainment of the first jhana. We will close the chapter with some
remarks on the ways of perfecting the first jhana, a necessary preparation for the further
development of concentration.
The Abandoning of the Hindrances
The five hindrances (pañcanivarana) are sensual desire, ill will, sloth and
torpor, restlessness and worry, and doubt. This group, the principal classification the
Buddha uses for the obstacles to meditation, receives its name because its five members
hinder and envelop the mind, preventing meditative development in the two spheres of
serenity and insight. Hence the Buddha calls them "obstructions, hindrances,
corruptions of the mind which weaken wisdom"(S.v,94).
The hindrance of sensual desire (kamachanda) is explained as desire for the
"five strands of sense pleasure," that is, for pleasant forms, sounds, smells,
tastes and tangibles. It ranges from subtle liking to powerful lust. The hindrance of ill
will (byapada) signifies aversion directed towards disagreeable persons or things.
It can vary in range from mild annoyance to overpowering hatred. Thus the first two
hindrances correspond to the first two root defilements, greed and hate. The third root
defilement, delusion, is not enumerated separately among the hindrances but can be found
underlying the remaining three.
Sloth and torpor is a compound hindrance made up of two components: sloth (thina),
which is dullness, inertia or mental stiffness; and torpor (middha), which is
indolence or drowsiness. Restlessness and worry is another double hindrance, restlessness (uddhacca)
being explained as excitement, agitation or disquietude, worry (kukkucca) as the
sense of guilt aroused by moral transgressions. Finally, the hindrance of doubt (vicikiccha)
is explained as uncertainty with regard to the Buddha, the Dhamma, the Sangha and the
training.
The Buddha offers two sets of similes to illustrate the detrimental effect of the
hindrances. The first compares the five hindrances to five types of calamity: sensual
desire is like a debt, ill will like a disease, sloth and torpor like imprisonment,
restless and worry like slavery, and doubt like being lost on a desert road. Release from
the hindrances is to be seen as freedom from debt, good health, release from prison,
emancipation from slavery, and arriving at a place of safety (D.i,71-73). The second set
of similes compares the hindrances to five kinds of impurities affecting a bowl of water,
preventing a keen-sighted man from seeing his own reflection as it really is. Sensual
desire is like a bowl of water mixed with brightly colored paints, ill will like a bowl of
boiling water, sloth and torpor like water covered by mossy plants, restlessness and worry
like water blown into ripples by the wind, and doubt like muddy water. Just as the
keen-eyed man would not be able to see his reflection in these five kinds of water, so one
whose mind is obsessed by the five hindrances does not know and see as it is his own good,
the good of others or the good of both (S.v,121-24). Although there are numerous
defilements opposed to the first jhana the five hindrances alone are called its factors of
abandoning. One reason according to the Visuddhimagga, is that the hindrances are
specifically obstructive to jhana, each hindrance impeding in its own way the mind's
capacity for concentration.
The mind affected through lust by greed for varied objective fields does not become
concentrated on an object consisting in unity, or being overwhelmed by lust, it does not
enter on the way to abandoning the sense-desire element. When pestered by ill will towards
an object, it does not occur uninterruptedly. When overcome by stiffness and torpor, it is
unwieldy. When seized by agitation and worry, it is unquiet and buzzes about. When
stricken by uncertainty, it fails to mount the way to accomplish the attainment of jhana.
So it is these only that are called factors of abandonment because they are specifically
obstructive to jhana.(Vism.146: PP.152)
A second reason for confining the first jhana's factors of abandoning to the five
hindrances is to permit a direct alignment to be made between the hindrances and the
jhanic factors. Buddhaghosa states that the abandonment of the five hindrances alone is
mentioned in connection with jhana because the hindrances are the direct enemies of the
five jhana factors, which the latter must eliminate and abolish. To support his point the
commentator cites a passage demonstrating a one-to-one correspondence between the jhana
factors and the hindrances: one-pointedness is opposed to sensual desire, rapture to ill
will, applied thought to sloth and torpor, happiness to restlessness and worry, and
sustained thought to doubt (Vism. 141; PP.147).[8] Thus each
jhana factor is seen as having the specific task of eliminating a particular obstruction
to the jhana and to correlate these obstructions with the five jhana factors they are
collected into a scheme of five hindrances.
The standard passage describing the attainment of the first jhana says that the jhana
is entered upon by one who is "secluded from sense pleasures, secluded from
unwholesome states of mind." The Visuddhimagga explains that there are three
kinds of seclusion relevant to the present context -- namely, bodily seclusion (kayaviveka),
mental seclusion (cittaviveka), and seclusion by suppression (vikkhambhanaviveka)
(Vism. 140; PP.145). These three terms allude to two distinct sets of exegetical
categories. The first two belong to a threefold arrangement made up of bodily seclusion,
mental seclusion, and "seclusion from the substance" (upadhiviveka). The
first means physical withdrawal from active social engagement into a condition of solitude
for the purpose of devoting time and energy to spiritual development. The second, which
generally presupposes the first, means the seclusion of the mind from its entanglement in
defilements; it is in effect equivalent to concentration of at least the access level. The
third, "seclusion from the substance," is Nibbana, liberation from the elements
of phenomenal existence. The achievement of the first jhana does not depend on the third,
which is its outcome rather than prerequisite, but it does require physical solitude and
the separation of the mind from defilements, hence bodily and mental seclusion. The third
type of seclusion pertinent to the context, seclusion by suppression, belongs to a
different scheme generally discussed under the heading of "abandonment" (pahana)
rather than "seclusion." The type of abandonment required for the attainment of
jhana is abandonment by suppression, which means the removal of the hindrances by force of
concentration similar to the pressing down of weeds in a pond by means of a porous pot.[9]
The work of overcoming the five hindrances is accomplished through the gradual training
(anupubbasikkha) which the Buddha has laid down so often in the suttas, such as the
Samaññaphala Sutta and the Culahatthipadopama Sutta. The gradual training is a
step-by-step process designed to lead the practitioner gradually to liberation. The
training begins with moral discipline, the undertaking and observance of specific rules of
conduct which enable the disciple to control the coarser modes of bodily and verbal
misconduct through which the hindrances find an outlet. With moral discipline as a basis,
the disciple practices the restraint of the senses. He does not seize upon the general
appearances of the beguiling features of things, but guards and masters his sense
faculties so that sensual attractive and repugnant objects no longer become grounds for
desire and aversion. Then, endowed with the self-restraint, he develops mindfulness and
discernment (sati-sampajañña) in all his activities and postures, examining
everything he does with clear awareness as to its purpose and suitability. He also
cultivates contentment with a minimum of robes, food, shelter and other requisites.
Once he has fulfilled these preliminaries the disciple is prepared to go into solitude
to develop the jhanas, and it is here that he directly confronts the five hindrances. The
elimination of the hindrances requires that the meditator honestly appraises his own mind.
When sensuality, ill will and the other hindrances are present, he must recognize that
they are present and he must investigate the conditions that lead to their arising: the
latter he must scrupulously avoid. The meditator must also understand the appropriate
antidotes for each of the five hindrances. The Buddha says that all the hindrances arise
through unwise consideration (ayoniso manasikara) and that they can be eliminated
by wise consideration (yoniso manasikara). Each hindrance, however, has its own
specific antidote. Thus wise consideration of the repulsive feature of things is the
antidote to sensual desire; wise consideration of loving-kindness counteracts ill will;
wise consideration of the elements of effort, exertion and striving opposes sloth and
torpor; wise consideration of tranquillity of mind removes restlessness and worry; and
wise consideration of the real qualities of things eliminates doubt (S.v,105-106).
Having given up covetousness [i.e. sensual desire] with regard to the world, he dwells
with a heart free of covetousness; he cleanses his mind from covetousness. Having given up
the blemish of ill will, he dwells without ill will; friendly and compassionate towards
all living beings, he cleanses his mind from the blemishes of ill will. Having given up
sloth and torpor, he dwells free from sloth and torpor, in the perception of light;
mindful and clearly comprehending, he cleanses his mind from sloth and torpor. Having
given up restlessness and worry, he dwells without restlessness; his mind being calmed
within, he cleanses it from restlessness and worry. Having given up doubt, he dwells as
one who has passed beyond doubt; being free from uncertainty about wholesome things, he
cleanses his mind from doubt ....
And when he sees himself free of these five hindrances, joy arises; in him who is
joyful, rapture arises; in him whose mind is enraptured, the body is stilled; the body
being stilled, he feels happiness; and a happy mind finds concentration. Then, quite
secluded from sense pleasures, secluded from unwholesome states of mind, he enters and
dwells in the first jhana, which is accompanied by applied thought and sustained thought,
with rapture and happiness born of seclusion. (D.i,73-74)[10]
The Factors of the First Jhana
The first jhana possesses five component factors: applied thought, sustained thought,
rapture, happiness and one-pointedness of mind. Four of these are explicitly mentioned in
the formula for the jhana; the fifth, one-pointedness, is mentioned elsewhere in the
suttas but is already suggested by the notion of jhana itself. These five states receive
their name, first because they lead the mind from the level of ordinary consciousness to
the jhanic level, and second because they constitute the first jhana and give it its
distinct definition.
The jhana factors are first aroused by the meditator's initial efforts to concentrate
upon one of the prescribed objects for developing jhana. As he fixes his mind on the
preliminary object, such as a kasina disk, a point is eventually reached where he can
perceive the object as clearly with his eyes closed as with them open. This visualized
object is called the learning sign (uggahanimitta). As he concentrates on the
learning sign, his efforts call into play the embryonic jhana factors, which grow in
force, duration and prominence as a result of the meditative exertion. These factors,
being incompatible with the hindrances, attenuate them, exclude them, and hold them at
bay. With continued practice the learning sign gives rise to a purified luminous replica
of itself called the counterpart sign (patibhaganimitta), the manifestation of
which marks the complete suppression of the hindrances and the attainment of access
concentration (upacarasamadhi). All three events-the suppression of the hindrances,
the arising of the counterpart sign, and the attainment of access concentration -- take
place at precisely the same moment, without interval (Vism. 126; PP.131). And though
previously the process of mental cultivation may have required the elimination of
different hindrances at different times, when access is achieved they all subside
together:
Simultaneously with his acquiring the counterpart sign his lust is abandoned by
suppression owing to his giving no attention externally to sense desires (as object). And
owing to his abandoning of approval, ill will is abandoned too, as pus is with the
abandoning of blood. Likewise stiffness and torpor is abandoned through exertion of
energy, agitation and worry is abandoned through devotion to peaceful things that cause no
remorse; and uncertainty about the Master who teaches the way, about the way, and about
the fruit of the way, about the way, and about the fruit of the way, is abandoned through
the actual experience of the distinction attained. So the five hindrances are abandoned.
(Vism. 189; PP.196)
Though the mental factors determinative of the first jhana are present in access
concentration, they do not as yet possess sufficient strength to constitute the jhana, but
are strong enough only to exclude the hindrances. With continued practice, however, the
nascent jhana factors grow in strength until they are capable of issuing in jhana. Because
of the instrumental role these factors play both in the attainment and constitution of the
first jhana they are deserving of closer individual scrutiny.
Applied Thought (vitakka)
The word vitakka frequently appears in the texts in conjunction with the word vicara.
The pair signify two interconnected but distinct aspects of the thought process, and to
bring out the difference between them (as well as their common character), we translate
the one as applied thought and the other as sustained thought.
In both the suttas and the Abhidhamma applied thought is defined as the application of
the mind to its object (cetaso abhiniropana), a function which the Atthasalini
illustrates thus: "Just as someone ascends the king's palace in dependence on a
relative of friend dear to the king, so the mind ascends the object in dependence on
applied thought" (Dhs.A.157). This function of applying the mind to the object is
common to the wide variety of modes in which the mental factor of applied thought occurs,
ranging from sense discrimination to imagination, reasoning and deliberation and to the
practice of concentration culminating in the first jhana. Applied thought can be
unwholesome as in thoughts of sensual pleasure, ill will and cruelty, or wholesome as in
thoughts of renunciation, benevolence and compassion (M.i,116).
In jhana applied through is invariably wholesome and its function of directing the mind
upon its object stands forth with special clarity. To convey this the Visuddhimagga
explains that in jhana the function of applied thought is "to strike at and thresh --
for the meditator is said, in virtue of it, to have the object struck at by applied
thought, threshed by applied thought" (Vism.142;PP148). The Milindapanha makes
the same point by defining applied thought as absorption (appana): "Just as a
carpenter drives a well-fashioned piece of wood into a joint, so applied thought has the
characteristic of absorption" (Miln.62).
The object of jhana into which vitakka drives the mind and its concomitant
states is the counterpart sign, which emerges from the learning sign as the hindrances are
suppressed and the mind enters access concentration. The Visuddhimagga explains the
difference between the two signs thus:
In the learning sign any fault in the kasina is apparent. But the counterpart sign
appears as if breaking out from the learning sign, and a hundred times, a thousand times
more purified, like a looking-glass disk drawn from its case, like a mother-of-pearl dish
well washed, like the moon's disk coming out from behind a cloud, like cranes against a
thunder cloud. But it has neither color nor shape; for if it had, it would be cognizable
by the eye, gross, susceptible of comprehension (by insight) and stamped with the three
characteristics. But it is not like that. For it is born only of perception in one who has
obtained concentration, being a mere mode of appearance (Vism. 125-26; PP.130)
The counterpart sign is the object of both access concentration and jhana, which differ
neither in their object nor in the removal of the hindrances but in the strength of their
respective jhana factors. In the former the factors are still weak, not yet fully
developed, while in the jhana they are strong enough to make the mind fully absorbed in
the object. In this process applied thought is the factor primarily responsible for
directing the mind towards the counterpart sign and thrusting it in with the force of full
absorption.
Sustained Thought (vicara)
Vicara seems to represent a more developed phase of the thought process than vitakka.
The commentaries explain that it has the characteristic of "continued pressure"
on the object (Vim. 142; PP.148). Applied thought is described as the first impact of the
mind on the object, the gross inceptive phase of thought; sustained thought is described
as the act of anchoring the mind on the object, the subtle phase of continued mental
pressure. Buddhaghosa illustrates the difference between the two with a series of similes.
Applied thought is like striking a bell, sustained thought like the ringing; applied
thought is like a bee's flying towards a flower, sustained thought like its buzzing around
the flower; applied thought is like a compass pin that stays fixed to the center of a
circle, sustained thought like the pin that revolves around (Vism. 142-43; PP.148-49).
These similes make it clear that applied thought and sustained thought functionally
associated, perform different tasks. Applied thought brings the mind to the object,
sustained thought fixes and anchors it there. Applied thought focuses the mind on the
object, sustained thought examines and inspects what is focused on. Applied thought brings
a deepening of concentration by again and again leading the mind back to the same object,
sustained thought sustains the concentration achieved by keeping the mind anchored on that
object.
Rapture (piti)
The third factor present in the first jhana is piti, usually translated as joy
or rapture.[11] In the suttas piti is sometimes said
to arise from another quality called pamojja, translated as joy or gladness, which
springs up with the abandonment of the five hindrances. When the disciple sees the five
hindrances abandoned in himself "gladness arises within him; thus gladdened, rapture
arises in him; and when he is rapturous his body becomes tranquil" (D.i,73).
Tranquillity in turn leads to happiness, on the basis of which the mind becomes
concentrated. Thus rapture precedes the actual arising of the first jhana, but persists
through the remaining stages up to the third jhana.
The Vibhanga defines piti as "gladness, joy, joyfulness, mirth, merriment,
exultation, exhilaration, and satisfaction of mind" (Vbh. 257). The commentaries
ascribe to it the characteristic of endearing, the function of refreshing the body and
mind or pervading with rapture, and the manifestation as elation (Vism.143; PP.149). Shwe
Zan Aung explains that "piti abstracted means interest of varying degrees of
intensity, in an object felt as desirable or as calculated to bring happiness."[12]
When defined in terms of agency, piti is that which creates interest in the object;
when defined in terms of its nature it is the interest in the object. Because it creates a
positive interest in the object, the jhana factor of rapture is able to counter and
suppress the hindrance of ill will, a state of aversion implying a negative evaluation of
the object.
Rapture is graded into five categories: minor rapture, momentary rapture, showering
rapture, uplifting rapture and pervading rapture.[13] Minor
rapture is generally the first to appear in the progressive development of meditation; it
is capable of causing the hairs of the body to rise. Momentary rapture, which is like
lightning, comes next but cannot be sustained for long. Showering rapture runs through the
body in waves, producing a thrill but without leaving a lasting impact. Uplifting rapture,
which can cause levitation, is more sustained but still tends to disturb concentration,
The form of rapture most conductive to the attainment of jhana is all-pervading rapture,
which is said to suffuse the whole body so that it becomes like a full bladder or like a
mountain cavern inundated with a mighty flood of water. The Visuddhimagga states
that what is intended by the jhana factor of rapture is this all-pervading rapture
"which is the root of absorption and comes by growth into association with
absorption" (Vism.144; PP.151)
Happiness (sukha)
As a factor of the first jhana, sukha signifies pleasant feeling. The word is
explicitly defined in the sense by the Vibhanga in its analysis of the first jhana:
"Therein, what is happiness? Mental pleasure and happiness born of mind-contact, the
felt pleasure and happiness born of mind-contact, pleasurable and happy feeling born of
mind contact -- this is called 'happiness' " (Vbh.257). The Visuddhimagga
explains that happiness in the first jhana has the characteristic of gratifying, the
function of intensifying associated states, and as manifestation, the rendering of aid to
its associated states (Vism. 145; PP.151).
Rapture and happiness link together in a very close relationship, but though the two
are difficult to distinguish, they are not identical. Happiness is a feeling (vedana);
rapture a mental formation (sankhara). Happiness always accompanies rapture, so that when
rapture is present happiness must always be present; but rapture does not always accompany
happiness, for in the third jhana, as we will see, there is happiness but no rapture. The Atthasalini,
which explains rapture as "delight in the attaining of the desired object" and
happiness as "the enjoyment of the taste of what is required," illustrates the
difference by means of a simile:
Rapture is like a weary traveler in the desert in summer, who hears of, or sees water
of a shady wood. Ease [happiness] is like his enjoying the water of entering the forest
shade. For a man who, traveling along the path through a great desert and overcome by the
heat, is thirsty and desirous of drink, if he saw a man on the way, would ask 'Where is
water?' The other would say, 'Beyond the wood is a dense forest with a natural lake. Go
there, and you will get some.' He, hearing these words, would be glad and delighted and as
he went would see lotus leaves, etc., fallen on the ground and become more glad and
delighted. Going onwards, he would see men with wet clothes and hair, hear the sounds of
wild fowl and pea-fowl, etc., see the dense forest of green like a net of jewels growing
by the edge of the natural lake, he would see the water lily, the lotus, the white lily,
etc., growing in the lake, he would see the clear transparent water, he would be all the
more glad and delighted, would descend into the natural lake, bathe and drink at pleasure
and, his oppression being allayed, he would eat the fibers and stalks of the lilies, adorn
himself with the blue lotus, carry on his shoulders the roots of the mandalaka, ascend
from the lake, put on his clothes, dry the bathing cloth in the sun, and in the cool shade
where the breeze blew ever so gently lay himself down and saw: 'O bliss! O bliss!' Thus
should this illustration be applied. The time of gladness and delight from when he heard
of the natural lake and the dense forest till he say the water is like rapture having the
manner of gladness and delight at the object in view. The time when, after his bath and
dried he laid himself down in the cool shade, saying, 'O bliss! O bliss!' etc., is the
sense of ease [happiness] grown strong, established in that mode of enjoying the taste of
the object.[14]
Since rapture and happiness co-exist in the first jhana, this simile should not be
taken to imply that they are mutually exclusive. Its purport is to suggest that rapture
gains prominence before happiness, for which it helps provide a causal foundation.
In the description of the first jhana, rapture and happiness are said to be "born
of seclusion" and to suffuse the whole body of the meditator in such a way that there
is no part of his body which remains unaffected by them:
Monks, secluded from sense pleasure ... a monk enters and dwells in the first jhana. He
steeps, drenches, fills and suffuses his body with the rapture and happiness born of
seclusion, so that there is no part of his entire body that is not suffused with this
rapture and happiness. Just as a skilled bath-attendant or his apprentice might strew
bathing powder in a copper basin, sprinkle it again and again with water, and knead it
together so that the mass of bathing soap would be pervaded, suffused, and saturated with
moisture inside and out yet would not ooze moisture, so a monk steeps, drenches, fills and
suffuses his body with the rapture and happiness born of seclusion, so that, there is no
part of his entire body that is not suffused with this rapture and happiness born of
seclusion. (D.i,74)
One-pointedness (ekaggata)
Unlike the previous four jhana factors, one-pointedness is not specifically mentioned
in the standard formula for the first jhana, but it is included among the jhana factors by
the Mahavedalla Sutta (M.i,294) as well as in the Abhidhamma and the commentaries.
One-pointedness is a universal mental concomitant, the factor by virtue of which the mind
is centered upon its object. It brings the mind to a single point, the point occupied by
the object.
One-pointedness is used in the text as a synonym for concentration (samadhi)
which has the characteristic of non-distraction, the function of eliminating distractions,
non-wavering as its manifestation, and happiness as its proximate cause (Vism.85; PP.85).
As a jhana factor one-pointedness is always directed to a wholesome object and wards off
unwholesome influences, in particular the hindrance of sensual desire. As the hindrances
are absent in jhana one-pointedness acquires special strength, based on the previous
sustained effort of concentration.
Besides the five jhana factors, the first jhana contains a great number of other mental
factors functioning in unison as coordinate members of a single state of consciousness.
Already the Anupada Sutta lists such additional components of the first jhana as contact,
feeling, perception, volition, consciousness, desire, decision, energy, mindfulness,
equanimity and attention (M.iii,25). In the Abhidhamma literature this is extended still
further up to thirty-three indispensable components. Nevertheless, only five states are
called the factors of the first jhana, for only these have the functions of inhibiting the
five hindrances and fixing the mind in absorption. For the jhana to arise all these five
factors must be present simultaneously, exercising their special operations:
But applied thought directs the mind onto the object; sustained thought keeps it
anchored there. Happiness [rapture] produced by the success of the effort refreshes the
mind whose effort has succeeded through not being distracted by those hindrances; and
bliss [happiness] intensifies it for the same reason. Then unification aided by this
directing onto, this anchoring, this refreshing and this intensifying, evenly and rightly
centers the mind with its remaining associated states on the object consisting in unity.
Consequently possession of five factors should be understood as the arising of these five,
namely, applied thought, sustained thought, happiness [rapture], bliss [happiness], and
unification of mind. For it is when these are arisen that jhana is said to be arisen,
which is why they are called the five factors of possession. (Vism.146;PP.152)
Each jhana factor serves as support for the one which succeeds it. Applied thought must
direct the mind to its object in order for sustained thought to anchor it there. Only when
the mind is anchored can the interest develop which will culminate in rapture. As rapture
develops it brings happiness to maturity, and this spiritual happiness, by providing an
alternative to the fickle pleasures of the senses, aids the growth of one-pointedness. In
this way, as Nagasena explains, all the other wholesome states lead to concentration,
which stands at their head like the apex on the roof of a house (Miln. 38-39).
Perfecting the First Jhana
The difference between access and absorption concentration, as we have said, does not
lie in the absence of the hindrances, which is common to both, but in the relative
strength of the jhana factors. In access the factors are weak so that concentration is
fragile, comparable to a child who walks a few steps and then falls down. But in
absorption the jhana factors are strong and well developed so that the mind can remain
continuously in concentration just as a healthy man can remain standing on his feet for a
whole day and night (Vism.126; PP.131).
Because full absorption offers the benefit of strengthened concentration, a meditator
who gains access is encouraged to strive for the attainment of jhana. To develop his
practice several important measures are recommended.[15] The
meditator should live in a suitable dwelling, rely upon a suitable alms resort, avoid
profitless talk, associate only with spiritually-minded companions, make use only of
suitable food, live in a congenial climate, and maintain his practice in a suitable
posture. He should also cultivate the ten kinds of skill in absorption. He should clean
his lodging and his physical body so that they conduce to clear meditation, balance his
spiritual faculties by seeing that faith is balanced with wisdom and energy with
concentration, and he must be skillful in producing and developing the sign of
concentration (1-3). He should exert the mind when it is slack, restrain it when it is
agitated, encourage it when it is restless or dejected, and look at the mind with
equanimity when all is proceeding well (4-7). The meditator should avoid distracting
persons, should approach people experienced in concentration, and should be firm in his
resolution to attain jhana (8-10).
After attaining the first jhana a few times the meditator is not advised to set out
immediately striving for the second jhana. This would be a foolish and profitless
spiritual ambition. Before he is prepared to make the second jhana the goal of his
endeavor he must first bring the first jhana to perfection. If he is too eager to reach
the second jhana before he has perfected the first, he is likely to fail to gain the
second and find himself unable to regain the first. The Buddha compares such a meditator
to a foolish cow who, while still unfamiliar with her own pasture, sets out for new
pastures and gets lost in the mountains: she fails to find food or drink and is unable to
find her way home (A.iv, 418-19).
The perfecting of the first jhana involves two steps: the extension of the sign and the
achievement of the five masteries. The extension of the sign means extending the size of
the counterpart sign, the object of the jhana. Beginning with a small area, the size of
one or two fingers, the meditator gradually learns to broaden the sign until the mental
image can be made to cover the world-sphere or even beyond (Vism. 152-53; PP.158-59).
Following this the meditator should try to acquire five kinds of mastery over the
jhana: mastery in adverting, in attaining, in resolving, in emerging and in reviewing.[16] Mastery in adverting is the ability to advert to the jhana
factors one by one after emerging from the jhana, wherever he wants, whenever he wants,
and for as long as he wants. Mastery in attaining is the ability to enter upon jhana
quickly, mastery in resolving the ability to remain in the jhana for exactly the
pre-determined length of time, mastery in emerging the ability to emerge from jhana
quickly without difficulty, and mastery in reviewing the ability to review the jhana and
its factors with retrospective knowledge immediately after adverting to them. When the
meditator has achieved this fivefold mastery, then he is ready to strive for the second
jhana.
4. The Higher Jhanas
In this chapter we will survey the higher states of jhana. First we will discuss the
remaining three jhanas of the fine-material sphere, using the descriptive formulas of the
suttas as our starting point and the later literature as our source for the methods of
practice that lead to these attainments. Following this we will consider the four
meditative states that pertain to the immaterial sphere, which come to be called the
immaterial jhanas. Our examination will bring out the dynamic character of the process by
which the jhanas are successively achieved. The attainment of the higher jhanas of the
fine-material sphere, we will see, involves the successive elimination of the grosser
factors and the bringing to prominence of the subtler ones, the attainment of the formless
jhanas the replacement of grosser objects with successively more refined objects. From our
study it will become clear that the jhanas link together in a graded sequence of
development in which the lower serves as basis for the higher and the higher intensifies
and purifies states already present in the lower. We will end the chapter with a brief
look at the connection between the jhanas and the Buddhist teaching of rebirth.
The Higher Fine-material Jhanas
The formula for the attainment of the second jhana runs as follows:
With the subsiding of applied thought and sustained thought he enters and dwells in the
second jhana, which has internal confidence and unification of mind, is without applied
thought and sustained thought, and is filled with rapture and happiness born of
concentration (M.i,181; Vbh. 245)
The second jhana, like the first, is attained by eliminating the factors to be
abandoned and by developing the factors of possession. In this case however, the factors
to be abandoned are the two initial factors of the first jhana itself, applied thought and
sustained thought; the factors of possession are the three remaining jhana factors,
rapture, happiness and one-pointedness. Hence the formula begins "with the subsiding
of applied thought and sustained thought," and then mentions the jhana's positive
endowments.
After achieving the five kinds of mastery over the first jhana, a meditator who wishes
to reach the second jhana should enter the first jhana and contemplate its defects. These
are twofold: one, which might be called the defect of proximate corruption, is the
nearness of the five hindrances, against which the first jhana provides only a relatively
mild safeguard; the other defect, inherent to the first jhana, is its inclusion of applied
and sustained thought, which now appear as gross, even as impediments needing to be
eliminated to attain the more peaceful and subtle second jhana.
By reflecting upon the second jhana as more tranquil and sublime than the first, the
meditator ends his attachment to the first jhana and engages in renewed striving with the
aim of reaching the higher stage. He directs his mind to his meditation subject -- which
must be one capable of inducing the higher jhanas such as a kasina or the breath -- and
resolves to overcome applied and sustained thought. When his practice comes to maturity
the two kinds of thought subside and the second jhana arises. In the second jhana only
three of the original five jhana factors remain -- rapture, happiness, and
one-pointedness. Moreover, with the elimination of the two grosser factors these have
acquired a subtler and more peaceful tone.[17]
Besides the main jhana factors, the canonical formula includes several other states in
its description of the second jhana. "Internal confidence" (ajjhattamsampasadanam),
conveys the twofold meaning of faith and tranquillity. In the first jhana the meditator's
faith lacked full clarity and serenity due to "the disturbance created by applied and
sustained thought, like water ruffled by ripples and wavelets" (Vism. 157; PP.163).
But when applied and sustained thought subside, the mind becomes very peaceful and the
meditator's faith acquires fuller confidence.
The formula also mentions unification of mind (cetaso ekodibhavam), which is
identified with one-pointedness or concentration. Though present in the first jhana,
concentration only gains special mention in connection with the second jhana since it is
here that it acquires eminence. In the first jhana concentration was still imperfect,
being subject to the disturbing influence of applied and sustained thought. For the same
reason this jhana, along with its constituent rapture and happiness, is said to be born of
concentration (samadhijam): "It is only this concentration that is quite
worthy to be called 'concentration' because of its complete confidence and extreme
immobility due to absence of disturbance by applied and sustained thought" (Vism.158;
PP.164).
To attain the third jhana the meditator must use the same method he used to
ascend from the first jhana to the second. He must master the second jhana in the five
ways, enter and emerge from it, and reflect upon its defects. In this case the defect of
proximate corruption is the nearness of applied and sustained thought, which threaten to
disrupt the serenity of the second jhana; its inherent defect is the presence of rapture,
which now appears as a gross factor that should be discarded. Aware of the imperfections
in the second jhana, the meditator cultivates indifference towards it and aspires instead
for the peace and sublimity of the third jhana, towards the attainment of which he now
directs his efforts. When his practice matures he enters the third jhana, which has the
two jhana factors that remain when the rapture disappears, happiness and one-pointedness,
and which the suttas describe as follows:
With the fading away of rapture, he dwells in equanimity, mindful and discerning; and
he experiences in his own person that happiness of which the noble ones say: 'Happily
lives he who is equanimous and mindful' -- thus he enters and dwells in the third jhana.
(M.i,182; Vbh.245)
The formula indicates that the third jhana contains, besides its two defining factors,
three additional components not included among the jhana factors: equanimity, mindfulness
and discernment. Equanimity is mentioned twice. The Pali word for equanimity, upekkha,
occurs in the texts with a wide range of meanings, the most important being neutral
feeling -- that is, feeling which is neither painful nor pleasant -- and the mental
quality of inner balance or equipoise called "specific neutrality" (tatramajjhattata
-- see Vism.161; PP.167). The equanimity referred to in the formula is a mode of specific
neutrality which belongs to the aggregate of mental formations (sankharakkhandha)
and thus should not be confused with equanimity as neutral feeling. Though the two are
often associated, each can exist independently of the other, and in the third jhana
equanimity as specific neutrality co-exists with happiness or pleasant feeling.
The meditator in third jhana is also said to be mindful and discerning, which points to
another pair of frequently conjoined mental functions. Mindfulness (sati), in this
context, means the remembrance of the meditation object, the constant bearing of the
object in mind without allowing it to float away. Discernment (sampajañña) is an
aspect of wisdom or understanding which scrutinizes the object and grasps its nature free
from delusion. Though these two factors were already present even in the first two jhanas,
they are first mentioned only in connection with the third since it is here that their
efficacy becomes manifest. The two are needed particularly to avoid a return to rapture.
Just as a suckling calf, removed from its mother and left unguarded, again approaches the
mother, so the happiness of jhana tends to veer towards rapture, its natural partner, if
unguarded by mindfulness and discernment (Dhs. A.219). To prevent this and the consequent
loss of the third jhana is the task of mindfulness and discernment.
The attainment of the fourth jhana commences with the aforesaid procedure. In
this case the meditator sees that the third jhana is threatened by the proximity of
rapture, which is ever ready to swell up again due to its natural affinity with happiness;
he also sees that it is inherently defective due to the presence of happiness, a gross
factor which provides fuel for clinging. He then contemplates the state where equanimous
feeling and one-pointedness subsist together -- the fourth jhana -- as far more peaceful
and secure than anything he has so far experienced, and therefore as far more desirable.
Taking as his object the same counterpart sign he took for the earlier jhana, he
strengthens his efforts in concentration for the purpose of abandoning the gross factor of
happiness and entering the higher jhana. When his practice matures the mind enters
absorption into the fourth jhana:
With the abandoning of pleasure and pain, and with the previous disappearance of joy
and grief, he enters and dwells in the fourth jhana, which has neither-pain-nor-pleasure
and has purity of mindfulness due to equanimity. (M.i,182; Vbh.245)
The first part of this formula specifies the conditions for the attainment of this
jhana -- also called the neither-painful-nor-pleasant liberation of mind (M.i, 296) -- to
be the abandoning of four kinds of feeling incompatible with it, the first two signifying
bodily feelings, the latter two the corresponding mental feelings. The formula also
introduces several new terms and phrases which have not been encountered previously.
First, it mentions a new feeling, neither-pain-nor-pleasure (adukkhamasukha), which
remains after the other four feelings have subsided. This kind of feeling also called
equanimous or neutral feeling, replaces happiness as the concomitant feeling of the jhana
and also figures as one of the jhana factors. Thus this attainment has two jhana factors:
neutral feeling and one-pointedness of mind. Previously the ascent from one jhana to the
next was marked by the progressive elimination of the coarser jhana factors, but none were
added to replace those which were excluded. But now, in the move from the third to the
fourth jhana, a substitution occurs, neutral feeling moving in to take the place of
happiness.
In addition we also find a new phrase composed of familiar terms, "purity of
mindfulness due to equanimity" (upekkhasatiparisuddhi). The Vibhanga explains:
"This mindfulness is cleared, purified, clarified by equanimity" (Vbh. 261), and
Buddhaghosa adds: "for the mindfulness in this jhana is quite purified, and its
purification is effected by equanimity, not by anything else" (Vism.167; PP.174). The
equanimity which purifies the mindfulness is not neutral feeling, as might be supposed,
but specific neutrality, the sublime impartiality free from attachment and aversion, which
also pertains to this jhana. Though both specific neutrality and mindfulness were present
in the lower three jhanas, none among these is said to have "purity of mindfulness
due to equanimity." The reason is that in the lower jhanas the equanimity present was
not purified itself, being overshadowed by opposing states and lacking association with
equanimous feeling. It is like a crescent moon which exists by day but cannot be seen
because of the sunlight and the bright sky. But in the fourth jhana, where equanimity
gains the support of equanimous feeling, it shines forth like the crescent moon at night
and purifies mindfulness and the other associated states (Vism. 169; PP.175).
The Immaterial Jhanas
Beyond the four jhanas lie four higher attainments in the scale of concentration,
referred to in the suttas as the "peaceful immaterial liberations transcending
material form" (santa vimokkha atikammarupe aruppa, M.i,33). In the
commentaries they are also called the immaterial jhanas, and while this expression is not
found in the suttas it seems appropriate in so far as these states correspond to jhanic
levels of consciousness and continue the same process of mental unification initiated by
the original four jhanas, now sometimes called the fine-material jhanas. The immaterial
jhanas are designated, not by numerical names like their predecessors, but by the names of
their objective spheres: the base of boundless space, the base of boundless consciousness,
the base of nothingness, and the base of neither-perception-nor-non-perception.[18] They receive the designation "immaterial" or
" formless" (arupa) because they are achieved by surmounting all
perceptions of material form, including the subtle form of the counterpart sign which
served as the object of the previous jhanas, and because they are the subjective
correlates of the immaterial planes of existence.
Like the fine-material jhanas follow a fixed sequence and must be attained in the order
in which they are presented. That is, the meditator who wishes to achieve the immaterial
jhanas must begin with the base of boundless space and then proceed step by step up to the
base of neither-perception-nor-non-perception. However, an important difference separates
the modes of progress in the two cases. In the case of the fine-material jhanas, the
ascent from one jhana to another involves a surmounting of jhana factors. To rise from the
first jhana to the second the meditator must eliminate applied thought and sustained
thought, to rise from the second to the third he must overcome rapture, and to rise from
the third to the fourth he must replace pleasant with neutral feeling. Thus progress
involves a reduction and refinement of the jhana factors, from the initial five to the
culmination in one-pointedness and neutral feeling.
Once the fourth jhana is reached the jhana factors remain constant, and in higher
ascent to the immaterial attainments there is no further elimination of jhana factors. For
this reason the formless jhanas, when classified from the perspective of their factorial
constitution as is done in the Abhidhamma, are considered modes of the fourth jhana. They
are all two-factored jhanas, constituted by one-pointedness and equanimous feeling.
Rather than being determined by a surmounting of factors, the order of the immaterial
jhanas is determined by a surmounting of objects. Whereas for the lower jhanas the object
can remain constant but the factors must be changed, for the immaterial jhanas the factors
remain constant while the objects change. The base of boundless space eliminates the
kasina object of the fourth jhana, the base of boundless consciousness surmounts the
object of the base of boundless space, the base of nothingness surmounts the object of
base of boundless consciousness, and the base of neither-perception-nor-non-perception
surmounts the objects the object of the base of nothingness.
Because the objects become progressively more subtle at each level, the jhana factors
of equanimous feeling and one-pointedness, while remaining constant in nature throughout,
become correspondingly more refined in quality. Buddhaghosa illustrates this with a simile
of four pieces of cloth of the same measurements, spun by the same person, yet made of
thick, thin, thinner and very thin thread respectively (Vism. 339; PP.369). Also, whereas
the four lower jhanas can each take a variety of objects -- the ten kasinas, the
in-and-out breath, etc. -- and do not stand in any integral relation to these objects, the
four immaterial jhanas each take a single object inseparably related to the attainment
itself. The first is attained solely with the base of boundless space as object, the
second with the base of boundless consciousness, and so forth.
The motivation which initially leads a meditator to seek the immaterial attainments is
a clear recognition of the dangers inherent in material existence: it is in virtue of
matter that injuries and death by weapons and knives occur that one is afflicted with
diseases, subject of hunger and thirst, while none of this takes place on the immaterial
planes of existence (M.i,410). Wishing to escape these dangers by taking rebirth in the
immaterial planes, the meditator must first attain the four fine-material jhanas and
master the fourth jhana with any kasina as object except the omitted space kasina. By this
much the meditator has risen above gross matter, but he still has not transcended the
subtle material form comprised by the luminous counterpart sign which is the object of his
jhana. To reach the formless attainments the meditator, after emerging from the fourth
jhana, must consider that even that jhana, as refined as it is, still has an object
consisting in material form and thus is distantly connected with gross matter; moreover,
it is close to happiness, a factor of the third jhana, and is far coarser than the
immaterial states. The meditator sees the base of boundless space, the first immaterial
jhana, as more peaceful and sublime than the fourth fine-material jhana and as more safely
removed from materiality.
Following these preparatory reflections, the meditator enters the fourth jhana based on
a kasina object and extends the counterpart sign of the kasina "to the limit of the
world-sphere, or as far as he likes." Then, after emerging from the fourth jhana, he
must remove the kasina by attending exclusively to the space it has been made to cover
without attending to the kasina itself. Taking as his object the space left after the
removal of the kasina, the meditator adverts to it as "boundless space" or
simply as "space, space," striking at it with applied and sustained thought. As
he cultivates this practice over and over, eventually the consciousness pertaining to the
base of boundless space arises with boundless space as its object (Vism. 327-28;
PP.355-56).
A meditator who has gained mastery over the base of boundless space, wishing to attain
as well the second immaterial jhana, must reflect upon the two defects of the first
attainment which are its proximity to the fine-material jhanas and its grossness compared
to the base of boundless consciousness. Having in this way developed indifferent to the
lower attainment, he must next enter and emerge from the base of boundless space and then
fix his attention upon the consciousness that occurred there pervading the boundless
space. Since the space taken as the object by the first formless jhana was boundless, the
consciousness of that space also involves an aspect of boundlessness, and it is to this
boundless consciousness that the aspirant for the next attainment adverts. He is not to
attend to it merely as boundless, but as "boundless consciousness" or simply as
"consciousness." He continues to cultivate this sign again and again until the
consciousness belonging to the base of boundless consciousness arises in absorption taking
as its object the boundless consciousness pertaining to the first immaterial state (Vism.
331-32; PP.360-61).
To attain the next formless state, the base of nothingness, the meditator who has
mastered the base of boundless consciousness must contemplate its defects in the same
twofold manner and advert to the superior peacefulness of the base of nothingness. Without
giving any more attention to the base of boundless consciousness, he should "give
attention to the present non-existence, voidness, secluded aspect of that same past
consciousness belonging to the base consisting of boundless space" (Vism. 333;
PP.362). In other words, the meditator is to focus upon the present absence or
non-existence of the consciousness belonging to the base of boundless space, adverting to
it over and over thus: "There is not, there is not" or "void, void".
When his efforts fructify there arises in absorption a consciousness belonging to the base
of nothingness, with the non-existence of the consciousness of boundless space as its
object. Whereas the second immaterial state relates to the consciousness of boundless
space positively, by focusing upon the content of that consciousness and appropriating its
boundlessness, the third immaterial state relates to it negatively, by excluding that
consciousness from awareness and making the absence or present non-existence of that
consciousness its object.
The fourth and final immaterial jhana, the base of
neither-perception-nor-non-perception, is reached through the same preliminary procedure.
The meditator can also reflect upon the unsatisfactoriness of perception, thinking:
"Perception is a disease, perception is a boil, perception is a dart ... this is
peaceful, this is sublime, that is to say, neither-perception-nor-non-perception"
(M.ii,231). In this way he ends his attachment to the base of nothingness and strengthens
his resolve to attain the next higher stage. He then adverts to the four mental aggregates
that constitute the attainment of the base of nothingness -- its feeling, perception,
mental formations and consciousness -- contemplating them as "peaceful,
peaceful," reviewing that base and striking at it with applied and sustained thought.
As he does so the hindrances are suppressed, the mind passes through access and enters the
base of neither-perception-nor-non-perception.
This jhana receives its name because, on the one hand, it lacks gross perception with
its function of clearly discerning objects, and thus cannot be said to have perception; on
the other, it retains a very subtle perception, and thus cannot be said to be without
perception. Because all the mental functions are here reduced to the finest and most
subtle level, this jhana is also named the attainment with residual formations. At this
level the mind has reached the highest possible development in the direction of pure
serenity. It has attained the most intense degree of concentration, becoming so refined
that consciousness can no longer be described in terms of existence or non-existence. Yet
even this attainment, from the Buddhist point of view, is still a mundane state which must
finally give way to insight that alone leads to true liberation.
The Jhanas and Rebirth
Buddhism teaches that all sentient beings in whom ignorance and craving still linger
are subject to rebirth following death. Their mode of rebirth is determined by their
kamma, their volitional action, wholesome kamma issuing in a good rebirth and unwholesome
kamma in a bad rebirth. As a kind of wholesome kamma the attainment of jhana can play a
key role in the rebirth process, being considered a weighty good kamma which takes
precedence over other lesser kammas in determining the future rebirth of the person who
attains it.
Buddhist cosmology groups the numerous planes of existence into which rebirth takes
place into three broad spheres each of which comprises a number of subsidiary planes. The
sense-sphere (kamadhatu) is the field of rebirth for evil deeds and for meritorious
deeds falling short of the jhanas; the fine-material sphere (rupadhatu), the field
of rebirth for the fine-material jhanas; and the immaterial sphere (arupadhatu),
the field of rebirth for the immaterial jhanas.
An unwholesome kamma, should it become determinative of rebirth, will lead to a new
existence in one of the four planes of misery belonging to the sense-sphere: the hells,
the animal kingdom, the sphere of afflicted spirits, or the host of titans. A wholesome
kamma of a subjhanic type produces rebirth in one of the seven happy planes in the
sense-sphere, the human world or the six heavenly worlds.
Above the sense-sphere realms are the fine-material realms, into which rebirth is
gained only through the attainment of the fine-material jhanas. The sixteen realms in this
sphere are hierarchically ordered in correlation with the four jhanas. Those who have
practiced the first jhana to a minor degree are reborn in the Realm of the Retinue of
Brahma, to a moderate degree in the Realm of the Ministers of Brahma, and to a superior
degree in the Realm of the Great Brahma.[19] Similarly,
practicing the second jhana to a minor degree brings rebirth in the Realm of Minor Lustre,
to a moderate degree in the Realm of Infinite Lustre, and to a superior degree the Realm
of Radiant Lustre.[20] Again, practicing the third jhana to a
minor degree brings rebirth in the Realm of Minor Aura, to a moderate degree in the Realm
of Infinite Aura, and to a superior degree in the Realm of Steady Aura.[21]
Corresponding to the fourth jhana there are seven realms: the Realm of Great Reward,
the Realm of Non-percipient Beings, and the five Pure Abodes.[22]
With this jhana the rebirth pattern deviates from the former one. It seems that all beings
who practice the fourth jhana of the mundane level without reaching any supramundane
attainment are reborn in the realm of Great Reward. There is no differentiation by way of
inferior, moderate or superior grades of development. The Realm of Non-percipient Beings
is reached by those who, after attaining the fourth jhana, then use the power of their
meditation to take rebirth with only material bodies; they do not acquire consciousness
again until they pass away from this realm. The five Pure Abodes are open only to
non-returners (anagamis), noble disciples at the penultimate stage of liberation
who have eradicated the fetters binding them to the sense-sphere and thence automatically
take rebirth in higher realms, where they attain arahatship and reach final deliverance.
Beyond the fine-material sphere lie the immaterial realms, which are four in number --
the base of boundless space, the base of boundless consciousness, the base of nothingness,
and the base of neither-perception-nor-non-perception. As should be evident, these are
realms of rebirth for those who, without having broken the fetters that bind them to
samsara, achieve and master one or another of the four immaterial jhanas. Those meditators
who have mastery over a formless attainment at the time of death take rebirth in the
appropriate plane, where they abide until the kammic force of the jhana is exhausted. Then
they pass away, to take rebirth in some other realm as determined by their accumulated
kamma.[23]
5. Jhanas and the Supramundane
The Way of Wisdom
The goal of the Buddhist path, complete and permanent liberation from suffering, is to
be achieved by practicing the full threefold discipline of morality (sila), concentration
(samadhi), and wisdom (pañña). The mundane jhanas, comprising the four fine-material
jhanas and the four immaterial jhanas, pertain to the stage of concentration, which they
fulfill to an eminent degree. However, taken by themselves, these states do not ensure
complete deliverance, for they are incapable of cutting off the roots of suffering. The
Buddha teaches that the cause of suffering, the driving power behind the cycle of
rebirths, is the defilements with their three unwholesome roots -- greed, hatred and
delusion. Concentration of the absorption level, no matter to what heights it is pursued,
only suppresses the defilements, but cannot destroy their latent seeds. Thence bare
mundane jhana, even when sustained, cannot by itself terminate the cycle of rebirths. To
the contrary, it may even perpetuate the round. For if any fine-material or immaterial
jhana is held to with clinging, it will bring about a rebirth in that particular plane of
existence corresponding to its own kammic potency, which can then be followed by rebirth
in some lower realm.
What is required to achieve complete deliverance from the cycle of rebirths is the
eradication of the defilements. Since the most basic defilement is ignorance (avijja), the
key to liberation lies in developing its direct opposite, namely wisdom (pañña).
Since wisdom presupposes a certain proficiency in concentration it is inevitable that
jhana comes to claim a place in its development. This place, however, is not fixed and
invariable, but as we will see allows for differences depending on the individual
meditator's disposition.
Fundamental to the discussion in this chapter is a distinction between two terms
crucial to Theravada philosophical exposition, "mundane" (lokiya) and
"supramundane" (lokuttara). The term "mundane" applies to all
phenomena comprised in the world (loka) -- to subtle states of consciousness as
well as matter, to virtue as well as evil, to meditative attainments as well as sensual
engrossments. The term "supramundane," in contrast, applies exclusively to that
which transcends the world, that is the nine supramundane states: Nibbana, the four noble
paths (magga) leading to Nibbana, and their corresponding fruits (phala)
which experience the bliss of Nibbana.
Wisdom has the specific characteristic of penetrating the true nature of phenomena. It
penetrates the particular and general features of things through direct cognition rather
than discursive thought. Its function is "to abolish the darkness of delusion which
conceals the individual essences of states" and its manifestation is
"non-delusion." Since the Buddha says that one whose mind is concentrated knows
and sees things as they are, the proximate cause of wisdom is concentration (Vism. 438;
PP.481).
The wisdom instrumental in attaining liberation is divided into two principal types:
insight knowledge (vipassanañana) and the knowledge pertaining to the supramundane
paths (maggañana). The first is the direct penetration of the three
characteristics of conditioned phenomena -- impermanence, suffering and non-self.[24] It takes as its objective sphere the five aggregates (pañcakkhandha)
-- material form, feeling perception, mental formations and consciousness. Because insight
knowledge takes the world of conditioned formations as its object, it is regarded as a
mundane form of wisdom. Insight knowledge does not itself directly eradicate the
defilements, but serves to prepare the way for the second type of wisdom, the wisdom of
the supramundane paths, which emerges when insight has been brought to its climax. The
wisdom of the path, occurring in four distinct stages (to be discussed below ),
simultaneously realizes Nibbana, fathoms the Four Noble Truths, and cuts off the
defilements. This wisdom is called "supramundane" because it rises up from the
world of the five aggregates to realize the state transcendent to the world, Nibbana.
The Buddhist disciple, striving for deliverance, begins the development of wisdom by
first securely establishing its roots -- purified moral discipline and concentration. He
then learns and masters the basic material upon which wisdom is to work -- the aggregates,
elements, sense bases, dependent arising, the Four Noble Truths, etc. He commences the
actual practice of wisdom by cultivating insight into the impermanence, suffering and
non-self aspect of the five aggregates. When this insight reaches its apex it issues in
supramundane wisdom, the right view factor of the Noble Eightfold Path, which turns from
conditioned formations to the unconditioned Nibbana and thereby eradicates the
defilements.
The Two Vehicles
The Theravada tradition recognizes two alternative approaches to the development of
wisdom, between which practitioners are free to choose according to their aptitude and
propensity. These two approaches are the vehicle of serenity (samathayana) and the
vehicle of insight (vipassanayana). The meditators who follow them are called,
respectively, the samathayanika, "one who makes serenity his vehicle,"
and the vipassanayanika, "one who makes insight his vehicle." Since both
vehicles, despite their names, are approaches to developing insight, to prevent
misunderstanding the latter type of meditator is sometimes called a suddhavipassanayanika,
"one who makes bare insight his vehicle," or a sukkhavipassaka, "a
dry-insight worker." Though all three terms appear initially in the commentaries
rather than in the suttas, the recognition of the two vehicles seems implicit in a number
of canonical passages.
The samathayanika is a meditator who first attains access concentration or one
of the eight mundane jhanas, then emerges and uses his attainment as a basis for
cultivating insight until he arrives at the supramundane path. In contrast, the vipassanayanika
does not attain mundane jhana prior to practicing insight contemplation, or if he does,
does not use it as an instrument for cultivating insight. Instead, without entering and
emerging from jhana, he proceeds directly to insight contemplation on mental and material
phenomena and by means of this bare insight he reaches the noble path. For both kinds of
meditator the experience of the path in any of its four stages always occurs at a level of
jhanic intensity and thus necessarily includes supramundane jhana under the heading of
right concentration (samma samadhi), the eighth factor of the Noble Eightfold Path.
The classical source for the distinction between the two vehicles of serenity and
insight is the Visuddhimagga where it is explained that when a meditator begins the
development of wisdom "if firstly, his vehicle is serenity, [he] should emerge from
any fine-material or immaterial jhana except the base consisting of
neither-perception-nor-non-perception, and he should discern, according to characteristic,
function, etc. the jhana factors consisting of applied thought, etc. and the states
associated with them" (Vism. 557; PP679-80). Other commentarial passages allow access
concentration to suffice for the vehicle of serenity, but the last immaterial jhana is
excluded because its factors are too subtle to be discerned. The meditator whose vehicle
is pure insight, on the other hand, is advised to start directly by discerning material
and mental phenomena, beginning with the four elements, without utilizing a jhana for this
purpose (Vism. 558; PP.680). Thus the samathayanika first attains access
concentration or mundane jhana and then develops insight knowledge, by means of which he
reaches the supramundane path containing wisdom under the heading of right view, and
supramundane jhana under the heading of right concentration. The vipassanayanika,
in contrast, skips over mundane jhana and goes directly into insight contemplation. When
he reaches the end of the progression of insight knowledge he arrives at the supramundane
path which, as in the previous case, brings together wisdom with supramundane jhana. This
jhana counts as his accomplishment of serenity.
For a meditator following the vehicle of serenity the attainment of jhana fulfills two
functions: first, it produces a basis of mental purity and inner collectedness needed for
undertaking the work of insight contemplation; and second, it serves as an object to be
examined with insight in order to discern the three characteristics of impermanence,
suffering and non-self. Jhana accomplishes the first function by providing a powerful
instrument for overcoming the five hindrances. As we have seen, for wisdom to arise the
mind must first be concentrated well, and to be concentrated well it must be freed from
the hindrances, a task accomplished pre-eminently by the attainment of jhana. Though
access concentration will keep the hindrances at bay, jhana will ensure that they are
removed to a much safer distance.
In their capacity for producing concentration the jhanas are called the basis (pada)
for insight, and that particular jhana a meditator enters and emerges from before
commencing his practice of insight is designated his padakajjhana, the basic or
foundational jhana. Insight cannot be practiced while absorbed in jhana, since insight
meditation requires investigation and observation, which are impossible when the mind is
immersed in one-pointed absorption. But after emerging from the jhana the mind is cleared
of the hindrances, and the stillness and clarity that then result conduce to precise,
penetrating insight.
The jhanas also enter into the samathayanika's practice in second capacity, that
is, as objects for scrutinization by insight. The practice of insight consists essentially
in the examination of mental and physical phenomena to discover their marks of
impermanence, suffering and non-self. The jhanas a meditator attains provide him with a
readily available and strikingly clear object in which to seek out the three
characteristics. After emerging from a jhana the meditator will proceed to examine the
jhanic consciousness and to discern the way it exemplifies the three universal marks. This
process is called sammasanañana, "comprehension knowledge," and the
jhana subject to such treatment is termed sammasitajjhana, "the comprehended
jhana" (Vism. 607-11; PP.706-10). Though the basic jhana and the comprehended jhana
will often be the same, the two do not necessarily coincide. A meditator cannot practice
comprehension on a jhana higher than he is capable of attaining, but one who uses a higher
jhana as his padakajjhana can still practice insight comprehension on a lower jhana
which he has previously attained and mastered. The admitted difference between the padakajjhana
and the sammasitajjhana leads to discrepant theories about the supramundane
concentration of the noble path, as we will see.
Whereas the sequence of training undertaken by the samathayanika meditator is
unproblematic, the vipassanayanika's approach presents the difficulty of accounting
for the concentration he uses to provide a basis for insight. Concentration is needed in
order to see and know things as they are, but without access concentration or jhana, what
concentration can he use? The solution to this problem is found in a type of concentration
distinct from the access and absorption concentrations pertaining to the vehicle of
serenity, called "momentary concentration" (khanika samadhi). Despite its
name, momentary concentration does not signify a single moment of concentration amidst a
current of distracted thoughts, but a dynamic concentration which flows from object to
object in the ever-changing flux of phenomena, retaining a constant degree of intensity
and collectedness sufficient to purify the mind of the hindrances. Momentary concentration
arises in the samathayanika simultaneously with his post-jhanic attainment of
insight, but for the vipassanayanika it develops naturally and spontaneously in the
course of his insight practice without his having to fix the mind upon a single exclusive
object. Thus the follower of the vehicle of insight does not omit concentration altogether
from his training, but develops it in a different manner from the practitioner of
serenity. Without gaining jhana he goes directly into contemplation on the five aggregates
and by observing them constantly from moment to moment acquires momentary concentration as
an accompaniment of his investigations. This momentary concentration fulfills the same
function as the basic jhana of the serenity vehicle, providing the foundation of mental
clarity needed for insight to emerge.
Supramundane Jhana
The climax in the development of insight is the attainment of the supramundane paths
and fruits. Each path is a momentary peak experience directly apprehending Nibbana and
permanently cutting off certain defilements. These defilements are generally grouped into
a set of ten "fetters" (samyojana) which keep beings chained to the round
of rebirths. The first path, called the path of stream-entry (sotapatti) because it
marks the entry into the stream of the Dhamma, eradicates the first three fetters -- The
false view of self, doubt, and clinging to rites and rituals. The disciple who has reached
stream-entry has limited his future births to a maximum of seven in the happy realms of
the human and heavenly worlds, after which he will attain final deliverance. But an ardent
disciple may progress to still higher stages in the same life in which he reaches
stream-entry, by making an aspiration for the next higher path and again undertaking the
development of insight with the aim of reaching that path.
The next supramundane path is that of the once-returner (sakadagami). This path
does not eradicate any fetters completely, but it greatly attenuates sensual desire and
ill will. The once-returner is so called because he is bound to make an end of suffering
after returning to this world only one more time. The third path, that of the non-returner
(anagami) utterly destroys the sensual desire and ill will weakened by the
preceding path. The non-returner is assured that he will never again take rebirth in the
sense-sphere; if he does not penetrate higher he will be reborn spontaneously in the Pure
Abodes and there reach final Nibbana. The highest path, the path of arahatship, eradicate
the remaining five fetters -- desire for existence in the fine-material and immaterial
spheres, conceit, restlessness and ignorance. The arahat has completed the development of
the entire path taught by the Buddha; he has reached the end of rebirths and can sound his
"lion's roar": "Destroyed is birth, the holy life has been lived, what was
to be done has been done, there is nothing further beyond this."
Each path is followed immediately by the supramundane experience of fruition, which
results from the path, comes in the same four graded stages, and shares the path's
world-transcending character. But whereas the path performs the active function of cutting
off defilements, fruition simply enjoys the bliss and peace that result when the path has
completed its task. Also, where the path is limited to a single moment of consciousness,
the fruition that follows immediately on the path endures for two or three moments. And
while each of the four paths occurs only once and can never be repeated, fruition remains
accessible to the noble disciple at the appropriate level. He can resort to it as a
special meditative state called fruition attainment (phalasamapatti) for the
purpose of experiencing nibbanic bliss here and now (Vism. 699-702; PP.819-24).
The supramundane paths and fruits always arise as states of jhanic consciousness. They
occur as states of jhana because they contain within themselves the jhana factors elevated
to an intensity corresponding to that of the jhana factors in the mundane jhanas. Since
they possess the jhana factors these states are able to fix upon their object with the
force of full absorption. Thence, taking the absorptive force of the jhana factors as the
criterion, the paths and fruits may be reckoned as belonging to either the first, second,
third or fourth jhana of the fourfold scheme, or to the first, second, third, fourth or
fifth jhana of the fivefold scheme.
The basis for the recognition of a supramundane type of jhana goes back to the suttas,
especially to the section of "The Great Discourse on the Foundations of
Mindfulness" where the Buddha defines right concentration of the Noble Eightfold Path
by the standard formula for the four jhanas (D.ii,313). However, it is in the Abhidhamma
that the connection between the jhanas, paths and fruits comes to be worked out with great
intricacy of detail. The Dhammasangani, in its section on states of consciousness,
expounds each of the path and fruition states of consciousness as occasions, first, of one
or another of the four jhanas in the fourfold scheme, and then again as occasions of one
or another of the five jhanas in the fivefold scheme (Dhs.74-86). Standard Abhidhammic
exposition, as formalized in the synoptical manuals of Abhidhamma, employs the fivefold
scheme and brings each of the paths and fruits into connection with each of the five
jhanas. In this way the eight types of supramundane consciousness -- the path and fruition
consciousness of stream-entry, the once-returner, the non-returner and arahatship --
proliferate to forty types of supramundane consciousness, since any path or fruit can
occur at the level of any of the five jhanas. It should be noted, however, that there are
no paths and fruits conjoined with the immaterial attainments, the reason being that
supramundane jhana is presented solely from the standpoint of its factorial constitution,
which for the immaterial attainment and the fifth jhana is identical -- equanimity and
one-pointedness.
The fullest treatment of the supramundane jhanas in the authoritative Pali literature
can be found in the Dhammasangani read in conjunction with its commentary, the Atthasalini.
The Dhammasangani opens its analysis of the first wholesome supramundane
consciousness with the words:
On the occasion when one develops supramundane jhana which is emancipating, leading to
the demolition (of existence), for the abandonment of views, for reaching the first plane,
secluded from sense pleasures ... one enters and dwells in the first jhana. (Dhs. 72)
The Atthasalini explains the word lokuttara, which we have been
translating "supramundane," as meaning "it crosses over the world, it
transcends the world, it stands having surmounted and overcome the world." It glosses
the phrase "one develops jhana" thus: "One develops, produces, cultivates
absorption jhana lasting for a single thought-moment." This gloss shows us two things
about the consciousness of the path: that it occurs as a jhana at the level of full
absorption and that this absorption of the path lasts for only a single thought-moment.
The word "emancipating" (niyyanika) is explained to mean that this jhana
"goes out" from the world, from the round of existence, the phrase "leading
to demolition" (apacayagami) that it demolishes and dismantles the process of
rebirth (Dhs.A.259).
This last phrase points to a striking difference between mundane and supramundane
jhana. The Dhammasangani's exposition of the former begins: "On the occasion
when one develops the path for rebirth in the fine-material sphere ... one enters
and dwells in the first jhana" [my italics]. Thus, with this statement, mundane jhana
is shown to sustain the round of rebirths; it is a wholesome kamma leading to renewed
existence. But the supramundane jhana of the path does not promote the continuation of the
round. To the contrary, it brings about the round's dismantling and demolition, as the Atthasalini
shows with an illustrative simile:
The wholesome states of the three planes are said to lead to accumulation because they
build up and increase death and rebirth in the round. But not this. Just as when one man
has built up a wall eighteen feet high another might take a club and go along demolishing
it, so this goes along demolishing and dismantling the deaths and rebirths built up by the
wholesome kammas of the three planes by bringing about a deficiency in their conditions.
Thus it leads to demolition.[25]
Supramundane jhana is said to be cultivated "for the abandoning of views."
This phrase points to the function of the first path, which is to eradicate the fetters.
The supramundane jhana of the first path cuts off the fetter of personality view and all
speculative views derived from it. The Atthasalini points out that here we should
understand that it abandons not only wrong views but other unwholesome states as well,
namely, doubt, clinging to rites and rituals, and greed, hatred and delusion strong enough
to lead to the plane of misery. The commentary explicates "for reaching the first
plane" as meaning for attaining the fruit of stream-entry.
Besides these, several other differences between mundane and supramundane jhana may be
briefly noted. First, with regard to their object, the mundane jhanas have as object a
conceptual entity such as the counterpart sign of the kasinas or, in the case of the
divine abodes, sentient beings. In contrast, for the supramundane jhana of the paths and
fruits the object is exclusively Nibbana. With regard to their predominant tone, in
mundane jhana the element of serenity prevails, while the supramundane jhana of the paths
and fruits brings serenity and insight into balance. Wisdom is present as right view and
serenity as right concentration, both function together in perfect harmony, neither one
exceeding the other.
This difference in prevailing tone leads into a difference in function or activity
between the two kinds of jhana. Both the mundane and supramundane are jhanas in the sense
of closely attending (upanijjhana), but in the case of mundane jhana this close
attention issues merely in absorption into the object, an absorption that can only
suppress the defilement temporarily. In the supramundane jhana, particularly of the four
paths, the coupling of close attention with wisdom brings the exercise of four functions
at a single moment. These four functions each apply to one of the Four Noble Truths. The
path penetrates the First Noble Truth by fully understanding suffering; it penetrates the
Second Noble Truth by abandoning craving, the origin of suffering; it penetrates the Third
Noble Truth by realizing Nibbana, the cessation of suffering; and it penetrates the fourth
Noble Truth by developing the Noble Eightfold Path that leads to the end of suffering.
Buddhaghosa illustrates this with the simile of a lamp, which also performs four tasks
simultaneously: it burns the wick, dispels darkness, makes light appear, and consumes oil
(Vism.690; PP.808).
The Jhanic Level of the Path and Fruit
When the paths and fruits are assigned to the level of the four or five jhanas, the
question arises as to what factor determines their particular level of jhanic intensity.
In other words, why do the path and fruit arise for one meditator at the level of the
first jhana, for another at the level of the second jhana, and so forth? The commentaries
present three theories concerning the determination of the jhanic level of the path,
apparently deriving from the lineages of ancient teachers (Vism. 666-67; PP.778-80.
Dhs.A.271-74). The first holds that it is the basic jhana, i.e. the jhana used as a basis
for the insight leading to emergence in immediate proximity to the path, that governs the
difference in the jhanic level of the path. A second theory says that the difference is
governed by the aggregates made the objects of insight on the occasion of insight leading
to emergence. A third theory holds that it is the personal inclination of the meditator
that governs the difference.
According to the first theory the path arisen in a dry-insight meditator who lacks
jhana, and the path arisen in one who possesses a jhana attainment but does not use it as
a basis for insight, and the path arisen by comprehending formations after emerging from
the first jhana, are all paths of the first jhana only. When the path is produced after
emerging from the second, third, fourth and fifth jhanas (of the fivefold system) and
using these as the basis for insight, then the path pertains to the level of the jhana
used as a basis -- the second, third, fourth of fifth. For a meditator using an immaterial
jhana as basis the path will be a fifth jhana path. Thus in this first theory, when
formations are comprehended by insight after emerging from a basic jhana, then it is the
jhana attainment emerged from at the point nearest to the path, i.e. just before insight
leading to emergence is reached, that makes the path similar in nature to itself.
According to the second theory the path that arises is similar in nature to the states
which are being comprehended with insight at the time insight leading to emergence occurs.
Thus if the meditator, after emerging from a meditative attainment, is comprehending with
insight sense-sphere phenomena or the constituents of the first jhana, then the path
produced will occur at the level of the first jhana. On this theory, then, it is the
comprehended jhana (sammasitajjhana) that determines the jhanic quality of the
path. The one qualification that must be added is that a meditator cannot contemplate with
insight a jhana higher than he is capable of attaining.
According to the third theory, the path occurs at the level of whichever jhana the
meditator wishes -- either at the level of the jhana he has used as the basis for insight
or at the level of the jhana he has made the object of insight comprehension. In other
words, the jhanic quality of the path accords with his personal inclination. However, mere
wish alone is not sufficient. For the path to occur at the jhanic level wished for, the
mundane jhana must have been either made the basis for insight or used as the object of
insight comprehension.
The difference between the three theories can be understood through a simple example.[26] If a meditator reaches the supramundane path by
contemplating with insight the first jhana after emerging from the fifth jhana, then
according to the first theory his path will belong to the fifth jhana, while according to
the second theory it will belong to the first jhana. Thus these two theories are
incompatible when a difference obtains between basic jhana and comprehended jhana. But
according to the third theory, the path becomes of whichever jhana the meditator wishes,
either the first or the fifth. Thus this doctrine does not necessarily clash with the
other two.
Buddhaghosa himself does not make a decision among these three theories. He only points
out that in all three doctrines, beneath their disagreements, there is the recognition
that the insight immediately preceding the supramundane path determines the jhanic
character of the path. For this insight is the proximate and the principal cause for the
arising of the path, so whether it be the insight leading to emergence near the basic
jhana or that occurring through the contemplated jhana or that fixed by the meditator's
wish, it is in all cases this final phase of insight that gives definition to the
supramundane path. Since the fruition that occurs immediately after the path has an
identical constitution to the path, its own supramundane jhana is determined by the path.
Thus a first jhana path produces a first jhana fruit, and so forth for the remaining
jhanas.
6. Jhana and the Noble Disciples
All noble persons, as we saw, acquire supramundane jhana along with their attainment of
the noble paths and fruits. The noble ones at each of the four stages of liberation,
moreover, have access to the supramundane jhana of their respective fruition attainments,
from the fruition attainment of stream-entry up to the fruition attainments of arahatship.
It remains problematic, however to what extent they also enjoy the possession of mundane
jhana. To determine an answer to this question we will consult an early typology of seven
types of noble disciples, which provides a more psychologically oriented way of
classifying the eight noble individuals. A look at the explanation of these seven types
will enable us to see the range of jhanic attainment reached by the noble disciples. On
this basis we will proceed to assess the place of mundane jhana in the early Buddhist
picture of the arahat, the perfected individual.
Seven Types of Disciples
The sevenfold typology is originally found in the Kitagiri Sutta of the Majjhima Nikaya
(M.i,477-79) and is reformulated in the Puggalapaññatti of the Abhidhamma Pitaka.
This typology classifies the noble persons on the paths and fruits into seven types: the
faith-devotee (saddhanusari), the one liberated by faith (saddhavimutta),
the body-witness (kayasakkhi), the one liberated in both ways (ubhatobhagavimutta),
the truth-devotee (dhammanusari), the one attained to understanding (ditthipatta),
and the one liberated by wisdom (paññavimutta). The seven types may be divided
into three general groups, each defined by the predominance of a particular spiritual
faculty, The first two types are governed by a predominance of faith, the middle two by a
predominance of concentration, and the last three by a predominance of wisdom. To this
division, however, certain qualifications will have to made as we go along.
[1] The faith-devotee is explained the sutta thus:
Herein, monks, some person has not reached with his own (mental) body those peaceful
immaterial deliverances transcending material form: nor after seeing with wisdom, have his
cankers been destroyed.[27] But he has a certain degree of
faith in the Tathagata, a certain degree of devotion to him, and he has these qualities --
the faculties of faith, energy, mindfulness, concentration and wisdom. This person, monks,
is called a faith-devotee. (M.i,479)
The Puggalapaññatti (p 182) defines the faith-devotee from a different angle
as a disciple practicing for the fruit of stream-entry in whom the faculty of faith is
predominant and who develops the noble path led by faith. It adds that when he is
established in the fruit he becomes one liberated by faith. Although the sutta excluded
the "peaceful immaterial attainments," i.e. the four immaterial jhana, from the
faith-devotee's equipment, this implies nothing with regard to his achievement of the four
lower mundane jhanas. It would seem that the faith-devotee can have previously attained
any of the four fine-material jhanas before reaching the path, and can also be a
dry-insight worker bereft of mundane jhana.
[2] The one liberated by faith is strictly and literally defined as a
noble disciple at the six intermediate levels, from the fruit of stream-entry through to
the path of arahatship, who lacks the immaterial jhanas and has a predominance of the
faith faculty.
The Buddha explains the one liberated by faith as follows:
Herein, monks, some person has not reached with his own (mental) body those peaceful
immaterial deliverances transcending material form; but having seen with wisdom, some of
his cankers have been destroyed, and his faith in the Tathagata is settled, deeply rooted,
well established. This person, monks, is called one liberated by faith. (M.i,478)
As in the case of the faith-devotee, the one liberated by faith, while lacking the
immaterial jhanas, may still be an obtainer of the four mundane jhanas as well as a dry
insight worker.
The Puggalapaññatti states (pp.184-85) that the person liberated by faith is
one who understands the Four Noble Truths, has seen and verified by means of wisdom the
teachings proclaimed by the Tathagata, and having seen with wisdom has eliminated some of
his cankers. However, he has not done so as easily as the ditthipatta, the person
attained to understanding, whose progress is easier due to his superior wisdom. The fact
that the one liberated by faith has destroyed only some of this cankers implies that he
has advanced beyond the first path but not yet reached the final fruit, the fruit of
arahatship.[28]
[3] The body-witness is a noble disciple at the six intermediate levels,
from the fruit of stream-entry to the path of arahatship, who has a predominance of the
faculty of concentration and can obtain the immaterial jhanas. The sutta explanation
reads:
And what person, monks is a body-witness? Herein, monks, some person has reached with
his own (mental) body those peaceful immaterial deliverances transcending material form,
and having seen with wisdom, some of his cankers having been destroyed. This person,
monks, is called a body-witness. (M.i,478)
The Puggalapaññatti (p. 184) offers a slight variation in this phrasing,
substituting "the eight deliverances" (atthavimokkha) for the sutta's
"peaceful immaterial deliverances" (santa vimokkha aruppa). These eight
deliverances consist of three meditative attainments pertaining to the fine-material
sphere (inclusive of all four lower jhanas), the four immaterial jhanas, and the cessation
of perception and feeling (saññavedayitanirodha) -- the last a special attainment
accessible only to those non-returners and arahats who have also mastered the eight
jhanas.[29] The statement of the Puggalapaññatti does not
mean either that the achievement of all eight deliverances is necessary to become a
body-witness or that the achievement of the three lower deliverances is sufficient. What
is both requisite and sufficient to qualify as a body-witness is the partial destruction
of defilements coupled with the attainment of at least the lowest immaterial jhana. Thus
the body witness becomes fivefold by way of those who obtain any of the four immaterial
jhanas and the one who also obtains the cessation of perception and feeling.
[4] One who is liberated in both ways is an arahat who has completely
destroyed the defilements and possesses the immaterial attainments. The commentaries
explain the name "liberated in both ways" as meaning "through the
immaterial attainment he is liberated from the material body and through the path (of
arahatship) he is liberated from the mental body" (MA.ii,131). The sutta defines this
type of disciple thus:
And what person, monks, is liberated in both ways? Herein, monks, someone has reached
with his own (mental) body those peaceful immaterial deliverances transcending material
form, and having seen with wisdom, his cankers are destroyed. This person, monks, is
called liberated in both ways. (M.i,477)
The Puggalapaññatti (p.184) gives basically the same formula but replaces
"immaterial deliverances" with "the eight deliverances." The same
principle of interpretation that applied to the body-witness applies here: the attainment
of any immaterial jhana, even the lowest, is sufficient to qualify a person as both-ways
liberated. As the commentary to the Visuddhimagga says: "One who has attained
arahatship after gaining even one [immaterial jhana] is liberated both ways"
(Vism.T.ii,466). This type becomes fivefold by way of those who attain arahatship after
emerging from one or another of the four immaterial jhanas and the one who attains
arahatship after emerging from the attainment of cessation (MA:iii,131).
[5] The truth-devotee is a disciple on the first path in whom the faculty
of wisdom is predominant. The Buddha explains the truth-devotee as follows:
Herein, monks, some person has not reached with his own (mental) body those peaceful
immaterial deliverances transcending material form; nor, after seeing with wisdom, have
his cankers been destroyed. But the teachings proclaimed by the Tathagata are accepted by
him through mere reflection, and he has these qualities -- the faculties of faith, energy,
mindfulness, concentration and wisdom. This person, monks, is called a truth-devotee.
(M.i,479)
The Puggalapaññatti (p.185) defines the truth-devotee as one practicing for
realization of the fruit of stream-entry in whom the faculty of wisdom is predominant, and
who develops the path led by wisdom. It adds that when a truth-devotee is established in
the fruit of stream-entry he becomes one attained to understanding, the sixth type. The
sutta and Abhidhamma again differ as to emphasis, the one stressing lack of the immaterial
jhanas, the other the ariyan stature. Presumably, he may have any of the four
fine-material jhanas or be a bare-insight practitioner without any mundane jhana.
[6] The one attained to understanding is a noble disciple at the six
intermediate levels who lacks the immaterial jhanas and has a predominance of the wisdom
faculty. The Buddha explains:
And what person, monks, is the one attained to understanding? Herein, monks someone has
not reached with his own mental body those peaceful immaterial deliverances transcending
material form, but having seen with wisdom some of his cankers are destroyed, and the
teachings proclaimed by the Tathagata have been seen and verified by him with wisdom. This
person, monks, is called the one attained to understanding. (M.i,478)
The Puggalapaññatti (p.185) defines the one attained to understanding as a
person who understands the Four Noble Truths, has seen and verified by means of wisdom the
teachings proclaimed by the Tathagata, and having seen with wisdom has eliminated some of
his cankers. He is thus the "wisdom counterpart" of the one liberated by faith,
but progresses more easily than the latter by virtue of his sharper wisdom. Like his
counterpart, he may possess any of the four mundane jhanas or may be a dry-insight worker.
[7] The one liberated by wisdom is an arahat who does not obtain the
immaterial attainments. In the words of the sutta:
And what person, monks, is the one liberated by wisdom? Herein, monks, someone has not
reached with his own (mental) body those peaceful material deliverances transcending
material form, but having seen with wisdom his cankers are destroyed. This person, monks,
is called one liberated by wisdom. (M.i,477-78)
The Puggalapaññatti's definition (p.185) merely replaces "immaterial
deliverance" with "the eight deliverances." Though such arahats do not
reach the immaterial jhanas it is quite possible for them to attain the lower jhanas. The
sutta commentary in fact states that the one liberated by wisdom is fivefold by way of the
dry-insight worker and the four who attain arahatship after emerging from the four jhanas.
It should be noted that the one liberated by wisdom is contrasted not with the one
liberated by faith, but with the one liberated in both ways. The issue that divides the
two types of arahat is the lack or possession of the four immaterial jhanas and the
attainment of cessation. The person liberated by faith is found at the six intermediate
levels of sanctity, not at the level of arahatship. When he obtains arahatship, lacking
the immaterial jhanas, he becomes one liberated by wisdom even though faith rather that
wisdom is his predominant faculty. Similarly, a meditator with predominance of
concentration who possesses the immaterial attainments will still be liberated in both
ways even if wisdom rather than concentration claims first place among his spiritual
endowments, as was the case with the venerable Sariputta.
Jhana and the Arahat
From the standpoint of their spiritual stature the seven types of noble persons can be
divided into three categories. The first, which includes the faith-devotee and the
truth-devotee, consists of those on the path of stream-entry, the first of the eight noble
individuals. The second category, comprising the one liberated by faith, the body-witness
and the one attained to understanding, consists of those on the six intermediate levels,
from the stream-enterer to one on the path of arahatship. The third category, comprising
the one liberated in both ways and the one liberated by wisdom, consists only of arahats.[30]
The ubhatobhagavimutta, "one liberated in both ways," and the paññavimutta
"one liberated by wisdom," thus form the terms of a twofold typology of arahats
distinguished on the basis of their accomplishment in jhana. The ubhatobhagavimutta
arahat experiences in his own person the "peaceful deliverances" of the
immaterial sphere, the paññavimutta arahat lacks this full experience of the
immaterial jhanas. Each of these two types, according to the commentaries, again becomes
fivefold -- the ubhatobhagavimutta by way of those who possess the ascending four
immaterial jhanas and the attainment of cessation, the paññavimutta by way of
those who reach arahatship after emerging from one of the four fine-material jhanas and
the dry-insight meditator whose insight lacks the support of mundane jhana.
The possibility of attaining the supramundane path without possession of a mundane
jhana has been questioned by some Theravada scholars, but the Visuddhimagga clearly
admits this possibility when it distinguishes between the path arisen in a dry-insight
meditator and the path arisen in one who possesses a jhana but does not use it as a basis
for insight (Vism.666-67; PP.779). Textual evidence that there can be arahats lacking
mundane jhana is provided by the Susima Sutta (S.ii, 199-23) together with is
commentaries. When the monks in the sutta are asked how they can be arahats without
possessing supernormal powers of the immaterial attainments, they reply: "We are
liberated by wisdom" (paññavimutta kho mayam). The commentary glosses this
reply thus: "We are contemplatives, dry-insight meditators, liberated by wisdom
alone" (Mayam nijjhanaka sukkhavipassaka paññamatten'eva vimutta ti,
SA.ii,117). The commentary also states that the Buddha gave his long disquisition on
insight in the sutta "to show the arising of knowledge even without
concentration" (vina pi samadhimevam nanuppattidassanattham, SA.ii,117). The
subcommentary establishes the point by explaining "even without concentration"
to mean "even without concentration previously accomplished reaching the mark of
serenity" (samathalakkhanappattam purimasiddhamvina pi samadhin ti), adding
that this is said in reference to one who makes insight his vehicle (ST.ii,125).
In contrast to the paññavimutta arahats, those arahats who are ubhatobhagavimutta
enjoy a twofold liberation. Through their mastery over the formless attainments they are
liberated from the material body (rupakaya), capable of dwelling in this very life
in the meditations corresponding to the immaterial planes of existence; through their
attainment of arahatship they are liberated from the mental body (namakaya),
presently free from all defilements and sure of final emancipation from future becoming. Paññavimutta
arahats only possess the second of these two liberations.
The double liberation of the ubhatobhagavimutta arahat should not be confused
with another double liberation frequently mentioned in the suttas in connection with
arahatship. This second pair of liberations, called cetovimutti paññavimutti,
"liberation of mind, liberation by wisdom," is shared by all arahats. It appears
in the stock passage descriptive of arahatship: "With the destruction of the cankers
he here and now enters and dwells in the cankerless liberation of mind, liberation by
wisdom, having realized it for himself with direct knowledge." That this twofold
liberation belongs to paññavimutta arahats as well as those who are
ubhatobhagavimutta is made clear by the Putta Sutta, where the stock passage is used for
two types of arahats called the "white lotus recluse" and the "red lotus
recluse":
How, monks, is a person a white lotus recluse (samanapundarika)? Here, monks,
with the destruction of the cankers a monk here and now enters and dwells in the
cankerless liberation of mind, liberation by wisdom, having realized it for himself with
direct knowledge. Yet he does not dwell experiencing the eight deliverances with his body.
Thus, monks, a person is a white lotus recluse.
And how, monks, is a person a red lotus recluse (samanapaduma)? Here, monks,
with the destruction of the cankers a monk here and now enters and dwells in the
cankerless liberation of mind, liberation by wisdom, having realized it for himself with
direct knowledge. And he dwells experiencing the eight deliverances with his body. Thus,
monks, a person is a red lotus recluse. (A.ii,87)
Since the description of these two types coincides with that of paññavimutta
and ubhatobhagavimutta the two pairs may be identified, the white lotus recluse
with the paññavimutta, the red lotus recluse with the ubhatobhagavimutta.
Yet the paññavimutta arahat, while lacking the experience of the eight
deliverances, still has both liberation of mind and liberation by wisdom.
When liberation of mind and liberation by wisdom are joined together and described as
"cankerless" (anasava), they can be taken to indicate two aspects of the
arahat's deliverance. Liberation of mind signifies the release of his mind from craving
and its associated defilements, liberation by wisdom the release from ignorance:
"With the fading away of lust there is liberation of mind, with the fading away of
ignorance there is liberation by wisdom" (A.i,61). "As he sees and understands
thus his mind is liberated from the canker of sensual desire, from the canker of
existence, from the canker of ignorance" (M.i,183-84) -- here release from the first
two cankers can be understood as liberation of mind, release from the canker of ignorance
as liberation by wisdom. In the commentaries "liberation of mind" is identified
with the concentration factor in the fruition attainment of arahatship, "liberation
by wisdom" with the wisdom factor.
Since every arahat reaches arahatship through the Noble Eightfold Path, he must have
attained supramundane jhana in the form of right concentration, the eighth factor of the
path, defined as the four jhanas. This jhana remains with him as the concentration of the
fruition attainment of arahatship, which occurs at the level of supramundane jhana
corresponding to that of his path. Thus he always stands in possession of at least the
supramundane jhana of fruition, called the "cankerless liberation of mind."
However, this consideration does not reflect back on his mundane attainments, requiring
that every arahat possess mundane jhana.
Although early Buddhism acknowledges the possibility of a dry-visioned arahatship, the
attitude prevails that jhanas are still desirable attributes in an arahat. They are of
value not only prior to final attainment, as a foundation for insight, but retain their
value even afterwards. The value of jhana in the stage of arahatship, when all spiritual
training has been completed, is twofold. One concerns the arahat's inner experience, the
other his outer significance as a representative of the Buddha's dispensation.
On the side of inner experience the jhanas are valued as providing the arahat with a
"blissful dwelling here and now" (ditthadhammasukhavihara). The suttas
often show arahats attaining to jhana and the Buddha himself declares the four jhanas to
be figuratively a kind of Nibbana in this present life (A.iv.453-54). With respect to
levels and factors there is no difference between the mundane jhanas of an arahat and
those of a non-arahat. The difference concerns their function. For non-arahats the mundane
jhanas constitute wholesome kamma; they are deeds with a potential to produce results, to
precipitate rebirth in a corresponding realm of existence. But in the case of an arahat
mundane jhana no longer generates kamma. Since he has eradicated ignorance and craving,
the roots of kamma, his actions leave no residue; they have no capacity to generate
results. For him the jhanic consciousness is a mere functional consciousness which comes
and goes and once gone disappears without a trace.
The value of the jhanas, however, extends beyond the confines of the arahat's personal
experience to testify to the spiritual efficacy of the Buddha's dispensation. The jhanas
are regarded as ornamentations of the arahat, testimonies to the accomplishment of the
spiritually perfect person and the effectiveness of the teaching he follows. A worthy monk
is able to "gain at will without trouble or difficulty, the four jhanas pertaining to
the higher consciousness, blissful dwellings here and now." This ability to gain the
jhanas at will is a "quality that makes a monk an elder." When accompanied by
several other spiritual accomplishments it is an essential quality of "a recluse who
graces recluses" and of a monk who can move unobstructed in the four directions.
Having ready access to the four jhanas makes an elder dear and agreeable, respected and
esteemed by his fellow monks. Facility in gaining the jhanas is one of the eight qualities
of a completely inspiring monk (samantapasadika bhikkhu) perfect in all respects;
it is also one of the eleven foundations of faith (saddha pada). It is significant
that in all these lists of qualities the last item is always the attainment of arahatship,
"the cankerless liberation of mind, liberation by wisdom," showing that all
desirable qualities in a bhikkhu culminate in arahatship.[31]
The higher the degree of his mastery over the meditative attainments, the higher the
esteem in which an arahat monk is held and the more praiseworthy his achievement is
considered. Thus the Buddha says of the ubhatobhagavimutta arahat: "There is
no liberation in both ways higher and more excellent than this liberation in both
ways"(D.ii,71).
The highest respect goes to those monks who possess not only liberation in both ways
but the six abhiññas or "super-knowledges": the exercise of psychic powers,
the divine ear, the ability to read the minds of others, the recollection of past lives,
knowledge of the death and rebirth of beings, and knowledge of final liberation. The
Buddha declares that a monk endowed with the six abhiññas, is worthy of gifts and
hospitality, worthy of offerings and reverential salutations, a supreme field of merit for
the world (A.iii,280-81). In the period after the Buddha's demise, what qualified a monk
to give guidance to others was endowment with ten qualities: moral virtue, learning,
contentment, mastery over the four jhanas, the five mundane abhiññas and
attainment of the cankerless liberation of mind, liberation by wisdom (M.iii,11-12).
Perhaps it was because he was extolled by the Buddha for his facility in the meditative
attainments and the abhiññas that the venerable Mahakassapa assumed the
presidency of the first great Buddhist council held in Rajagaha after the Buddha's passing
away.
The graduation in the veneration given to arahats on the basis of their mundane
spiritual achievements implies something about the value system of early Buddhism that is
not often recognized. It suggests that while final liberation may be the ultimate and most
important value, it is not the sole value even in the spiritual domain. Alongside it, as
embellishments rather than alternatives, stand mastery over the range of the mind and
mastery over the sphere of the knowable. The first is accomplished by the attainment of
the eight mundane jhanas, the second by the attainment of the abhiññas. Together,
final liberation adorned with this twofold mastery is esteemed as the highest and most
desirable way of actualizing the ultimate goal.
About the Author
Mahathera Henepola Gunaratana was ordained as a Buddhist monk in Kandy, Sri Lanka, in
1947 and received his education at Vidyalankara College and Buddhist Missionary College,
Colombo. He worked for five years as a Buddhist missionary among the Harijans
(Untouchables) in India and for ten years with the Buddhist Missionary Society in Kuala
Lumpur, Malaysia. In 1968 he came to the United States to serve as general secretary of
the Buddhist Vihara Society at the Washington Buddhist Vihara. In 1980 he was appointed
president of the Society. He has received a Ph.D. from The American University and since
1973 has been Buddhist Chaplain at The American University. He is now director of the
Bhavana Meditation Center in West Virginia in the Shenandoah Valley, about 100 miles from
Washington, D.C.
Notes
1. See for example, the Samaññaphala Sutta (D. 2), the
Culahatthipadopama Sutta (M. 27),etc. [Go back]
2. Kamacchanda, byapada, thinamiddha, uddhaccakukkucca,
vicikiccha. [Go back]
3. Vitakka, vicara, piti, sukha, ekaggata. [Go
back]
4. Akasanañcayatana, viññanañcayatana,
akincaññayatana, nevasaññanasaññayatana. [Go back]
5. See Narada, A Manual of Abhidhamma, 4th ed. (Kandy:
Buddhist Publication Society, 1980), pp.389, 395-96. [Go back]
6. A full description of the fourfold purification of morality
will be found in the Visuddhimagga, Chapter 1. [Go back]
7. The following discussion is based on Vism.110-115;
PP.112-118. [Go back]
8. Buddhaghosa ascribes the passage he cites in support of the
correspondence to the "Petaka," but it cannot be traced anywhere in the present
Tipitaka, nor in the exegetical work named Petakopadesa. [Go back]
9. The other two types of abandoning are by substitution of
opposites (tadangappahana), which means the replacement of unwholesome states by
wholesome ones specifically opposed to them, and abandoning by eradication (samucchedappahana),
the final destruction of defilements by the supramundane paths. See Vism.693-96;PP.812-16.
[Go back]
10. Adapted from Nyanaponika Thera, The Five Mental
Hindrances and Their Conquest (Wheel No. 26). This booklet contains a full compilation
of texts on the hindrances. [Go back]
11. Ven Ñanamoli, in his translation of the Visuddhimagga,
renders piti by "happiness," but this rendering can be misleading since most
translators use "happiness" as a rendering for sukha, the pleasurable feeling
present in the jhana. We will render piti by "rapture," thus maintaining the
connection of the term with ecstatic meditative experience. [Go back]
12. Shwe Zan Aung, Compendium of Philosophy (London:
Pali Text Society, 1960), p243. [Go back]
13. Khuddhikapiti, khanikapiti, okkantikapiti, ubbega piti
and pharana piti. Vism 143-44; PP. 149-51. Dhs.A.158. [Go back]
14. Dhs.A.160-61. Translation by Maung Tin, The Expositor
(Atthasalini) (London: Pali Text Society, 1921), i.155-56. [Go back]
15. The following is based on Vism. 126-35; PP.132-40 [Go back]
16. Avajjanavasi, samapajjanavasi, adhitthanavasi,
vutthanavasi, paccavekkhanavasi. For a discussion see Vism. 154-55; PP.160-61. The
canonical source for the five masteries is the Patisambhidamagga, i.100. [Go back]
17. Based on the distinction between applied and sustained
thought, the Abhidhamma presents a fivefold division of the jhanas obtained by recognizing
the sequential rather than simultaneous elimination of the two kinds of thought. On this
account a meditator of duller faculties eliminates applied thought first and attains a
second jhana with four factors including sustained thought, and a third jhana identical
with the second jhana of the fourfold scheme. In contrast a meditator of sharp faculties
comprehends quickly the defects of both applied and sustained thought and so eliminates
them both at once. [Go back]
18. Akasanañcayatana, viññanañcayatana,
akincaññayatana, nevasaññana saññayatana. [Go back]
19. Brahmaparisajja brahmapurohita, maha brahma. [Go back]
20. Paritabha, appamanabha, abhassara. [Go
back]
21. Parittasubha, appamanasubha, subhakinha. [Go back]
22. Vehapphala, asaññasatta, suddhavasa. [Go back]
23. A good summary of Buddhist cosmology and of the connection
between kamma and planes of rebirth can be found in Narada, A Manual of Abhidhamma,
pp.233-55. [Go back]
24. Anicca, dukkha, anatta. [Go back]
25. Dhs.A.259.See Expositor, ii.289-90. [Go
back]
26. Dhs.A.274. See Expositor, ii.310. [Go
back]
27. The cankers (asava) are four powerful defilements
that sustain samsara; sensual desire, desire for existence, wrong views and ignorance. [Go back]
28. The Visuddhimagga, however says that arahats in
whom faith is predominant can also be called "liberated by faith" (Vism.659;
PP.770). Its commentary points out that this statement is intended only figuratively, in
the sense that those arahats reach their goal after having been liberated by faith in the
intermediate stages. Literally, they would be "liberated by wisdom".
(Vism.T.ii,468) [Go back]
29. The first three emancipations are: one possessing material
form sees material forms; one not perceiving material forms internally sees material forms
externally; and one is released upon the idea of the beautiful. They are understood to be
variations on the jhanas attained with color kasinas. For the attainment of cessation, see
PP.824-833. [Go back]
30. It should be noted that the Kitagiri Sutta makes no
provision in its typology for a disciple on the first path who gains the immaterial
jhanas. Vism.T.(ii,466) holds that he would have to be considered either a faith-devotee
or a truth-devotee, and at the final fruition would be one liberated in both ways. [Go back]
31. The references are to: A,ii,23; iii,131,135,114;
iv,314-15; v,337. [Go back]