Jhāna — a progressive series of meditative states of absorption — is a controversial topic in Buddhism. This should be rather amazing given that the Buddhist scriptures emphasize jhāna so strongly. In the Eightfold Path, Right Concentration is consistently defined as the four jhānas. The Buddha said things like “There is no jhāna for him who lacks insight, and no insight for him who lacks jhāna.” The jhānas are enumerated over and over again in the Pāli scriptures. They’re also implicit in teachings like the Seven Bojjhaṅgas, the 12 positive nidānas, and the Ānāpānasati Sutta, which mention various of the jhāna factors.
Despite the scriptural importance of jhāna, some teachers, like Thich Nhat Hanh, have argued that jhāna was something that the Buddha rejected, and that it was smuggled into the suttas after the Buddha’s death:
The Four Form Jhānas and the Four Formless Jhānas are states of meditational concentration which the Buddha practiced with teachers such as Ālāra Kālāma and Uddaka Rāmaputta, and he rejected them as not leading to liberation from suffering. These states of concentration probably found their way back into the sutras around two hundred years after the Buddha passed into mahāparinirvāna. The results of these concentrations are to hide reality from the practitioner, so we can assume that they shouldn’t be considered Right Concentration. (Transformation and Healing: Sutra on the Four Establishments of Mindfulness, page 29)
The specifics of this objection are interesting because they contain some fundamental misunderstandings, and I’d like to explore in this article the topic of the relationship of the so-called “formless jhānas” (I’ll explain that qualification in due course) to the “jhānas of form,” and the role of these “formless jhānas” in the Buddha’s biography — specifically his training under Ālāra and Uddaka, and the Buddha’s later realization that jhāna was the “path to Awakening.”
First, there’s the assumption that Ālāra and Uddaka taught the Buddha the four jhānas. Now, the Buddha never mentions that he learned or practiced the jhānas with his two teachers. He says that he learned to attain the “sphere of nothingness” (ākiñcañña-āyatana — I prefer “no-thingness” as a translation) from Ālāra Kalama, and the “sphere of neither perception nor non-perception” (nevasaññānāsañña-āyatana) from Uddaka Ramaputta. (Uddaka had apparently not experienced this himself, and was merely passing on Rama’s teaching).
“But,” many Buddhists will object, “if Ālāra and Uddaka taught the Buddha how to attain these spheres, then they must also have taught the Buddha how to attain jhāna, since these spheres are the seventh and eighth jhānas — part of the four ‘formless jhānas’ that follow on from the four ‘jhānas of form.'” (The first two “formless jhānas” are the sphere of infinite space and the sphere of infinite consciousness.) But this is the very error that I am keen to address.
The suttas never refer to any “formless jhānas.” What are nowadays called the “formless jhānas” are in fact never referred to as jhānas in the scriptures, but are referred to consistently as “āyatanas” or “spheres.” It’s only in the later commentarial tradition that the two lists are presented as one continuous list of “eight jhānas.” They should really be known as “formless spheres.”
Now this is important, because the four formless spheres are in fact not jhānas at all. Many meditators have discovered that it’s possible to experience these formless spheres without having first gone through the jhānas. There has been much confusion for some who have had such experiences, because the assumption that the āyatanas can’t be experienced without first having traversed the jhānas is so prevalent. I am in fact one of the many people who has experienced that confusion.
There are suttas in which there is reference to experiencing the āyatanas without first going through the jhānas. Most people would tend to assume that in these suttas the jhānas are assumed, without being mentioned explicitly, but there’s no need to make that assumption, and experience shows it to be false. Certain forms of meditation predispose to direct experience of the āyatanas. Suttas discussing the six element practice and the divine abidings show those meditations leading directly to the formless spheres. I don’t disagree that it’s possible to reach the āyatanas via the jhānas, but there are other ways.
The fact that it’s possible to reach the formless spheres without going through the jhānas helps us make sense of an important episode in the Buddha’s life. In the Maha-Saccaka Sutta the Buddha described how he intuited, prior to his enlightenment, that jhāna was “the way to Awakening”:
I thought: ‘I recall once, when my father the Sakyan was working, and I was sitting in the cool shade of a rose-apple tree, then — quite secluded from sensuality, secluded from unskillful mental qualities — I entered and remained in the first jhāna, with rapture and joy born from seclusion, accompanied by initial thought and sustained thought. Could that be the way to Awakening?’ Then following on that memory came the realization: ‘That is the way to Awakening.’
That’s a strong statement. The Buddha had not just a hunch, or an idea, but an actual realization that jhāna is the way to Awakening.
Now, many people have struggled to make sense of this episode. The Buddha had previously attained the seventh and eighth “jhānas” (in reality the third and fourth āyatanas) under Uddaka and Ālāra’s instructions, so how could a memory of first jhāna be so significant in pointing the way to Awakening? All sorts of explanations for this apparent contradiction have been made, but the simplest is one that may be least obvious: that the Buddha had not in fact previously explored the jhānas with Ālāra and Uddaka, and that he had explored the āyatanas through means other than by going through the jhānas. Confusion arises because we’re so conditioned by the commentarial belief that to enter the āyatanas we must first go through the jhānas, that we assume that the Buddha must have had experience of the jhānas.
I see the jhānas and the āyatanas arising in different ways. Jhāna involves paying more and more attention to less and less. In going deeper into jhāna we progressively “tune out” first our thinking, then the pleasurable sensations that arise in the body as we relax, and finally joy. This leaves only one-pointed attention on an object of attention, accompanied by a sense of great peace. Jhāna is a form of progressive simplification — more and more attention being focused on a smaller and smaller subset of our experience.
The āyatanas involve the opposite approach. Rather than “homing in” our attention so that it’s focused on less and less of our experience, we allow our attention to be all-inclusive, excluding nothing from our awareness. Speaking of my own practice, when I enter the āyatanas, what I do is pay full attention to all of my experience: that which arises from within (thoughts, feelings, bodily sensations) and that which arises from outside (light, sound, space, etc.). I then maintain an awareness of both of these fields of experience, finding a point of balance of inner and outer. AS that balance is maintained, the mind becomes very still. At a certain point, the boundary between “inside” and “outside” is lost, and there is simply a single field of awareness. This process is speeded up if I consciously focus on the supposed boundary between inside and outside. In meditation this boundary is perceived to be very fuzzy, and in fact, the closer you look at it the less it seems to exist. Later, other distinctions are lost as well, and there is a loss of the sense that the body has a three dimensional orientation in space.
In the suttas, all of the entry points to the āyatanas have one thing in common: equanimity. The jhānas culminate in an experience of equanimity; having narrowed down our experience and brought the mind to a state of peace, we then broaden our experience once again and enter the formless spheres. (Or so I am told; I have never entered the formless spheres this way.) The fourth divine abiding is of course equanimity, which is also a springboard to an experience of the āyatanas. And the sutta describing the six element practice says that it beings the mind to equanimity and thus into the āyatanas. The formless spheres can be experienced from any meditation that brings about a state of tranquil equanimity.
The Buddha experienced the formless spheres to the furthest possible extent, but he didn’t manage to become enlightened by so doing. Instead, he intuited, jhāna was a more likely route to spiritual liberation. Why should this be? We can only speculate, but my sense is that the teachings of Ālāra and Uddaka explained the āyatanas in terms of unifying oneself with the wider universe. In the āyatanas, certain discriminative faculties — those that produce a sense of spacial separateness — are progressively shut down. (These faculties are a function of the brain’s parietal lobes, which become less active in non-dual meditation.) This sense of religious union would fit with pre-Buddhist views of there being an atman (Self) that is part of a larger “Brahman” (a cosmic reality). Ālāra and Uddaka may not have used those precise terms, but a sense of unity with the cosmos is a common religious trope, and it’s reasonable to assume that they saw that experience as the desired outcome of practice.
What does jhāna do? What is its function? It allows us to focus in exquisite detail on minute aspects of our experience. And that allows us to see that everything that constitutes the self — or what we take to be the self — is in fact an experience that is changing moment by moment. By repeating this minute examination of our experience, we come to the realization that there is no possibility of there being a separate self that needs to be unified with the cosmos.
The Buddha in fact was fond of saying:
I tell you, friend, that it is not possible by traveling to know or see or reach a far end of the cosmos where one does not take birth, age, die, pass away, or reappear. But at the same time, I tell you that there is no making an end of suffering and stress without reaching the end of the cosmos. Yet it is just within this fathom-long body, with its perception & intellect, that I declare that there is the cosmos, the origination of the cosmos, the cessation of the cosmos, and the path of practice leading to the cessation of the cosmos.
Although we would often like the Buddha to be like a modern scientist, in some important respects he wasn’t. He didn’t seem particularly interested in what we would think of “cosmic” questions, and in fact saw them as distractions from the spiritual life. After all, at the Buddha’s time, when it came to questions of whether the universe was finite or infinite, had a beginning or was eternal, etc., there was no possibility of doing more than speculating. These cosmic topics are all matters that the Buddha thought of as being useless subjects for discussion. Rather than indulging in speculation, he preferred to put his attention onto matters where he could have knowledge arising from direct observation. In that regard he did, in an important sense, take a scientific approach. And his work was akin to that of a scientist who finds that in order to understand the nature of stars, we must look at how subatomic particles behave. The way to understand our place in the cosmos, the Buddha was suggesting, is to examine ourselves. And this is what jhāna allows us to do. Jhāna supports insight.
In the Buddha’s view, samatha (the cultivation of the jhānas) and vipassanā (the cultivation of insight) were not mutually exclusive or antagonistic activities, which is how they are sometimes seen today. In the Samaññaphala Sutta, for example, the Buddha describes the practitioner moving deeper into the jhānas and then, “With his mind thus concentrated, purified, and bright, unblemished, free from defects, pliant, malleable, steady, and attained to imperturbability, he directs and inclines it to knowledge and vision.” Jhāna makes it easier for the mind to observe impermanence through minute examination of our experience, and thus makes it easier for insight to arise. Conversely, insight also makes it easier for jhāna to arise, and so he says elsewhere, “There’s no jhāna For one with no wisdom (pañña), No wisdom for one with no jhaāna).” Samatha and vipassanā are complementary and synergistic.
If you want to know your place in the universe, it may seem intuitively obvious that you need to reflect on (or speculate on) the universe. So it was a radical departure on the Buddha’s part to withdraw from speculation on the universe, and to turn his attention inwards. It was also a radical departure for him to turn away from the experience of the formless spheres, which bring about a temporary sense of unification of self and cosmos, but which do not entirely remove our self-clinging. It was a massive leap of intuitive wisdom for the Buddha to arrive at the conclusion, “Jhāna is the way to Awakening.”
But why, having failed to gain insight through the āyatanas, should the Buddha have kept them as part of his teaching? Wouldn’t it make more sense to jettison the formless spheres and focus exclusively on the jhānas? I see two possible reasons for him doing this.
First, the assumptions that Ālāra and Uddaka made about the āyatanas (that they were an experience of a permanent self uniting with the universe) may have been the main reason that the Buddha didn’t find them conducive to insight, assuming, as is likely, that he’d picked up on the same assumptions. Stripped of those assumptions, experience of the formless spheres, he may have reckoned, may be more spiritually useful.
Second, the experience of the āyatanas, even if it doesn’t lead directly to insight, does a valuable job in changing our sense of self. Learning that our sense of self is malleable may not directly help us to lose our attachment to that self, but it does help us to loosen such attachments. There can be less grasping after something that is fluid and malleable rather than something that is solid. Experience of the āyatanas helps us to appreciate that our sense of self is not fixed, but can be dramatically different than it normally is. In my own experience, the altered states of self-perception that I experienced in the formless spheres did seem to have a bearing on my later experience of non-self.
A parallel is to be found in that way that experience of psychedelic drugs has brought many people to Dharma practice. Having had the experience that their “normal” sense of reality is just one possible configuration of their experience can lead some to wonder what other modes of perception there might be. Psychedelics have even been used experimentally to help treat anxiety and depression — conditions that tend to involve a very fixed sense of self — sometimes bringing about long-term positive change very rapidly.
So, the Buddha had no formal experience of the jhānas until shortly before his awakening. He had not been trained in the jhānas by Ālāra and Uddaka, although he did have extensive experience of the āyatanas. The intuition that jhāna might be the way to Awakening was the beginning of a process whereby he began to explore his experience in minute detail, learning to observe its impermanence. And it was through this means that he became Awakened.
It’s time to lay aside the notion that the āyatanas are jhānas, and that they can only be experienced by traversing the jhānas. It’s time also to lay aside the very non-traditional notion that the samatha (cultivating the jhānas) and vipassanā (cultivating insight) are mutually antagonistic activities, and to recognize them as synergistic parts of one path.
And lastly, it’s time to recognize the radicalness of the Buddha’s decision to turn his attention away from meditations that lead to an apparent unity of the self with the cosmos, the radicalness of using jhāna to hone the mind into a powerful focused instrument, and even the radicalness of refusing to settle for the blissful and peaceful experiences that arise in jhāna, so that he could enter into a minute examination of the nature of his experience and find that there was, in a sense, no self there.
Rather than jhāna acting to “hide reality from the practitioner,” as Thich Nhat Hanh puts it, it is jhāna that allows us to lay reality bare, so that we may attain awakening.