Gotama Becomes the Buddha──Reconstruction of the Nikaaya Account of the Path

Biswadeb Mukherjee  

329~364

中華佛學學報第11  

19987月出版  

中華佛學研究所發行  

 

 

 

329

Gotama Becomes the Buddha──

Reconstruction of the Nikaaya Account of the Path

 

 

Biswadeb Mukherjee

Researcher

Chung-Hwa Institute of Buddhist Studies

 

 

 

Summary

During the time of the Buddha and before him the ultimate spiritual

goal was to realize nibbaana in this life. Gotama also entered the houseless

state to attain this goal. We have tried to reconstruct an outline of the

entire spiritual journey of otama from isolated accounts scattered in the

Nikaayas. Only those informations which can be reasonably accepted as

historical and shown to have positively contributed to the attainment of the

final goal have been studied in the present article.

 

It appears that in an early phase of his spiritual journey Gotama

controlled and cultivated his thoughts in such a way that the unwholesome

thoughts ceased to arise while the wholesome thoughts continued to arise

spontaneously. It is this type of mind--and not any god's pleading with

him──that prompted him to preach the dhamma out of compassion for the

suffering humanity.

 

Nibbaana was accepted to be absolutely calm. One of the methods

to develop mental calmness was to practice the four jhaanas. Gotama

also attained these jhaanas and went beyond them moreover he remained

unaffected by the mental state that arose after the 4th jhaana. Consequently

he was free from the feelings of dukkha, sukha and adukkham-asukham, and

developed greatly the calmness, mindfullness and concentration of mind. 

He ceased to take delight in and cling to any object. Thus he attained a

special mental state which was perfectly concentrated, mindful and

characterised by the absence of all these three feelings.

 

It is noteworthy that this mental state came into existence without

being intended. Gotama's wilful exertions were all directed only to eliminate

agitative elements, and not to create a new mental state. Moreover as

this mental state did  

 

 

330

not take delight in any object, it was free from all subjective influences in

its functioning. Thus this was a unique mental state that had not got rid

of the illusory‘I’and was devoid of wisdom regarding the nature of

clinging etc., and yet was capable of absolutely objective observation. 

Observation made by this mental state was superior to any scientific

Observation which is always mixed up with the observer.

 

With this special mental state Gotama realized ‘bodhi’, that is

the wisdom about the destruction of the defilements aasava, aa`srava

, and the two other knowledges. This wisdom showed that one can

transcends the conditioned and thus enabled him to deduce the existence

of the unconditioned, the nibbana. It destroyed the illusory ‘I’ and

thus permanently uprooted clinging. A person who has realized ‘bodhi’

merges into nibbaana after the dissolution of the body.

 

But the attainment of bodhi did not mark the end of Gotama's spiritual

journey. Bodhi-mind was not utterly calm. He had yet no experience of

nibbaana which is the supremely peaceful state. Moreover the attainment

of ‘bodhi’was not in conformity with the current `srama.na tradition

which valued only a mental state of calmness. Why, then, Gotama attained  

bodhi’? Without ‘bodhi’ the illusion of ‘I’ is not destroyed,

so there always remains the possibility of falling away from a mental state. 

Moreover without bodhi nibbaana in this life cannot be attained. So Gotama

first realized ‘bodhi’and then went for the experience of nibbaana.

  

Nibbaana is unconditioned and permanent. It is not possible to

experience nibbaana as such , for anything mental is conditioned and

impermanent. But the quality of utter calmness which is logically attributed

to nibbaana can be experienced when all the sa^mskaras formative

actions cease and subside. Gotama attained this state with the

realization of the cessation of perception and feeling sa~n~naa-vedayita-nirodha

which is the same as the experience of nibbaana in this life. Gotama

became the Tathaagata.

  

Key words: 1.special mental state 2.bodhi 3.nibbaana

 

  

331

The Nikaayas contain several accounts[1] of various spiritual practices

that Gotama followed while wayfaring towards the realisation of the nibbaana

in this world. It is not the purpose of this article to collect all these practices

into an elaborte compilation. We propose to prepare a critical and coherent

acount of those practices, and the resultant spiritual states that gradually

progressed towards the attainment of the final goal. We have, therefore,

only studied those traditions that can be accepted as historical, and

decisively contributed to the realisation of bodhi and nibbaana.

  

While preparing such an account we find that the tradition that stands

out prominently and deserves to be considered historical is the account of

the four jhaanas as practised by Gotama. All the suttas dealing with the

early spiritual activities of Gotama[2] agree that he practised the four jhaanas. 

These jhanas also form a part of the teachings of the Buddha as given in  

the Nikaayas. Moreover many of the disciples of the Buddha are known

to have practised the four jhaanas. It is evident from all these accounts that

the four jhaanas were practised by Gotama and others as a part of a larger

system of spiritual training leading to bodhi and nibbaana.

 

 

Spiritual activities before the practice of the four jhaanas   

 

It is certain that Gotama did not practise the four jhaanas immediately

after becoming a samana. He first practised extreme physical asceticism

and rejected it as useless.[3] His efforts at purification of mind must have

followed his rejection of asceticism and gradually led to the practice of the

four jhaanas.

 

This new approach to the spiritual life viz. the purification of mind can

be reconstructed from three different sources: ithe first jhaana formula,

[4] ii the Brahmajaala-sutta account of the Parama-di.t.thadhamma-nibbaanavaada

[5] and  

 

 

[1]Dvedhaavitakka-suttaMajjhima Nikaaya Vol.1 abbreviated as M

No. 19, pp.114ff.;Ariyapariyesana-sutta. M. No. 26, pp. 160ff. ; Bhayabherava-sutta, M.

No. 4, pp. 16ff.; Mahaasaccaka-sutta, M. No. 36, pp. 237ff.; Maagandiya-sutta,

M. I, pp. 501ff. etc.  

[2]M. pp. 247; M. pp. 21?22; M. p. 117

[3]M. No. 36, pp. 241?47; Mahaasiihanaada-sutta, M. No. 12, pp. 77?81.

[4]M. p. 117.

[5]Diigha Nikaaya, Vol.1 abbreviated as D. pp. 36ff.

 

 

 

332

iii the first part of the Dvedhaavitakka-sutta.[6]

The phrase‘kamehi vivicca akusalehi dhammehi vivicca’ found

both in the original jhaana formula of the Parama-di.t.thadhamma-nibbaanavaada

and in the modified jhaana formula followed by Gotama[7] shows that being

separated from kaama and akusala-dhamma Gotama attained the first jhaana. 

But the first jhaana formula does not indicate what is precisely meant by

kaama and akusala-dhamma, nor does it explain how Gotama got separated

from kaama and akusala-dhamma.

  

We can throw light on these problems with the help of the other two

sources mentioned above. Of these the

 

Brahmajaala-sutta has been studied in deatils in an article published before

to which we may refer whenever necessary.[8] The Dvedhaavitakka-sutta

tells us more about the methods followed by Gotama in order to renounce the

unwholesome mental states like kaama etc. and ensure that these elements

do not occur again in mind.[9] But this sutta seems to differ from the

Brahmajaala-sutta account in its interpretation of some the technical terms

in the first jhaana formula. In order to determine the relative merits of the

two accounts as well as to understand the account of the jhaanas better we

first give an analysis of the first part of the Dvedhaavitakka-sutta which

precedes the description of the four jhaanas.

a Analysis of the first part of the Dvedhavitakka-sutta

 1Gotama noticed that he had two types of thoughts: unwholesome

thoughts i.e. kaama desire, byaapaada malevolence, and vihi.msaa

violence, and wholesome thoughts i.e. nekkhamma renunciation

abyaapaada

 

benevolence and avihi.msaa compassion.[10]

 

[6]M. I, pp. 114?17.

[7]For original formula, see, D. p. 36; for the modified formula followed by

Gotama see, M. I, p. 21, 117 etc.

[8]Chung-Hwa Budddhist Journal Taipei, Taiwan No. 8, pp. 455ff., 1995.

[9]Ibid., No. 9, pp. 312?15 for English translation of the relevant Pali text.

[10]The terms abyapada and avihi.msaa cannot simply mean the absence

of byaapaada and avihi.msaa in the present context. Here they stand for

the opposite thoughts of benevolence and compassion, see, Chung-Hwa Budddhist

Journal,

 

No. 9 1996, p. 313, note, 7.

 

333

 2Gotama became conscious of each of these unwholesome thoughts

separately whenever such a thought had arisen.  

 3Gotama adversely criticised each of these thoughts separately, and

thus generated aversion for such thoughts.

 4Consequently the unwholesome thoughts did not arise any more. 

The adverse criticism naturally came to an end.  

 5Gotama also paid attention to each of the wholesome thoughts

whenever it arose and cultivated it by continuously appreciating it.

 6Gotama stopped the continuous appreciation of the wholesome

thoughts as it made him tired and impaired his concentration.

 7It is to be noted that Gotama did not take any step against the arising

of the wholesome thoughts. So they continued to arise without any

special effort on his part.  

 8Gotama became only properly mindful of dhamma thought as

dhamma. He did not pay attention to the goodness of the dhamma.

 

 Such mindfulness leads to bodhi and nibbaana as it has been stated in

the Satipa.t.thaana-sutta.[11]

 

b Some observations on the first part of the Dvedhaavitakka-sutta  

This part of the sutta has been given as a prelude to the four jhaanas. 

But it is obvious from our analysis that the spiritual practices taught in this

part actually leads to liberation; so it cannot be taken as a prelude to the

four jhaanas. The first part of the Dvedhaavitakka-sutta appears to have

originally constituted an independent sutta and contained the Buddha's

teachings regarding the manipulation of two types of thoughts for attaining

the supreme mindfulness sati

 

 

[11]Cf. Satipa.t.thana-sutta M. p. 60.‘Or else mindfulness that there

are mind-objects is established to the extent necessary for bare knowledge

and mindfulness ~naanamattaaya pa.tissutimattaaya. And he abides

not clinging to anything in this world.’ If anyone should develop mindfulness

in such a way even for seven days, one of two fruits could be expected for

him: either final knowledge here and now, or if there is a trace of clinging left,

non-return. This path is the direct path for the realisation of nibbaana.

M. I, p. 63; also see, The Middle Length Discourses of the Buddha, pp. 151ff.

 

 

334  

that liberates. [12]To this was added the stock piece of teaching beginning

with the four jhaanas and ending with the three vijjas knowledges. The

reason for this addition may be due to the fact that the instructions contained

in the first part, as we shall see later, completely covers the meditative

methods necessary for the practice of the four jhaanas as well as for the

higher spiritual achievements that follow the four jhaanas. Actually the

methods given here are more elaborate and suitable than those given in the

Brahmajaala-sutta for guiding the practice of the four jhaanas.

 

Although the first part of the Dvedhaavitakka-sutta ends with a depiction

of a mental state much higher than the first jhaana, it surely contains some

genuine informations that belong to a period prior to the attainment of the

first jhaana by Gotama. It is in the fitness of things that Gotama would try

to be free from thoughts that are not virtuous and cultivate virtuous thoughts. 

While studying the first jhaana we will see that Gotama actually did so.

  

There is also no reason to doubt the authenticity of the Dvedhaavitakka-sutta

tradition that Gotama got rid of the thoughts of malevolence and violence,

and later developed the thoughts of benevolence and compassion, and

allowed them to rise in mind spontaneously. The elements of benevolence

and compassion henceforth always formed a part of the mental state of Gotama. 

It is the presence of such wholesome thoughts──and not any god's pleading

with him──that prompted the Buddha to preach the true law out of compassion

for the suffering humanity.

 

c Meaning of kaama and akusala-dhamma  

We have already pointed out that Gotama attained the first jhaana after

he had given up kaama and akusaladhamma. What do these two terms

mean in the present context? According to the Parama-di.t.thadhamma-nibbaanavaada

kaama means five objects of desire while the akusala-dhammas stand for

the  

 

[12]This part of the sutta was most probably the original Dvedhaavitakka-sutta

and contains two types of traditions: one deals with Gotama the bodhisattva's

actual spiritual practices while the other reflects the Buddha's teachings to his

disciples. See, Chung Hwa Budddhist Journal, No. 9 1996 pp. 324ff.

 

 

335  

unwholesome mental elements of grief, lamentation, pain, melancholy and

despair soka-parideva-dukkha-domanassa-upaayaasaa.?[13]But interpreted

in the light of the first part of the Dvedhaavitakka-sutta kaama should mean

desire and the akusala-dhammas should stand for the thoughts of desire

kamavitakka, malevolence byaapaadavitakka and violence

vihi.msaavitakka. [14]Which of these two traditions are aplicable to the

first jhaana formula?  

The phrase ‘having separated from kaama and having separated

from akusala-dhammas’ kaamehi vivicca akusalehi dhammehi vivicca

in the first jhaana formula followed by Gotama shows that kaama and

akusala-dhamma belong to different categories. In the Brahmajaala-sutta

account of the Parama-di.t.thadhamma-nibbaanavaada also kaama and  

akusala-dhamma belong to different categories. But the Dvedhaavitakka-sutta

takes kaama in the sense of desire, and kaama together with byaapaada

and vihi.msaa constitute one category. So these two terms, viz. kaama and 

akusala-dhamma, should be interpreted in the light of the Brahmajaala-sutta

tradition.

 

 

The jhaana formula followed by Gotama does not take note of the terms

attaa and nibbaana mentioned in the original formula. This shows that

Gotama, unlike the first group of the Parama-di.t.tadhamma-nibbaanavaada,

did not accept the view that an attaa realises nibbaana when it attains the first

jhaana. Otherwise these two versions of the formula are identical. It is

apparent that Gotama, if necessary, was prepared to change the original

version, or to accept a version that is different from the original one. 

Conversely we can hold that Gotama agreed with that part of the original

formula which he preserved unaltered. As the phrase ‘kaamehi vivicca

akusalehi dhammehi vivicca’of the original formula was not changed by

Gotama, we can suggest Gotama also accepted the original interpretation

of these terms, viz. Kaama meant desirable object and akusala-dhammas

indicated soka, parideva etc. which belonged to the category of dukkha.

  

This conclusion is supported by the jhaana formulas themselves. 

The four jhaana formulas followed by Gotama and others were concerned

with the manipulation of agitative mental elements that disturb the mind. 

To promote

 

 

[13]Ibid., No. 8 1995, p. 469.

[14]Ibid., No. 9 1996, p. 320.

 

336

mental calmness these formulas, therefore, guard against pleasant and

unpleasant feelings, pleasant sensation, deliberations. Thus the akusala-dhammas,

generally speaking, signify certain mental elments that disturb the calmness

of mind. Such being the case the mention of kaama as distinct from

akusala-dhamma can be justified only if we take kaama in the sense of

desirable object.

 

This conclusion would also support the idea that Gotama accepted the

earlier tradition that the loss of kaama causes the unwholesome mental states

of grief, lamentation etc.

 

d Separation from kaama and akusala-dhamma

 

The fact that Gotama felt grief, pain etc. at the loss of desirable objects

kaama shows that he was attached to kaama.[15] So the giving up of

kaama indicates not only physical separation but also mental detachment

from it.  One has to give up desire for kaama. If one is not attached to a

desirable object, one cannot feel grief etc. at the loss of it. So with the  

freedom from attachment to kaama, one also becomes free from the

akusala-dhammas.

 

But how did Gotama give up kaama? The Brahmajaala-sutta only speaks

of the unwholesome mental elements that arise due to the loss of kaama but

does not explicitly speak of criticising and giving up kaama on this gound. 

The first part of the Dvedhaavitakka-sutta, on the other hand, offers a solution

to this problem. This text informs us that one has to stop the arising of the

thought of desire by adversely criticising it everytime it arises in mind. 

Next he cultivates the opposite thought of renunciation nekkhamma-vitakka

in order to ensure that the mind remains free from the thoughts of desire and

always reacts to a desirable object with thoughts of renunciation. It is this

method that Gotama applied to get rid of kaama before attaining the first

jhaana.[16] One may object to this opinion by pointing out that kaama in

the jhaana formula means desirable object and not desire. So the

method taught in the sutta should not be applied to the jhaana formula. 

But this objection is not tenable, for, as we have seen, the painful reactions

to the loss of a desirable object implies the presence of desire for such  

 

 

[15]Maagandiya-sutta M. 75. 10.

[16]See p. 333 of the present article, especially the points from 3 to 7.

 

 

337  

an object. The fact is that even after the physical separation from desirable

objects, desire for such objects may still linger in mind for such objects. 

Real separation from an object means both physical separation and mental

detachment.

 

We may be, therefore, justified in surmising that Gotama first adversely

criticised the possession of and attachment to desirable objects and later

when all thoughts of desire for such objects have ceased to arise in his mind,

he practised appreciative deliberations regarding the renunciation of these

objects. This he did as a safeguard against the future arising of any thought

of desire for an object. We will see later that this interpretation will help us to

understand the presence of vitakka-vicaara’ in the first jhaana.

 

Why did Gotama strive for the attainment of the mental state known

as the first jhaana? The pre-jhanic mental state was fraught with desire for

objects and afflicted with pain while the first jhaana is characterised by piiti

joy and sukhahappiness. But it would be wrong to conclude that

Gotama gave up the pre-jhaanic mental state for it was painful and cultivated

the mental state of the first jhaana for it was pleasant. We will show later

that Gotama was practising the four jhaanas in order to be free from mental

agitations mental, and he did not intentionally develop piiti and sukha of the

first jhaana.

 

 

First jhaana

With the giving up of the desirable objects and unwholesome mental

elements like dukkha etc. Gotama attained the new mental state of first

jhaana which was accompanied by vitakka and vicaara initial and

sustained thoughts of appreciation about renunciation and characterised

by piiti joy and sukha happiness. He abided in the first jhaana.[17]

  

a Vitakka and Vicaara  

Gotama adversely criticised kaama in order to give up kaama and

akusala-dhammas. The contents of the adverse criticism surely dealt with

the

 

 

[17]In the light of the new materials I found later I have interpreted the First

Jhaana differently from what I did before, see, Chung-Hwa Budddhist Journal,

No. 8 1995, p. 461; also see pp. 337,338 of this article.

 

 

338  

impermanency of kaama desirable object and the pain that ensued at

the loss of kaama. This criticism falls within the mental range of an ordinary

person, and it comes to an end when one gets separated from kaama. But

the mental state of the first jhaana comes into existence only after the separation

from kaama and akusal-dhammas has been effected; it, therefore, cannot be the

mental state of an ordinary person. The vitakka and vicara of the first jhaana

cannot be the same as the adverse criticism made by an ordinary person

against kaama. What then could be the contents of vitakka and vicaara of

the first jhaana?

  

   The meditative method taught in the Dvedhaavitakka-sutta about the

elimination of the thoughts of desire kaama-vitakka provides a good

solution to this problem. We are justified in applying this method to the

present problem, for, as already pointed out, the giving up a desirable object

kaama at the same time means the giving up the thoughts of desire

kaama-vitakka for that object. According to this sutta[18]Gotama not

only stopped the adverse criticism of kaamavitakka when such thoughts

ceased to arise, he also cultivated the opposite thought of renunciation by

constantly practising appreciative deliberations regarding it. The vitakka

and vicaara should refer to such appreciative deliberations concerning

renunciation.

 

The contents of such a deliberation also can be surmised. Gotama,

like the samanas recluses of his time, was trying to realise nibbaana

in this world, as it has been stated in the Dvedhaavitakka-sutta etc. So his

deliberations should have been connected with the attainment of nibbaana. 

But unlike this sutta, his deliberations most probably were not connected

with praj~naa, for in those days the samanas were not interested in praj~naa

wisdom, and Gotama had not yet any knowledge of the decisive role

played by praj~naa in the attainment of nibbaana. The presence of the terms

vitakka and vicaara in the original first jhaana formula shows that the

Parama-di.t.thadhamma-nibbaanavaadins, the originators of this formula also

knew about this method of getting rid of kaama and akusala-dhamma.

 

Vasubandhu[19]pointed out that vitakka and vicaara cannot occur

 

 

[18]P. 333 of this article, points 3 to 5.

[19]See, Abhidharmako`sa-bhaa.sya of Vasubandhu ed. P. Pradhaan,

Patna, India, 1967, pp. 60?61 under the suutra

‘vitakkacaaraavaudaayasuuk.smate.’

 

339 

simultaneously but must occur successively. One can surmise that the

first jhaana formula originally had either vitakka or vicaara. But the Nikaayas

always record this formula including both vitakka and vicaara. There is no

reason to doubt the authenticity of this tradition. This helps us to understand

the concept of jhaana in that early period. The different mental elements

constituting a jhaana occur in a sequence. Thus the jhaana formula is not a

description of a mental state at a given moment but is a record of a series

of reactions that takes place over a certain period of time whenever this

particular mental state comes into contact with a desirable object.

 

b Arising of piiti and sukha  

This mental state is also characterised by piiti and sukha according

to the formula which speaks of ‘vivekaja.m piitisukha.m pa.thamajhaana.m’. 

This phrase is translated in two different ways. It is either translated as

‘the first jhaana characterised by piiti and sukha born of seclusion’ or

as ‘the first jhaana born of seclusion and characterised by piiti and sukha.’

 I accept the second translation, for in the text each of the two compounds

i.e. vivekaja.m and piitisuka.m is separately qualifying the first jhaana

pa.tha-majhaana.m. The first translation to be correct the phrase should

have contained a single compound consisting of ‘vivekaja’ and

‘piitisukha’.

 

The first jhaana formula also makes it clear that the arising of ‘piiti’

and‘sukha’ is not intended. It is only the‘kaama’ that Gotama

adversely criticised. The criticism centered round the impermanency of

‘kaama’ and the‘akusala-dhammas’. When he became free from

‘kaama’, the‘akusala-dhammas’ automatically stopped arising. The

akusala-dhammas consisting of pain, grief etc. belongs, in the present

context, to the category of dukkha’. As these painful feelings were

excluded from the mind, ‘piiti’ and ‘sukha’ spontaneously arose

in the mind of Gotama. In this context we may refer to a statement in the

Cu.lavedalla-sutta that the painful feeling is painful when it persists and

pleasant when it changes.[20]Sukha is the relief which one feels when one

becomes free from the painful feeling. Thus the new mental state was, to

a great extent, objectively created.

 

[20]M. p. 303.

 

 

340 

To sum up, Gotama attained the mental state of first jhaana which was

calmer being free of desire for objects, pain etc., accompanied by deliberations

regarding the advantages of renunciation, and containing piiti and sukha.

This is the mental state in which Gotama abided viharati. The fact

that he abided in this state shows that he remained indifferent while in this

state. Otherwise he would have either gone beyond to a higher state or

fallen down to the mental state of an ordinary person.[21]

 

 

Second jhaana

  

Gotama stayed in the first jhaana for some time after which he must

have felt dissatisfied with the agitative elements present in this mental state

and decided to get rid of them.  

From the second jhaana formula we know that Gotama calmed down

the vitakka and vicaara i.e. initial and sustained thoughts of appreciation

of renunciation and attained and abided in the second jhaana which had

internal clarity ajjhattam sampaasadanam, and was a state of mind

directed towards one object ekodibhaava,[22]without vitakka and vicaara,  

born of concentration and  

 

[21]M. pp. 349?353, 247; also see, pp. 21, 25 of the present article

[22]The term ‘sampasaadanam’ in the expression

‘ajjhatta.m sampasaadanam’ means clear, clarity. The verbal root  

sad’ can mean ‘to become clear’ ‘to grow calm’. When used

together with the prefix ‘pra’ or ‘pa’,it generally means clear, bright

etc. cf. the term prasanna. In the present context the term ‘sampasaadanam’

cannot be taken in the sense of ‘calmness’ due to the following reasons: 

i In the Nikaaya the word generally used to mean peace, calmness, peace is

santi’ while ‘santo’ means calm. ii In the four jhaana formulas

a positive mental element is mentioned for the first time when it has become

developed enough to desreve mention see, p. 351 of the present article. 

The second jhaana contains too many agitative elements like piiti, sukha to

be properly calm. Only after suppressing the feeling of ‘adukkham-asukham’

of the fourth jhaana a samana declares that he has become calm cf. the

expression santo'smi etc. see, Majjhima Nikaaya Vol. 2, p. 237. So

there is no reason to mention calmness while describing the second jhaana. 

For Ekodibhaava see, Chung-Hwa Buddhist Joursal No. 8 1995,

p. 462, note 10.

 

 

341 

possessed of piitiand sukha. Gotama could abide in the second jhaana

due to the practic of upekkhaa or indifference to piiti.

 

a Calming down of Vitakka and Vicaara

 Gotama gradually became accustomed to the state of the first jhaana and

found the mental deliberations of vitakka and vicaara disturbing. The vitakka

and vicaara, as we have seen, refer to the appreciative deliberations regarding

 

Gotama gradually became accustomed to the state of the first jhaana and found

the mental deliberations of vitakka and vicaara disturbing. The vitakka and

vicaara, as we have seen, refer to the appreciative deliberations regarding

renunciation. Such deliberations are, according to the Dvedhaavitakka-sutta,

indicative of the stopping of the opposite thought of desire, and conducive to the

realisation of nibana. Why then Gotama had to calm down vitakka and vicaara?

And how did he do this? The Brahmajaala-sutta implies that Gotama rejected the

first jhaana for it was gross (olaarika) due to the agitation caused by the vitakka

and vicaara. On the other hand the first part of the Dvedhaavitakka-sutta states that

the continuous cultivation of such appreciative deliberations was stopped because

it made the mind tired and impaired the concentration. These two statements are

not contradictory for when the mind is agitated concentration suffers. But the shift

in the emphasis should be noted. While concentration is specially valuable for

gaining knowledge, lack of agitation is associated with nibbaana. So it is reasonable

to surmise that in the beginning of his spiritual journey Gotama followed the earlier

samana tradition whose ultimate goal was calmness, and not knowledge. The

emphasis on  concentration, on the other hand, reflects the teachings of the Buddha

to his disciples concerning the attainment of knowledge.

  We, therefore, can accept the Brahmajaala-sutta tradition that Gotama stopped

vitakka and vicaara for the immediate reduction of mental agitation. This sutta also

shows that Gotama stopped the recurrence of an undesirable mental element by

adversely criticising it. So Gotama must have calmed down vitakka and vicaara

by adversely criticising them on the ground that such deliberations were gross

(olaarika) and agitated the mind. Only to a certain extent the practice of vitakka

and vicaara is conducive to the attainment of nibbaana. When that limit is reached,

it must be stopped.

  It should be noted that only further cultivation of the thought of nekkhamma

(renunciation) was stopped, but Gotama did not take any step against the

 

 

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spontaneous arising of the thoughts of renunciation.[23]

b) Samaadhija.m piitisukha.m dutiyajjhaanam

  This description of the second jhaana has also been interpreted in two different

ways. One interpretation is to take ‘samaadhija.m’ as qualifying ‘piitisukham’

and to translate the phrase as ‘the second jhaana characterised by piiti and sukha

born of concentration’. The holders of this interpretation has, as we have already

noted, also translated the phrase ‘vivekaja.m piitisukha.m pa.thamajhaanam’ of

the first jhaana formula in the same way. It is to be noted that there is nothing in

the jhaana formulas to suggest that the piiti and sukha of the first jhaana were first

rejected and then  replaced by the piiti and sukha of the second jhaana. Thus

according to this interpretation the same piiti and sukha can originate from two

different causes, viveka (separation) or samaadhi (concentration), which is

not possible. Again the Nikaayas do not recognise samaadhi as the cause of piiti

and sukha.[24]The obvious reason, however, for rejecting the first interpretation and

accepting the other interpretation (viz. the second jhaana is born of concentration

and characterised by piiti and sukha) is that grammatically samaadhijam and

piitisukham are to be taken as two different characteristics of the second jhaana.[25]

  As Gotama did not adversely criticise the piiti and sukha of the first jhaana we

can conclude that the same elements of piiti and sukha also contributed to the formation

of the mental state of the second jhaana.

 

c) Mental clarity and concentration

  In the mental state of the second jhaana the elements of mental clarity and

concentration become developed enough to deserve explicit mention for the first

time. The second jhaana formula is replete with terms indicative of absence of

mental agitation (avitakkam and avicaaram), internal clarity (ajjhattam

sampasaadanam), and concentration ( samaadhijam, ekodibhaavam). But

the real aim
 
 

[23]See p. 333, point 7 of this article.

[24]See, pp. 339, 345 of the present article.

[25]See, p. 339 of the present article

 

 

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of the practice of jhaana becomes clear from the step Gotama undertook to go

beyond the first jhaana, viz. to calm down (upasama) the vitakka and vicaara

which agitate the mind. So it is clear that he was trying to be free from agitative

elements. But it would be wrong to hold that he was deliberately striving after

mental clarity or calmness. Theoretically he knew that the ultimate aim was to attain

perfect mental calmness, but this knowledge was not allowed to creat any desire for

such a goal. Psychologically he remained free from this desire. His mindfulness

was solely devoted to the present task of eliminating mental agitations. This problem

has been discussed later. The vitakka and vicaara were brought to an end; but

before they were stopped they had already created in mind a clear idea about the goal. 

This mental clarity together with the stopping of the vitakka and vicaara has first made

the mind unidirectional and then concentrated. The mental state of the second

jhaana is, therefore, called born of concentration ( samaadhijam).

 

d) Intentional development of some mental elements

  On the basis of what has been discussed in the previous section (c) we

can hold that the freedom from vitakka and vicaara (avitakkam, avicaaram)

were intentionally developed. But the appearance of the internal clarity, and the

continuation of piiti and sukha in the second jhaana were incidental. Actually

Gotama afterwards exerted himself to be free from the disturbing influence of piiti

and sukha.
 
 

Third jhaana

  According to the third jhaana formula Gotama, due to his aversion to piiti

(joy), was able to attain a higher mental state in which he remained indifferent

(upekkhako), mindful (sato) and properly alert (sampajaano). Moreover

he was able to experience happiness due to body (kaayena sukha.m pa.tisamvedeti).[26]

 

a) Giving up of Piiti

  On the basis of the Brahmajaala-sutta account of the Parama-di.t.thadhamma-
 
 

[26]M. pp. 22, 247.

 

 

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nibbaanavaada we can conclude that Gotama became averse to piiti because it was

gross. But wherein lies the grossness of piiti? We know that piiti is associated

with strong physical sensation[27]and intense agitation of mind (cetaso

ubbilaavitattam).[28]The piiti causes great agitation; it is, therefore, called gross.

  As the influence of piiti ran counter to his avowed goal of mental calmness,

Gotama became free from its influence by developing aversion to it through adverse

criticism, the contents of which must have dealt with piiti's grossness, and contrariness

to nibbaana.

  When Gotama became free from the agitative influence of piiti, his body, to that

extent, became tranquil. Consequently he felt still more happy.

  Therefore it is said in the jhaana formula that a meditator who attains the third

jhaana feels happy due to his body. This tradition is partially supported by the

Saama~n~naphala-sutta[29]which states that one feels happy due to a tranquil body.

  The third jhaana when compared with the first jhaana presents a problem. 

First, let us understand the first jhaana formula in more details in the light of the

Saama~n~naphala-sutta tradition which is more elaborate than the first jhaana
formula, but in conformity with it. The sutta gives a series of factors of which the

preceding one is always the cause of the following one.[30]The tradition may be

presented as follows:

 

              Disappearance of five hindrances --- gladness---joy (piiti)---

                                tranquility of the body---happiness (sukha).
 

 

The traditionally fixed version of the first jhaana runs as follows:
 
 

[27]Visuddhimagga (Ed. H. C. Warren, revised by Dhammananda Kausambi,

Harvard University Press, 1950) p. 117; Chung-Hwa Budddhist Journal, No. 8

(1995), p. 464.

[28]D. p. 37; Chung-Hwa Budddhist Journal, No. 8, p. 462 for English translation of

the Brahmajaala-sutta passage, and notes 10.

[29]D. p. 73.

[30]Ibid.

 

 

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             Giving up of kaama and akusala-dhammas --- judgemental

                             deliberations (i.e. vitakka and  vicaara)--- piiti --- sukha.
 

The absence of vitakka and vicaara in the Saama~n~naphala-sutta tradition does not

mean any real difference. Vitakka and vicara are implied in this tradition. In the

first jhaana the vitakka and vicaara stand for the judgemental deliberations with the

help of which Gotama developed the wholesome mental state of renunciation. 

While describing the giving up of the five hindrances the Saama~n~naphala-sutta

also speaks of the cultivation of the opposite wholesome mental states.[30a] 

The vitakka and vicaara implied in this account of the sutta are connected with the

cultivation of these good mental states.

  Seen in the light of the Saama~n~naphala-sutta the first jhaana tradition would

appear as follows:

 

              Disappearance of kaama etc. --- vitakka and vicaara --- gladness

                            (pamojja) ---joy (piiti)  --- traquility of the body --- happiness

                            (sukha).
 

 

The originators of the jhaana formulas as well as Gotama knew that the tranquility

of body generates happiness, because the third jhaana formula speaks of

experiencing happiness due to body.

  We can now represent the third jhaana formula in the same way as follows:

 

             Separation from piiti --- physical tranquility --- happiness (sukha)
 

 

The difference between the first jhaana and the third jhaana is now quite obvious. 

In the first jhaana formula one experiences piiti and sukha after one has become

separated from kaama and akusala-dhammas (i.e. painful feelings). Seen in the

light of the Saama~n~naphala-sutta this means that piiti makes the body tranquil,

and the physical  tranquility, in its turn, generates happiness.

  We have to note that sukha is due to physical tranquility, and not directly due

to piiti. It means that happiness would be always caused by physical tranquility
 
 

[30a]D. I., p. 71.

 

 

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irrespective of its cause.

  The third jhaana formula, unlike the first jhaana formula, clearly implies that

the physical tranquility which causes happiness is due to the separation from piiti,

and not due to piiti.

  Both these jhaana formulas have been recorded in numereous suttas of the

Nikaayas. It is obvious that neither the Buddha nor the disciples of the Buddha

consider these two traditions contradictrory. Actually these two traditions can be

shown to belong to two different stages of spiritual development and thus to refer

to the different degrees of physical tranquility and happiness. In case of the first

jhaana Gotama, due to the separation from kaama and painful mental factors

(akusala-dhammas) felt relieved and piiti arose. Piiti also agitates the body

and mind, but compared to dukkha (pain) it agitates in a much lesser degree. 

So Gotama felt a certain degree of physical calmness which  generates the feeling

of happiness. This is the happiness which is spoken of in the Saama~n~naphala-sutta.

But after attaining the spiritually advanced state of the second jhaana──which is

free from the stronger agitative elements of kaama and dukkha──Gotama must

have been acutely aware of the strong physical sensation and the resultant mental

agitation (cetaso ubbilaavitattam) caused by piiti. So Gotama generated aversion

to piiti through adverse critricism. As he did not take delight in piiti, his mind became

free from its agitative influence. Consequently his body became appreciably calmer,

and this resulted in greater happiness. This is the happiness mentioned in the

third jhaana formula. It should be noted that whatever may be the difference in degree,

the happiness in both the cases belong to the same category.

 

b) Characteristics of the Third jhaana──intentional and incidental

  The only action Gotama took to leave behind the agitaive state of the second

jhaana was to be averse to piiti. Thus only the surmounting of the element of piiti

was intentional, but the development of the other aspects of this mental state was

incidental. The characteristics of mindfulness and awareness as well as the

development of the feeling of happiness were not intended.  [31]Goatama was not
 
 

[31]This was the standard meditative technique followed in that period. The

meditator only thinks adversely of the agitative element to be eliminated, but never

entertains

 

 

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even thinking that the mind would become calmer with the calming down of the

agitative element. But the mind  automatically becomes calmer, and consequently

awareness , mindfulness, and even happiness increase automatically.

  Sukha (happiness) had to be surmounted later. The term ‘upekkhakaa’

in the third jhaana should stand for indifference to sukha, and not to piiti. This is

bcause Gotama had already become averse to piiti.
 
 

Fourth jhaana

  Sukha (happiness), an element in the third jhaanic state, was not intentionally

created; it was not the product of any desire on the part of Gotama. But his mind

was not averse to it and he became mindful of it. This point is made clear in the

Brahmajaala-sutta which we will discuss later.

  In the fourth jhaana formula we read that Gotama gave up the feeling of sukha. 

This led to the arising of a new mental state characterised by the feeling which was

neither painful nor happy (adukkham-asukham), and the purification of

mindfulness due to indifference[32] (upekkhaa-sati-paarisuddhi). In the present

context upekkhaa ( indifference) can only mean indifference to ‘adukkham-asukham’,

for this is the only agitative element that is present in this mental state which is

called the fourth jhaana. In this jhaana he could abide for he was in a position to

exercise upekkhaa towards the pleasant feeling characterising this mental state.

  The fourth jhaana formula also draws our attention to the mental elements

which Gotama had given up before, viz. dukkha, domanassa and somanassa. 

We have seen from the Brahmajaala-sutta account that it is by giving up dukkha,

domanassa, and somanassa etc., which constitutes the akusala-dhammas that
 
 
 
 

any idea about the mental state that emerges in consequence of the elimination. 

Even when he is rejecting the state of neither-perception-nor-not-perception through

adverse criticism, his thoughts are entirely occupied with the adverse criticism, and

he does not think of the next state of the sa~n~naa-vedayita-nirodha in any way, see

also p. 360 of the present article.

[32]This translation of the expression ‘upekkhaa-sati-paarisuddhi’ is supported

by Vibhanga (Rangoon, Burma,  Buddhasaasana Samiti, 1961) p. 271.

 

 

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Gotama could attain the first jhaana. It is evident from the fourth jhaana formula

that he must have also given up somanassa sometimes later. Now he only had

to give up sukha to leave behind the disturbing mental state of the third jhaana.

 

a) Giving up of the feeling of sukha

  The reason for the giving up of sukha and the method followed to give it up

we can know from the Brahmajaala-sutta and the Dvedhaavitakka-sutta. According

to the Brahmajaala-sutta sukha is given up because it is gross (olaarika). 

Why does one have the perception of grossness in sukha? In other cases such

vitakka, vicaara and piiti we have seen these are gross because of the mental

agitation they cause. The sutta implies that sukha is considered gross because

it is the ‘abhoga’ of mind.[33] The term ‘aabhoga’ is derived from the verbal

root ‘ bhuj’ which means either ‘to bend’ or ‘to enjoy’. The term

‘aabhoga’ thus can mean enjoyment or bending (of the mind).

  In the present context the term ‘aabhoga’ cannot mean ‘enjoyment’

for it would suggest that the mind is ‘ delighting in’ or ‘clinging to’ an object. 

This would cause the meditator to fall from the third jhaana to the second jhaana.

[34]So ‘aabhoga’ should mean ‘bending the mind to an object, paying attention

to an object’. Vasubandhu suports this view of ours. According to him ‘aabhogo’

of mind means paying attention ( manaskaaras’ cetasa aabhogah.).[35]Such

mental activity shows that his mind was not free from agitation. The fact that he

abided in this mental state shows that he neither clung to this feeling nor was yet

averse to it. He was just being mindful, maintaining the attitude of indifference

towards this feeling. The interpretation of ‘aabhoga’ shows why Gotama could

abide in the third jhaana , and at the same time reveals why he would find ‘sukha’

to be gross afterwards. The ‘aabhoga’ indicates mental action which disturbs

the mental peace. It is, therefore, gross. The Brahmajaala-sutta suggests that

it is because of this grossness that Gotama gave up sukha.

  But this sutta is not explicit about the method Gotama followed to give up
 
 

[33]See, Chung-Hwa Buddhist Journal, No, 8 (1995), p. 463, 474; D. p. 37.

[34]Majjhima Nikaaya, Vol. 2, pp. 235∼37.

[35]Abhidharmamko`sabhaa.sya, p. 54.

 

 

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sukha. On the basis of the Dvedhaavitakka-sutta we can surmise that he adversely

criticised sukha constantly for its grossness, and became averse to it. As he

aspired for nibbana, we can reasonably suggested that he also criticised sukha on

the ground that such an agitative element was not conducive to the realisation of

nibbaana which was utter calmness.

 

b) Adukkham-asukham and Upekkhaa-sati-paarisuddhi

  With the giving up of the feeling of sukha (sukhassa pahaanaa) the mind

experiences a new mental state which is characterised by the feeling of adukkham-asukham

(neither-painful-nor-happy). This feeling is free from the characteristics that

are specific to dukkha or sukha. But this feeling is still pleasant.[36]Gotama abides

in this mental state. How does he abides in this state? If he is averse to this

feeling, he surmounts it and goes beyond the fourth jhaana. On the contrary if he

clings to it, he reverts to the third jhaanic state of unworldly happiness (niraamisa.m

sukham). This is evident from the Pa~ncatayya-sutta.[37]Here we read that some

recluse or brahmin enters upon and abides in the neither-painful-nor-happy feeling

and thinks : ‘This is peaceful (santam). This is perfect ( pa.niitam), that I

enter upon and abide in the neither-painful-nor-happy feeling.’ When he thinks like

this the feeling  ceases in him. With the cessation of neither-painful-nor-happy

feeling unworldly happiness arises in him, and with the cessation of unworldly

happiness, neither-painful-nor-happy feeling arises in him.

  We may, therefore, conclude that neither being averse to this feeling in the

fourth jhaana nor clinging to it can be abide in the fourth jhaana. So Gotama must

have developed ‘upekkhaa’ to this feeling to be able to abide in the fourth jhaana.

  Upekkhaa had been the deciding factor whenever Gotama abided in any of the

four jhaanas. But it is recorded for the first time in the formula of the fourth jhaana,

for by this time upekkha had become sufficiently developed to deserve explicit mention.

  Upekkhaa occurs as a part of the expression ‘upekkhaa-sati-paarisuddhi’

which means purity of mindfulness due to indifference. Here ‘indifference’

cannot
 
 

[36]M. I, p. 247; also see p. 350 of the present article.

[37]Majjhima Nikaaya, Vol. 2, p. 236.

 

 

頁350

indicate indifference to sukha, for sukha had already ceased to arise in mind due

to adverse criticism. Indifference must be exercised with reference to something

that is still existing. So indifference in the present context must refer to the

indifference to the feeling of ‘either-painful-nor-happy’.  It is because of this

indiffrence that Gotama could abide in the fourth jhaana.

  This is supported by the Mah`asaccaka-sutta related his experience of the

fourth jhaana as a bodhisattva in the following way.‘But such pleasant feelings

that arose in me did not invade my mind and remain.’This sentence shows that

the pleasant feeling was not eliminated yet.[37a]

  The first part of the sentence (i.e. upto my mind) shows that Gotama was

indifferent to the feeling of adukkha.m-asukham, and consequently he was not

distracted by any feeling and his mindfulness became perfect.

  The fourth group of the Parama-di.t.thadhamma-nibbaanavaadins also attained

this mental state. But as they mistook this state to be nibbaana they developed

clinging to it, and they must have been swinging back and forth between the two

mental states of third jhaana and the fourth jhaana.

  The Mahaasaccaka-sutta immediately after stating that the pleasant feeling

remained in the mind of Gotama gives a descriptioq of a new mental state which

was devoid of any feeling.

                                                                            Observations on the system of the four jhaanas

  We may draw attention to certain salient features common to the four jhaanas
 
 

[37a]The English translation is taken from The Middle Length Discourses, p. 341

(Wisdom Publications, Boston, 1995). The Pali sentence runs: ‘sukhaa vedanaa

citta.m na pariyaadaaya tit.t.hati’(M. I, p. 247). If we translate the passage as:

‘The pleasant feeling without having affected the mind remains’, it only speaks

of Gotama's indifference to the pleasant feeling which remains. But the fact is that

Gotama got rid of this feeling and attained a higher mental state. The next step that

Gotama eliminated this pleasant feeling through adverse criticism is understood.

The passage perhaps may be also translated as ‘The pleasant feeling did not

remain having affected the mind.’In this case we are informed of both the steps

taken by Gotama, viz. remaining indifferent to the feeling and then getting rid of it. 

But the first translation seems to be better linguistically.

 

 

頁351

in order to understand clearly the working of this system of meditation.

  1) Gotama was not practising this system of meditation for the sake of enjoying

pleasant feelings. He adversely criticised the feelings and thereby surmounted

them. Even the feeling of adukkham-asukham he gave up later.

  2) His efforts were also not directed towards the development of concentration

(samaadhi) and mindfulness ( sati). While practising the four jhaanas

Gotama did not take a single step which directly develops these two mental  faculties. 

They got incidentally developed with the gradual and incidental development of

mental calmness.

  3) Gotama while practising the four jhaanas was only mindful of the elimination

of agitative mental elements, and never entertained any thought about the immediate

development of calmness and concentration nor about the ultimate goal, the nibbaana. 

This is suggested by the jhaana formulas which state that Gotama exerted himself

only to be free from the influences of those elements that agitate the mind, viz. vitakka,

vicaara, piiti, sukha and adukkham-asukham.

  This interpretation may be objected on the ground that the second jhaana

explicitly speaks of internal clarity ( ajjhatta.m sampasaadanam) and

concentration while the third and fourth jhaanas speak of being mindful (sato)

and having the purity of mindfulness (sati-paarisuddhi) respectively. Can it be

concluded that Gotama while practising the four jhaanas was deliberately trying to

develop calmness, mindfulness and concentration?

  This view cannot be accepted if we consider the following points :

  a)In the jhaana formulas mental traits like calmness, concentration etc. which

incidentally came to be developed and retained, is mentioned only once when it for

the first time becomes developed enough to be included in a jhaana formula. For

example, calmness and concentration are mentioned only in the second jhaana , or

the characteristic of the‘purification of mindfulness due to upekkhaa’ finds mention

only in the fourth jhaana formula. Only in case of a feeling it continues to be

mentioned so long it is not surmounted, e.g. sukha has been mentioned in the first

three jhaana formulas. This indirectly shows his pre-occupation with the mental

elements that agitates.

  b)The Parama-di.t.thadhamma-nibbaanavaadins, the originators of the four

 

 

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jhaana formulas were not interested in truly knowing an object. As it is clear from

our analysis of these formulas, they merely wanted to attain and abide in a peaceful

mental state. Mindfulness and concentration, on the other hand, are sine qua non

of truly objective knowledge.

  c)Gotama and other practitioners of this system of meditation must have

learnt that this meditative system was developed and practised for the sake of

perfect mental calmness. But the meditative technique was not to have any desire

for it, not to think of the ultimate goal at all while practising meditation. The mind

should be fully occupied with the task in hand, viz. the elimination of the agitative

elements. This point is clearly brought into relief with reference to the cessation

of perception and feeling in the Cuulavedalla-sutta. [38]

  Here the bhikkhunii Dhammadinna states that when ‘a bhikkhu is attaining

the cessation of perception and feeling, it does not occur to him: ‘I shall attain the

cessation of perception and feeling’, or ‘I am attaining the cessation of perception

and feeling’, or ‘I have attained the cessation of perception and feeling’; but

rather his mind has  previously been developed in such a way that it leads him to

that state. The first two types of thoughts are expressive of subjective expectations

that agitate the mind, and thus prevent the meditator from attaining a calmer mental

state. The third type of thought cannot occur for no thought is possible during the

attainment of the cessation of perception and feeling. From the initial part of the

jhaana formulas we know that the first two types of thoughts Dhammadinnaa spoke

of were absent from the mind of Gotama. During the transition from one mental

state to another Gotama's thoughts were only about the criticism of the lower mental

state; he was not thinking at all about the mental state he would attain. The rest of

the formula, however, shows that Gotama was fully aware of the new mental states

he attained. But even these expressions are not joyous declaration of the fulfilment

of his ego-centric desires; these are objective description of the mental state he was

abiding in.

  Only the rejection of the agitative elements is intended. But the other aspects

of the mental states were not due to any planning or direction. They are
 
 

[38]M. p. 302.

 

 

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not there to fulfil any subjective expectation. To this extent these mental elements

are objective.

  4) Each jhaanic state in its origin, continuation and transformation is connected

with three different attitudes of mind. From the jhaana formulas we know that its

origin is due to the aversion to an agitative element in the preceding mental state. 

Its continuation is dependent on the attitude of indifference (upekkhaa) to the

strongest agitative element which characterises the present mental state. Its

transformation is again due to aversion to the agitative element in the present mental

state. The mental state can also get transformed if the meditator develops clinging

to it, for in that case he reverts to the lower, preceding mental state. [39]

  The reason for such transformations of the mental states is change in the

degree of mental agitation. When one has aversion to an agitative mental element,

that element disappears, the adverse criticism naturally comes to an end, and the

mind being free from the disturbing influences grows calmer. Consequently a higher

mental state is attained. But if the meditator takes delight in and clings to the

mental state, his mental agitation increases. He, therefore, reverts to thepreceding,

lower mental state. If one maintains the attitude of indifference, the degree of mental

agitation remains the same, and he continues to remain in the same mental state.

                                                                                        Mental states after the fourth jhaana

a) Nature of the special mental state

  The suttas are not explicit about the fact that Gotama attained a new mental

state by going beyond the fourth jhaana.  The available traditions also do not state

how he achieved this. There are, however, certain informations recorded in the

Majjhime Nikaaya which throw light on both these problems. In the

Mahaasacckak-sutta the statement that the pleasant feeling connected with the fourth

jhaana remained in the mind of Gotama is immediately followed by the discription

of a new mental state which is devoid of any feelind. This proves that
 
 

[39]Pa~ncattaya-sutta, Majjhima Nikaaya, 2. pp. 235∼37.

 

 

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he exercised adverse criticism against the feeling of adukkham-asukham, became

free from its influence, and the feeling disappeared from his mind. Gotama went

beyond the fourth jhaana.

  The suttas[40]describe a mental state of Gotama immediately after the description

of the fourth jhaana. This is a new mental state which does not mention the feeling

of adukkham-asukham referred to in the fourth jhaana, or any other feeling. This is

a special mental state with which Gotama realised three knowledges (vijjaa),[41]

one of which is bodhi.

  What does the non-mention of a feeling from this special mental state signify?

We know that a feeling or any other agitative mental element finds mention in a jhaana

formula only so long it is not surmounted. For example, dukkha has been excluded

from the description of the first jhaana, for it is by surmounting the feeling of dukkha

that one attains the first jhaana. Again for the same reason piiti is included in the

first two jhaana formulas but excluded from the third. Or sukha is included in the first

three jhaanas but not mentioned in the fourth jhaana formula. So the non-mention

of the feeling of adukkham-asukham in the special mental state shows that Gotama

had already surmounted this feeling before he attained the special mental state.

  There are only three types of feelings. Before the attainment of the fourth

jhaana two of these feelings, viz. dukkha and sukha, had already ceased to arise

in mind. Gotama went beyond the fourth jhaana by adversely criticising the remaining

feeling of adukkham-asukham. Consequently the new mental state he attained

was without any feeling.

  We have, however, to note that the special mental state, unlike the preceding

mental states, does not make any explict mention of the fact that an agitative element

has been given up. The reason for this silence is that this feeling, unlike the other

two feelings, is not permanently suppressed. When the first jhaana is reached,

the feeling of dukkha has been permanently suppressed, and its place has been

taken by the feeling of sukha. Unless one reverts to the mental state of an ordinary

person the feeling of dukkha will not rise again. Similarly when the
 
 

[40]M. pp. 22, 117, 247.

[41]M. pp. 22∼23; 117; 247∼49.

 

 

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fourth jhaana is reached, the feeling of sukha has been replaced by the feeling of

adukkham-asukham. In case of the feeling of adukkham-asukham, there is no other

feeling to replace it when this feeling is suppressed and a higher mental state is

attained. So the same feeling of adukkha.m-asukham which is also called sukhaa

vedanaa, surfaces again and again whenever a new, higher mental state is attained. 

Therefore we find in the Mahaasaccaka-sutta that all the three higher mental states

each of which was characterised by a vijjaa and was attained one after another by

Gotama with the help of the special mental state, were accompanied by a pleasant

mental feeling. The explicit statement in the sutta that ‘the pleasant feeling that

arose’ in Gotama shows that the feeling was not present in the special mental state,

but arose anew after each of the three vijjas was attained. This also indicates that

before another vijja was realised Gotama got rid of this feeling by adverse criticism. 

We can conclude that from the special mental state the feeling of adukkham-asukham

temporarily disppeared.

  The Pa~ncatayya-sutta[42]states that some recluse or brahmin went beyond

the fourth jhaana. But he mistook this new mental state as nibbaana, took delight

in it and consequently lost it. Thus it is evident that after Gotama had attained the

special mental state he neither clung to it nor adversely criticised it and thereby

could abide in this state.

  The mental state that is described after the fourth jhaana reflects all these

developments and something significantly more. We have called this mental state

‘the special mental state’ for with its help Gotama attained the three vijjas (

knowledges).

  The special mental state which Gotama achieved has been described as

concentrated (samaahita), purified ( parisuddha), clean (pariyodaata),

without any blemish and defilement (ana.mgana, vigatupakkilesa), workable

(kammaniiya), steady (.thita), and immovable (aanejjapatta). It is a

mental state which has become pliant ( mudubhuta) and attained immovability

(aanejjapatta).

  The whole description is mainly about the mental concentration and
 
 

[42]Majjhima Nikaaya, 2. p. 237. Such a bhikkhu or a brahmin declared (santo ’

ham asmi, nibbuto’ham asmi,  anupaadaano’ham asmi). Such a view reflects

an ego-centric reaction to a likable mental state. This shows clinging; see, ibid.

 

 

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purification of mindfulness. Mudubhuuta may mean flxibility due to upekkhaa. 

As already noted there is no mention of any feeling in this description.

  We have seen in our discussion of the mental element of ‘sukha’ of the

third jhaana that the mere presence of a feeling forces the mind to pay attention to

it and thus causes mental agitation.  In the same way the presence of the feeling

of ‘adukkham-asukham (also called sukhaa vedanaa) in the fourth jhaana is

also a source of mental disturbance. It follws that as there is no feeling in the

special mental state, the mind would be calmer, and consequently the mental

concentration and mindfulness would be more developed in this mental state than

in the fourth jhaana. The term ‘parisuddha’ included in the description of this

mental state should refer to a mindfulness that is more developed than the mindfulness

indicated in the phrase ‘upekkhaa-sati-paarisuddhi’ of the fourth jhaana.

  The mindfulness of the special mental state should be identified with the

mindfulness referred to in the phrase ‘ anuttaram-upekkhaa-sati-paarisuddhim’

of the Sekha-sutta,[43] for in both the cases this developed mindfulness comes into

existence after the attainment of the fourth jhaana and before the acquisition of the

three vijjaas. The other terms such as ‘pariyodaata’, ‘anam•gana’, and

‘Vigat-upakkilesa’ indicate the purity of mind in a more general way. The terms

like ‘samaahita’, ‘.thita’, and ‘aanejjapatta’ indicate developed mental

concentration. 

Though the mind is perfectly concentrated on and mindful of an object, it is not attached

to it due to the development of upekkhaa.

  The special mental state like the other jhanic states owed its existence only

to the intentional elimination of an agitative element in the preceding mental state,

i.e. the feeling of adukkham-asukham. But the special state that emerged was not

planned and directed. It is not observer created; nor can it be regarded as a product

of Gotama's imagination. It is mostly an unintentional effect of his intentional act

of elimination of the neither-painful-nor-happy feeling. To this extent the special

mental state is objective.

b) Suitability of the special mental state as a means of true knowledge

  The special mental state not only came into existence objectively but also was
 
 

[43]M. pp. 357∼58.

 

 

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absolutely objective in its functioning. It is because of this reason that Gotama

was able to realise the three types of objective knowledges (vijjaa) with the help

of this mental state.

  Let us try to understand how the mental state could function objectively. The

awareness of an ‘I’ as an agent was still there, for Gotama had not yet achieved

‘bodhi’. But Gotama had now surmounted all the feelings. He had given up

the feeling of ‘dukkha’ and thereby attained the first jhaana. He gave up the

feeling of ‘sukha’, and attained the fourth jhaana. Again by giving up the feeling

of adukkham-asukham he entered and abided in the special mental state which was,

thus, conspicuous by the absence of all feelings. As a result the arwareness of

‘I’ did not give rise to the different attitudes of liking, disliking, and indifference. 

The mind of Gotama was not tainted by any subjective reaction and was capable of

making truly objective observation. In fact this special mental state by its very

nature was incapable of distorting the reality of what it observed. It was only capable

of seeing an object as it really is (yathaabhuutam). This mental state is unique

for it is ignorant of the unreality of ‘I’, and yet does not distort the objectivity of

observation. Thus this special mental state is ideally suitable for gaining truly

objective knowledges, including ‘bodhi’. In this respect the observation made

by the special mental state is superior to the result of any scientific observation in

which the observer is inevitably and inextricably mixed up.

  It should be noted that the absence of all feelings and the resultant non-clinging

to any object are not due to knowledge, but due to the constant cultivation of particular

types of thoughts. The clinging was suppressed but not uprooted.

                                                                             Realisation of the three knowledges (vijjaa)

  The special mental state, though not based on knowledge, was ideally suitable

for gaining truly objective knowledges. This mental state was such that Gotama by

merely being mindful could gain the three different knowledges including ‘bodhi’,

the absolutely objective knowledge of the Conditioned.

  The first knowledge was about the knowledge due to the recollection of his own

past lives in all details ( pubbenivaasa-anussati~n~naana). This knowledge is not

 

 

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knowing what was not known before. It is more a case of recollection, anussati,

regaining the knowledge of something which was forgotten.

  The other two knowledges deal with knowing what was not known to him before. 

The second knowledge was about the ever recurring phenomenon of death and

rebirth of beings (cutupapaata~naana) following the consequences of their actions. 

This knowledge he acquired directly through divine vision. The first two vijjaas brought

Gotama face to face with the endless recurrence of the cycle of birth, death and rebirth

that is the ineluctable destiny of the unenlightened beings. This spurred him on to

discover the wisdom that would lead

him out of this cycle.

  The liberating knowledge which he gained through direct vision found its first

expression with reference to aasava (defilement) which is responsible for our

bondage in this sa.msaara. He had the truly objective knowledge ( yathaabhuutam)

of the exisatence, origin, destruction and the path leading to the destruction of

aasava (defilement).

 The knowledge regarding aasava involves the law of pacca-samuppaada. This

is bodhir or enlightenment that destroyed all attractions for an individual existence,

and uprooted the illusory ‘I’ and and all clinging.

  After the attainment of this third vijjaa Gotama speaks of his final liberation

thus:[44]

 

              When I knew and saw thus, my mind was liberated from the taints

                              of sensual desire ( kaamaasava), from the taint of being

                            (bhavaasava) and from the taint of ignorance ( avijjaasava). 

                               When it was liberated there came the knowledge: ‘It is liberated’. 

                              I directly knew: ‘Birth is destroyed, the holy life has been lived,

                              what had to be done has been done, there is no more coming to any

                             state of being.’ This was the third knowledge attained by me

                             in the third watch of the night.
 

 

  This declaration of Gotama is a testimony to the fact that final liberation was

attained. There is no more birth for Gotama. This shows that even if one has
 
 

[44]M. p. 248∼9; The Middle Length Discourses of the Buddha (Translated by

Bhikkhu ~Naanamoli and Bhikkhu Bodhi, Wisdom Publication, Boston, 1995)

pp. 341∼2.

 

 

頁359

only attained bodhi, but not the nibbaana in this world, he is still assured of nibbaana

after the dissolution of the body.

                                                                                                        Implications of Bodhi

  It is only after attaining ‘Bodhi’ that Gotama could really know that the

nibbaana, the Unconditioned, actually exists and it can be attained. With him

nibbaana was no longer a matter of faith. But the knowledge he had of the

existence of the nibbaana and its characteristics was the result of logical deductions. 

Bodhi not only revealed the true nature of the Conditioned but also showed that it

is possible to go beyond the Conditioned and to attain nibbaana, the Unconditioned. 

Being Unconditioned it must be permanent. As it is permanent it must be changeless. 

Being changeless it is compeletely devoid of all actions and consequently utterly

calm. And what is calm should be free from all clinging, for clinging causes agitation. 

All these logical deductions are valid being based on absolutely objective knowledge. 

Accordingly the suttas describe the nibbaana as the cessation of all formative actions

( sabba-sa.mkhaara-samatha) and as a supreme state of excellent peace

(anuttaram santivarapadam).[45]It is because of such a characterisation of

nibbaana when some samana or brahmin attained a comparatively calm mental

state he mistook it for nibbaana and declared:“I am calm, I have attained nibbaana,

I am without any attachment.” (saanto’ham asmi, nibbuto’ ham asmi,

anupaadaano’ham asmi). Such a monk or brahmin was wrong, for as the

Buddha pointed out, this statement made by a person without wisdom showed that

he took delight this state clung to it and therefore his mind was not perfectly calm. 

Gotama was not objecting to the characterisation of nibbaana as calm and non-clinging. 

He was only pointing out that such a samana or brahmin had not yet realised these

characteristics of nibbaana.

                                                                                          Realisation of Bodhi is imperative

  Gotama also attained this mental state but remained unaffected by it. But

instead of trying to attain still calmer mental state and realise nibbaana, he strove

for and attained bodhi. The spiritual goal of Gotama also was nibbaana. So this
 
 

[45]Cf. Majjhima Nikaaya, Vol. 2, pp. 234∼8.

 

 

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striving of Gotama for the realisation of bodhi may appear to be enigmatic, especially

because this step did not conform to the general spiritual practice of the samanas

who were not interested in gaining knowledge; they were all for attaining an utterly

peaceful mental state. Moreover the mind of one who has only realised bodhi is

not utterly calm. It is not yet bereft of all formative actions (Sa.mkhaara). 

Thus it appears that Gotama revolutionised the samana spiritual  world by going

for and realising bodhi. What is the reason for such an action?

  In the Samyutta Nikaaya (Vol.2, p.124f) Buddha tells Susiimaparibbaajaka

that nibbaana is to be realised after bodhi. In the Rathaviniita-sutta[46]the same

message has been given more clearly and elaborately. This sutta mentions a

series of spiritual achievements in an ascending order at the apex of which stands

nibbaana, immediately preceded by the purification of knowledge and vision, i.e. bodhi. 

The sutta states that it is for the sake of nibbaana, and not for the other spiritual

achievements, that the bhikkhus follows the teachings of the Tathaagata. But

nibbaana cannot be experienced without first attaining bodhi and other spiritual

states. Thus bodhi had to be attained, and only then nibbaana in this world could

be experienced.

                                                                                                     Realisation of Nibbaana

  A person who has realised ‘bodhi’ can automatically attain nibbaana after

the dissolution of the body. So why was nibbaana declared to be the ultimate

spiritual goal to be attained in this world? What does the realisation of nibbaana in

this world precisely mean? Or how can one attain nibbaana?

  All these problems can be solved if we pay a closer attention to the nature of

nibbaana. We have seen that all the characteristics attributed to nibbaana are

logically deduced. The main characteristics of the nibbaana viz.  the

unconditionedness, and permanency can never be experienced by mind for the

mind is conditioned and impermanent. So these two characteristics never came

to be associated with the nibbaana in this world. The others characteristics such

as absence of all activities, utter calmness and complete non-clinging follow from

the two main characteristics. All these logical deductions are valid for they are
 
 

[46]M. pp. 148∼9.

 

 

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based on absolutely objective truths, and they characterise the nibbaana in this

world. So the chief signs of the attainment of nibbaana in this world are the cessation

of all formative actions and the utter mental peacefulness. This mental state, as

we shall see, is not the bodhi mind, but the cessation of perception and feeling

which also stands for the cessation of all formative actions (sabba-sa.mkhaara-

samatha). We can even say that as nibbaana marks the cessation of all

sa.mkhaaras, it is perfectly calm.[47]In bodhi all the sa.mkhaaras are not destroyed. 

Before the attainment of ‘Bodhi’ the verbal sa.mkhaaras (i.e. vicaara and vitakka)

and the bodily sa.mkhaaras (i.e. the in-breathing and the out-breathing) are

temporarily suppressed in the second jhaana and the fourth jhaana respectively.

 But in the state of sa.mj~naa-vedayita-nirodha (cessation of perception and

feeling) all the sa.mkhaaras including the mental sa.mkhaaras of perception and

feeling, remain suppressed at the same time.[48]

  It is obvious that to attain such a state another object of meditation was

necessary. Gotama now followed the system of formless meditations which deal

with different types of perception, Gotama gradually went beyond the perceptions of

form, infinite space, nothingness, infinite consciousness, and the state of neither-

perception-nor-non-perception. Then he made an end of perception and attained

the state of the cessation of perception and feeling. He thus became the Tathaagata,

the Buddha. His spiritual journey at last came to an end.

  But why was it necessary to realise bodhi first in order to realise nibbaana in

this world. The bodhi destroys mental element of clinging by destroying the illusory

‘I’. The false sense of personality (sakkyaaya) extends upto the  state of

neither-perception-nor-non-perception.[49]It is not possible to go beyond this state

without realising the truth of ‘anattaa’. But as Gotama had already realised

‘bodhi’, he could go beyond this state, and attain the cessation of  perception

and feeling.

  There are several suttas which confirms that the state of sa~n~naa-vedayita-
 
 

[47]M. pp. 166,167; in many other suttas nibbaana in this world has been described

in a similar way, e.g. Mahaamaalu.mka-sutte, M. p. 436, Pa~ncattaya-sutta, Majjhima

Nikaaya, Vol. 2, pp. 235ff. etc.

[48]M. p. 302.

[49]AAne~njasappaaya-sutta, Majjhima Nikaaya, Vol. 2, p. 265.

 

 

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nirodha is attained after the state of the neither-perception-nor-non-perception. 

The Ariyapariyesana-sutta also confirms this tradition; moreover this sutta alsao

states that Gotama experienced the nibbaana in this world after the attainment of

the state of neither-perception-nor-non-perception.[50]It is obvious that the cessation

of perception and feeling is the

same as the nibbaana in this world. This is also proved by the description of

nibbaana as the cessation of all formations and the state of utter peacefulness, for

the state of sa.mj~naa-vedayita-nirodha also marks the end of all formative actions,

and is, therefore, utterly calm.[51]With the attainment of nibbaana in this world i.e.

the sa.mj~naa-vedayita-nirodha Gotama's spiritual journey came to an end. He

declared himself to be the Tathaagata, the Sammaasambuddha.[52]
 
 

[50]M. pp. 167∼8.

[51]Also see, AAne~njasappaaya-sutta, Majjhima Nikaaya, Vol. 2, p. 264 which shows

the identity of the nibbaana in this world with the sa~n~naa-vedayita-nirodha state.

[52]M. I, p. 172.

 

 

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                                                 喬答摩成佛──

                             《尼柯耶》(Nikaaya)成佛之道的重構

                                                    穆克紀

                                        中華佛學研究所研究員

提要

  在佛陀及其以前的時代,最終的修行目標在於得證現法涅槃(nibbaana)

。喬答摩(Gotama)亦出家以達 成這個目標。

  我們嘗試利用散布於《尼柯耶》(Nikaaya)中的敘述,來重構喬答摩整

個修行歷程的輪廓。文中僅探討那些可接受為合乎史實並對最終目標之達成

有積極說明的資料。

  在修行歷程的初期階段,喬答摩運用息止惡念並同時使善念持續生起的

方法來調伏與長養心念。正是這種心靈──非天神的啟請──促使他出於慈

悲而為受苦的世人說法。

  涅槃被認為是完全的寂靜,達到心的寂靜的一個方法就是修習四禪(the

four jhaanas)。喬答摩也證得了四禪,而且超越四禪·甚而他維持不被第四禪

生起之後的心靈狀態所干擾·接著,他捨離苦、樂、不苦不樂受,而大大地增

進寂靜、正念及心的專一。他不再樂著於任何對象,因而,他證得了一種完

全專一、正念分明的特別心靈狀態,及因除掉這些感受而顯得特別。

  值得注意的,是這種心靈狀態的出現不是刻意追求的。喬答摩的努力全

都導向煩撓因素的去除,而非生發一種新的心靈狀態。再者,既然這種心靈

狀態並不樂著任何對象,在作用時也就免除了一切主體的影響力·因此,這是

一種特殊的心靈狀態,並未捨去虛幻的「我」,不具有看透諸如執著等之本

質的智慧,卻能夠作絕對客觀的觀察。此種心靈狀態所作的觀察優於任何科

學的觀察,後者總是無法免除觀察者的影響。

  藉由這種心靈狀態,喬答摩證得了「菩提」(bodhi),那是有關漏(

aasava, aa`srava)盡和其他二明的智慧。這個智慧彰顯出一個人可以超越有為

(the conditioned),使他得以推究無為(the unconditioned)──涅槃──的

存在。此

 

 

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智慧破除了虛幻的「我」,因此永久根除了執著。一個證得「菩提」的人在

肉體離散之後進入涅槃。

  但是「菩提」的證得不意謂著喬答摩修行歷程的終止,菩提之心(bodhi-

mind)並非全然地寂靜,他仍未經驗到涅槃的最為寂靜的狀態。再者,「菩提

」的證得和當時只重心靈寂靜的沙門(`srama.na)傳統並不一致·那麼,喬答摩

為何證得「菩提」?沒有「菩提」就不能破除「我」的虛幻性,所以總是存在

著心靈退墮的可能性。其次,沒有「菩提」就不可能體證現法涅槃。所以喬答

摩先證得「菩提」,然後進一步求取涅槃的經驗。

  涅槃是無為與常恆的,由於屬於心靈的一切都是有為的和無常的,如此則

不可能經驗到涅槃,但是邏輯上歸之於涅槃的完全寂靜的屬性,在所有的「行

」(sa.mskaara)止息時是可被經驗到的。喬答摩通過想受滅(sa~n~naa-vedayita-

nirodha)──同於現法涅槃的經驗──的證得而達致此種完全寂靜的狀態。他

成了如來( Tathaagata)。

 

 

關鍵詞:1.特別的心所 2.菩提 3.涅槃