The Five Controlling Faculties (Indriya)                                  

Confidence, Energy, Mindfulness, Concentration and Wisdom

The Five Greater Faculties (Bala)

Conviction, Persistence, Radiant Mindfulness,

Firm Concentration and Discernment

Here we are interested in the transformation from a doubtful, lethargic, heedless, distracted, and ignorant mode of being, in which confusion, acquisitiveness, aversion and too great a fixation upon the future to an awakened mode of being. That means changing the chip that allows the Dual mind to dominate one's life.

The qualities that exercise the function of faculties that lead to that end are natural components of the human system, appearing in the liberated healthy-minded person initially in the course of everyday life. With them, there is a trust in the higher values of attentive awareness, natural concentration, and a natural, intelligent, non-transcendental appreciation of unity that arise naturally from sensitivity, subtle discrimination and effort directed at the common good.

But the human creature is sadly flawed.

Nonetheless, Dharma teachings do not need, therefore, to implant new dispositions into the mind, but to harness those pre-existent capacities of our nature towards a supramundane goal --first developing a noble mundane realization and then a greater realization-- that restores all that is natural, not just these five faculties that have been shrouded in Mara’s darkness.

As one would expect, it is not a matter of applying confidence to destroy doubt, energy to control lethargy, attention to control heedlessness, concentration to dissolve distraction and wisdom to eliminate ignorance. 

If it were that easy, the whole world would be awakened.

Here we will look more closely at the parameters necessary for these changes to take place.  

                                       THE UNDERLYING ELEMENT

Heedfulness

The underlying element throughout the development of these is the mental quality of heedfulness which is the special combination of correct energy and attention, but as a quality of mind it is also a motivator, for the attention to the path of Dependent Origination brings full awareness of the dangers of constant Identity rebirth, which occurs after every completion of an action.

Samyutta Nikaya XLVIII.56

When one quality is established in a monk, the five faculties are developed and developed well.

Which one quality? Heedfulness.

And what is heedfulness? There is the case where a monk guards his mind in the midst of mental effluents and their concomitants. When his mind is guarded in the midst of mental effluents and their concomitants, the faculty of conviction goes to the culmination of its development. The faculty of persistence... mindfulness... concentration... discernment goes to the culmination of its development. 

This is how when one quality is established in a monk, the five faculties are developed and developed well.

Angutara Nikaya X.15

Just as the footprints of all legged animals are encompassed by the footprint of the elephant, and the elephant's footprint is reckoned their chief in terms of size; in the same way, all skillful qualities are rooted in heedfulness, lie gathered in heedfulness, and heedfulness is reckoned their chief....

Just as all the light of the constellations does not equal one sixteenth of the light of the moon, and the light of the moon is reckoned their chief; in the same way, all skillful qualities are rooted in heedfulness, lie gathered in heedfulness, and heedfulness is reckoned their chief.

How is Heedfulness different from attention? It is the awareness of one’s incautious attitude. Buddha’s last words were said to be, “Strive on with diligence.” He may well have declared, “Strive on with Heedfulness.” 

In the Christian New Testament, there is an incident where the crowds are about to stone a woman to death. Jesus the Nazarene declares, “Let he who is without blame throw the first stone.” Jesus was not saying, “Think about the correctness of what you are doing.” He was saying, “Look deeply into yourself and be heedful of the errors you are committing…. Look at your folly… not with your mind but with your heart.” That was Buddha’s advice too.

Heedfulness provides urgency. Just as one who feels the pain of an infected molar rushes to the dentist, so he who is heedful develops first the five controlling faculties which give rise to the spiritual factors.     

It is this urgency that provides the impetus for the full and thorough development of the faculties as one seriously pursues the possibility of release through the skillful development of the mind.

In the case of the Eightfold Path, there are two apparently distinct levels of operation. There is one level for the learner and another level when one reaches the point of transformation.

Here, you can see that we have also been talking about two different levels of operation. 

                                   The Five Controlling Faculties (Indriya)

                                1.   信心, xìnxīn              (Saddhindriya)        Confidence

2.   劲, jìn                             (Viriyindriya)             Energy

3.   注意, zhùyì                     (Satindriya)             Attention

4.   属,  zhǔ                        (Samadhiindriya)     Concentration

5.   大智慧, dàzhìhu             (Paññindriya)             Wisdom

As one would expect, it is not a matter of applying confidence to destroy doubt, energy to control lethargy, attention to control heedlessness, concentration to dissolve distraction and wisdom to eliminate ignorance.

We speak, in the first instant, of “controlling” faculties, so it is clear that the stained mind must be used to gain control over these faculties. However, that is not the case with the “spiritual” factors, which do have the same base.

In order then to enter into the set known as the “spiritual factors,” a different state of the mind must be present.

The controlling factors, termed INDRIYA, bear reference to the Vedic god, Indra, who maintained a kind, wise and just control over his domain, ruling for the benefit of all subjects and not to satisfy his own interests.

             Thus it is with the gradual development of the five faculties.

Control of the stained mind is eventually dissolved, and subtle, well-balanced energy is developed with a final germ of dominion that is aware of the truth, even though it has not yet been attained. When the final transition is made, control of the stained mind is released and dominion of the pure mind is engendered.

Why have these faculties been divided as if they were merely stages in a process?

Because the spiritual faculties require initial basic control of the mind. It is essential, therefore, to emphasize this point, so that those filled with folly do not believe that all the spiritual faculties will simply develop like magic.

This division reinforces the importance of the initial mind control, without which these spiritual aspects will not satisfactorily develop.

The difference then between the spiritual and the mundane rests upon the degree of attainment and the subtlety of application. With the spiritual faculties --which begin with the virgin dominion by the five qualities-- there is a fearless firmness developed against all impediments that Identity cannot oppose.

Thus the group of spiritual faculties, which have exactly same components as those of INDRIYA, are termed BALA (suppression of opposition).

It is true, clearly, that each of the negative qualities is only a mind construct and does not really exist as such. They are, as Buddha declares, just words.

Yet these words have their counterparts, and these counterparts are very good identifiers. Therefore, we can talk about the five controlling faculties:

Confidence, Energy, Mindfulness, Concentration and Wisdom.

These five are actually a part a part of the following thirty seven factors of Awakening and have been selected so that everyone can better understand the path.

                      In the Majjhima Nikaya 103 Buddha declared:

So this is what you think of me:

"The Blessed One, sympathetic, seeking our well-being, teaches the Dhamma out of sympathy.

Then you should train yourselves -- harmoniously, cordially, and without dispute  in the qualities I have pointed out, having known them directly: the four frames of reference, the four right exertions, the four bases of power, the five faculties (controlling), the five strengths (spiritual faculties), the seven factors for Awakening, and the noble eightfold path."

The positive qualities of the five Faculties arise only when the symptoms of their opposites disappear.

Within each of member of a pair of opposites, you can find the derivations of the dual mind. Whenever we speak of Duality, we speak always in terms of opposites:

Patience and Impatience ... Peace and War ... Slow and Fast ... Wise and Foolish and the like, are examples. Normally, we are aware of these when a disagreeable aspect arises and prevents the satiation of an Identity demand.

If we cannot gain what we desire, we call anxiety, which is an irritating factor, Impatience. In doing so, without option, we invent Patience.

If slow is undesireable we invent Fast, and so on.

If we desire to show "up" then we immediatly invent "down"

In Identifying as real and separate, as with all other duality we create "I" "me" and "mine" and thus "You" and Yours".  Possesion enters the world.

This occured historically at about ther time of the generation of Agriculture.

The Identities may gain or lose in armed conflict, but there is always personal fear present in conflict, so we invent Peace, and in doing so, without option, we invent War. We then seek vainly to establish Patience or Peace. This is an error.

We cannot ever establish Patience; we cannot establish Peace, because then we are simply playing with duality. Even if Patience is, within our minds, evident, then Impatience is lurking behind the corner, waiting to appear. If we say we cannot eliminate War, then, once again, we are playing the duality game. When there is Peace, then War, sword in hand, is waiting behind that curtain.

                            We must do two things.

First we must focus on those conditions that permitted the concept of impatience, war or any other negative condition to arise, and then we must dissolve both. 

That is why we clearly declare, in Buddha Dharma, that there is neither patience nor no-patience, neither war nor no-war.

We must be aware too of our reasons for wanting to eliminate our negative qualities.

In the case of patience, we may ask if we are really concerned, for example, about our patience in meditation or are we more concerned about our patience in waiting for an the results of meditation, a better love life or more personal fame. To reduce impatience with incorrect intention is certainly no virtue. It is the same with the Five Controlling Faculties.

First indeed, we must look at the roots of our apparent negative symptoms, which in this case are doubt, lethargy, heedlessness, distraction and ignorance. We are not, in BuddhaDharma, eliminating them so that we can install positive qualities in order to be respected. We are dissolving them because they are impediments upon the Path.

             Do you see here the necessary subtle difference in attitude?

Buddha considered the five controlling factors very important for the Path.

Among them we see Energy, Mindfulness, and Concentration, which are the important three Concentration factors of the Eightfold Path.

Do not understand this to mean that these three are the main components and that Confidence and Wisdom are just essential support for them.

Note that in many texts, the word Faith is used in place of Confidence, but that is an inadequate translation, for we know that Faith is blind and the last thing we need in Buddha Dharma is a closed and inflexible mind, even if we must begin the path with the stained mind.

How can the five controlling faculties be developed?

The Five Controlling Faculties must be intensified and strengthened by the Five Factors of Absorption.

                                          The Five Controlling Faculties (Indriya)

                              1.   信心, xìnxīn              (Saddhindriya)         Confidence

2.   劲, jìn                             (Viriyindriya)             Energy

3.   注意, zhùyì                     (Satindriya)             Attention

4.   专心, zhuānxīn          (Samadhiindriya )     Concentration

5.   大智慧, dàzhìhu             (Paññindriya)             Wisdom

                   The Five Factors of Absorption

1.      兴趣, xìngqù                                               Interest

2.      禧, xǐ                                         not mundane happiness, but Well Being 

3.     专心, zhuānxīn                                            One-pointedness

4.    开始 应用, kāishǐ yìngyòng                         Initial application

5.    绵延  应用, miányán yìngyòng                      Sustained application

The controlling faculties can only really control their opposites when they are intensified and strengthened by the presence of the first three factors of absorption: interest, happiness, and one-pointedness. Wisdom requires, in addition, the strengthening of initial application and  sustained application.

These five factors of absorption, in various combinations, then strengthen and intensify the five controlling faculties so that they can function effectively to lead towards the spiritual states.

But, as in all things regarding physiological and psychological processes, there is reciprocal action, so that the five controlling faculties also strengthen and intensity the five factors of absorption.

       Concentration, for example, strengthens interest and happiness.

       Confidence strengthens initial and sustained application.

Now although the five controlling faculties are indispensable in bringing about a transformation, they must be cultivated in a balanced way. Without this balance there is no progress. Buddha, in his teaching of the Truths, stressed the even balancing of the five faculties.

While mindfulness can never be overdone, the other faculties, if one-sidedly overdeveloped or repressed, may distort attitudes, intentions and resulting spiritual health.

Confidence in the weak-minded turns to faith and is a folly-filled counterweight against Identity disillusion and disappointment. 

Too much energy agitates and distracts. Too little energy generates sleep and boredom. 

Over-concentration tends to blind stillness, while wisdom (understanding) unsupported by the other four faculties, degenerates into craftiness and cunning.

When all faculties are being properly managed, confidence becomes conviction in one’s ability to resist opposition and to reach eventual liberation from suffering.

                                         Confidence and Wisdom

Confidence and wisdom are a reciprocal pair.

If confidence is allowed to overcome wisdom, this results in a weakening of one's critical faculties, and one's intellectual powers of analysis and investigation. 

If wisdom is allowed to dominate confidence, this diminishes confidence to the point of uncertainty and a lack of initial commitment to practice.

                                            Energy and Concentration

Similarly, if energy is allowed to overrule concentration, this leads to agitation; if concentration is allowed to dominate energy, this leads to sloth and torpor. The balance, as we saw in the lesson on energy, must be correct.

                                              Mindfulness

Thus confidence, energy, concentration, and wisdom must be developed and maintained in a balanced manner, and the faculty that enables one to do this is mindfulness. Mindfulness is the foreman that ensures the proper reciprocal, balanced relationship between confidence and wisdom, and between energy and concentration. 

Now the important question is, how does this help in the elimination of the dual mind? In fact we must ask, "how does Duality arise?"

Duality arises when illusory self becomes reified, thus generating an "I" that reduces to insignificance in the mind, the True Observing (Self without Identity).

Once that "I" has been generated it becomes central to every mental operation and every form, then given a name in perception becomes separated from every other mental phenomenon.

Thus a simple "spoon" generates clearly the dual mind concept "not spoon".

                                                Duality is thus born.

The wise, reflecting here, will see that the five factors of absorption are in fact the meditative base for Vipassana Absorption.

That means that there is as a result not an elimination of Duality within the mind, but an absorption that allows the memory to be washed of the recovery strength of Dual memory traces. The full elimination requires the Contemplations of Chan or other advanced meditations

In other words, the Five Controlling Faculties (Indriya), aided by the Five Factors of Absorption, elimate not DUALITY, but the SYMPTOMS of DUALITY.

Buddha himself stated this including in the description of Vipassana absorption the fact that it also eliminates the symptoms of Identity and also the symptoms of Sexuality.

To solidify this elimination of the symptoms that are great impediments in daily life and impediments to higher contemplations that do in fact destroy the control of Duality, Identity and Sexuality then the Five Spiritual Faculties are essential. 

The difference between the controlling faculties and the spiritual faculties is the attainment and stability that come from the beginning of real discernment --noble knowledge.

This is not really different from the normal growth and development of a child. You can observe all the changes daily, but in one moment, as if by magic, he or she has become an adult, not by chronological criteria, but because of some subtle change in attitude and comportment.

This is the same sort of change that takes place between the controlling faculties and the spiritual faculties. In a flash, accompanied by a different and subtle awakened understanding, the spiritual faculties emerge. 

                                   The Five Spiritual Faculties (Balani) 

1.  诚服, chéngfú               Saddha-balam              Conviction      

       2. 持久, chíjiǔ                     Viriya-balam               Persistence   

       3.  走心, zǒuxīn                    Sati-balam             Mindfulness (Radiant)           

       4.  专心, zhuānxīn                Samadhi-balam        Concentration (Firm)                  

       5.  识力, shílì                       Pañña-balam          Insight Discernment

Samyutta Nikaya, XLVIII, 52

Just as, in a house with a ridged roof, the rafters are not stable or firm as long as the ridge beam is not in place, but are stable and firm when it is; in the same way, four faculties are not stable or firm as long as noble knowledge has not arisen in a noble disciple, but are stable and firm when it has. Which four?

The faculty of conviction, the faculty of persistence, the faculty of mindfulness, and the faculty of concentration.

When a noble disciple is discerning, the conviction that follows from that stands solid. The persistence that follows from that stands solid. The mindfulness that follows from that stands solid. The concentration that follows from that stands solid.

As you can see, we now have a change in terminology: Confidence has become Conviction, Energy has become Persistence, and Wisdom has now become Discernment, while Mindfulness and Concentration remain the same.

In the Samyutta Nikaya.XLVIII.10, an analysis of these faculties is made by Buddha:

Samyutta Nikaya.XLVIII.10

Indriya-vibhanga Sutra

                          诚服,  CONVICTION

"Now what, monks, is the faculty of conviction? There is the case where a monk, a noble disciple, has conviction, is convinced of the Tathagata's Awakening:

'Indeed, the Blessed One is worthy and rightly self-awakened, consummate in knowledge and conduct, well-gone, an expert with regard to the world, unexcelled as a trainer for those people fit to be tamed, the Teacher of divine and human beings, awakened, blessed.' This, monks, is called the faculty of conviction."

Here we see that we are not talking about mundane behavior that requires controlling confidence. We are talking of someone who is convinced and spiritually advanced.

Confidence, as we have said, is generated as a way of acting based upon an internal state of trust. Once practice has completely developed, the trust is no longer necessary. Then there exists a certainty in what has been stated by the masters, practiced and achieved. Confidence no longer holds those small grains of doubt and becomes Conviction.

                                       持久,  PERSISTENCE

"And what is the faculty of persistence?

"There is the case where a monk, a noble disciple, keeps his persistence aroused for abandoning unskillful mental qualities and taking on skillful mental qualities. He is steadfast, solid in his effort, not shirking his duties with regard to skillful mental qualities.

"He generates desire, endeavors, arouses persistence, upholds and exerts his intent for the sake of the non-arising of evil, unskillful qualities that have not yet arisen... for the sake of the abandoning of evil, unskillful qualities that have arisen... for the sake of the arising of skillful qualities that have not yet arisen...(and) for the maintenance, non-confusion, increase, plenitude, development, and culmination of skillful qualities that have arisen.

This is called the faculty of persistence."

Persistence is clearly here a matter of degree relative to the use of previous controlled energy and effort.

Persistence emerges, no longer requiring the constant application of Energy with rapt attention. Behind the energy, there is now a subtle undirected force, engendered by the greater stability of all five faculties.

                                           走心, MINDFULNESS

"And what is the faculty of mindfulness?

"There is the case where a monk, a noble disciple, is mindful, highly meticulous, remembering and able to call to mind even things that were done and said long ago. He remains focused on the body in and of itself-ardent, alert, and mindful-putting aside greed and distress with reference to the world. He remains focused on emotions in and of themselves... the mind in and of itself... mental qualities in and of themselves -ardent, alert, and mindful- putting aside greed and distress with reference to the world.

"This is called the faculty of mindfulness."

Once more, spiritual mindfulness differs in degree. Rather than the clear application to Concentration, Mindfulness here, as a spiritual quality, is required to be focused continually on every factor of the world, with attention to the adept’s sensations, emotions, consciousness and all the contents of his stream of thoughts and impressions...

                                            专心, CONCENTRATION

"And what is the faculty of concentration?

"There is the case where a monk, a noble disciple, making it his object to let go, attains concentration, attains singleness of mind.

"Quite withdrawn from sensuality, withdrawn from unskillful mental qualities, he enters and remains in the first jhana: rapture and pleasure born from withdrawal, accompanied by directed thought and evaluation.

"With the stilling of directed thought and evaluation, he enters and remains in the second jhana: rapture and pleasure born of composure, unification of awareness free from directed thought and evaluation-internal assurance.

"With the fading of rapture he remains in equanimity, mindful and alert, and physically sensitive of pleasure. He enters and remains in the third jhana, of which the Noble Ones declare, 'Equanimous and mindful, he has a pleasurable abiding.'

"With the abandoning of pleasure and pain-as with the earlier disappearance of elation and distress-he enters and remains in the fourth jhana: purity of equanimity and mindfulness, neither pleasure nor pain. 

"This is called the faculty of concentration."

At this point, Concentration is identical; the four Jhanas are attained. However, they go further, for when we see the description of wisdom, we see that Buddha is speaking about an even higher state of consciousness. This higher state has the clear direct perception of the arising and passing of each successive mind moment. This then is the advance into Vipassana.

                                      识力, INSIGHT DISCERNMENT

"And what is the faculty of discernment?

"There is the case where a monk, a noble disciple, is discerning, endowed with discernment of arising and passing away -noble, penetrating, leading to the right ending of stress. He discerns, as it is actually present: 'This is stress... This is the origination of stress... This is the cessation of stress... This is the path of practice leading to the cessation of stress.'

"This is called the faculty of discernment."

Explained once more as:

"There is the case where a disciple of the noble ones notices: 'When this is, that is. From the arising of this comes the arising of that. When this isn't, that isn't. From the cessation of this comes the cessation of that (which is the discrimination of Dependent Origination)'.”

Insight Discernment is the special faculty of Wisdom that sees with a clearer light.

We clearly see this combination of Concentration and the insight Discernment described in Samyutta Nikaya.XLVIII.46. It is shown as the important focus of all practice.

Note that it is spiritual discernment that permits the crossing of the river of Mara and that it is concentration that permits the growth into that discernment. 

Conviction and Discernment are bedfellows in the same way as are the controlling faculties of Confidence and Wisdom.

Energy, the first member of the spiritual set, leads naturally to Persistence, the second. But once more we see that none of these faculties are independent and disconnected from the others.

Persistence, in turn develops Mindfulness as the most essential skilful quality of the mind. But similarly, we know that the correct development of mindfulness leads to correct concentration, which provides the foundation for the arising of discernment.

When discernment is strengthened to the point of transcendence leading to the attainment of stream-entry, it then confirms the truths that were previously accepted with confidence in Buddha, Dharma and Sangha, bringing firm conviction. These five form a cycle. Let one fail and the whole is debilitated.

This causal loop strengthens conviction even further. This provides the perfect foundation for developing the spiritual faculties further, until a spiritual maturity is attained. At that point, conviction is not necessary, for the release by the direct experience will have made conviction redundant.

Intensity in Practice

Now to give you an idea of the intensity required, it is useful to see this simile of Buddha’s with regard to a fortress. It is quite elegant and expressive, but more than that, if one really understands, one can see that this description is not in any way an exaggeration of the quality required of an adept who goes beyond the mere mundane stage of controlling and touches the spiritual.

Anguttara Nikaya VII. 63

Just as a royal frontier fortress has a foundation post -deeply rooted, well embedded, immovable, and unshakable- for the protection of those within and to ward off those without; in the same way a noble disciple has conviction, is convinced of the Tathagata's Awakening: 'Indeed, the Blessed One is pure and rightly self-awakened, consummate in knowledge and conduct, well-gone, an expert with regard to the world, unexcelled as a trainer for those people fit to be tamed, the Teacher of divine and human beings, awakened, blessed.' With conviction as his foundation post, the noble disciple abandons what is unskillful and develops what is skillful, abandons what is blameworthy and develops what is blameless, and looks after himself with purity....

Just as a royal frontier fortress has a large army stationed within -elephant soldiers, cavalry, charioteers, bowmen, standard-bearers, billeting officers, soldiers of the supply corps, noted princes, commando heroes, infantry, and slaves- for the protection of those within and to ward off those without; in the same way a noble disciple keeps his persistence aroused for abandoning unskillful mental qualities and taking on skillful mental qualities, is steadfast, solid in his effort, not shirking his duties with regard to skillful mental qualities. With persistence as his army, the noble disciple abandons what is unskillful and develops what is skillful, abandons what is blameworthy and develops what is unblameworthy, and looks after himself with purity....

Just as a royal frontier fortress has a wise, experienced, intelligent gate-keeper to keep out those he doesn't know and to let in those he does, for the protection of those within and to ward off those without; in the same way a noble disciple is mindful, highly meticulous, remembering and able to call to mind even things that were done and said long ago. With mindfulness as his gate-keeper, the noble disciple abandons what is unskillful and develops what is skillful, abandons what is blameworthy and develops what is unblameworthy, and looks after himself with purity....

Just as a royal frontier fortress has ramparts that are high and thick and completely covered with plaster, for the protection of those within and to ward off those without; in the same way a noble disciple is discerning, endowed with discernment leading to the arising of the goal -noble, penetrating, leading to the right ending of stress. With discernment as his covering of plaster, the noble disciple abandons what is unskillful and develops what is skillful, abandons what is blameworthy and develops what is unblameworthy, and looks after himself with purity....

Just as a royal frontier fortress has large stores of grass, timber and water for the delight, convenience, and comfort of those within, and to ward off those without; in the same way the noble disciple... enters and remains in the first jhana... for his own delight, convenience, and comfort, and to alight on Unbinding....

Just as a royal frontier fortress has large stores of rice and barley for the delight, convenience, and comfort of those within, and to ward off those without; in the same way the noble disciple... enters and remains in the second jhana... for his own delight, convenience, and comfort, and to alight on Unbinding....

Just as a royal frontier fortress has large stores of sesame, green gram, and other beans for the delight, convenience, and comfort of those within, and to ward off those without; in the same way the noble disciple... enters and remains in the third jhana... for his own delight, convenience, and comfort, and to alight on Unbinding....

Just as a royal frontier fortress has large stores of tonics -ghee, fresh butter, oil, honey, molasses, and salt- for the delight, convenience, and comfort of those within, and to ward off those without; in the same way the noble disciple... enters and remains in the fourth jhana... for his own delight, convenience, and comfort, and to alight on Unbinding....

     The Samyutta Nikaya XLVIII.8 tells us how these faculties arise:

in the four factors of stream-entry (Confidence in the Buddha, Dharma, Example of fellow Adepts who have practiced methodically... who have practiced masterfully and finally, developed virtue that are untorn, unbroken, unspotted, unsplattered, liberating, praised by the wise, untarnished, all leading to concentration.

in the four right exertions (energy)

in the four frames of reference (attention)

in the four jhanas... and in the knowing of the four noble truths