Essential Early Buddhist Doctrines      Unit MBI 103

                                                     LESSON 6

The Thirty-Seven Factors of Awakening

We have learned about the Three Signata, the Four Noble Truths, Dependent Origination, The Five Clinging Aggregates and the Six Sense Doors. Here we will speak about the thirty-seven factors conducive to awakening (bodhipakkhiya dhamma). According to tradition, they were recommended by Buddha, shortly before his death, and suggested as an important means of reaching a true Awakening..

For this reason alone, they cannot be dismissed, but in addition, these factors form a fundamental part of the early foundation of what we may think of as Buddhist Psychology/Philosophy (Abhidharma), which also includes the teaching of the five factors of clinging, called the five clinging aggregates..

These thirty-seven factors have been preserved and taught by generations of  Theravadin masters, because they were practical advice for those on the early Buddhist path of Meditation, Teachings and Personal Restraint..

While Mahayana Buddhism has led away from restraint, it has perhaps forgotten many of the roots that are essential to the Mahayana path. Familiarity with these factors of awakening, though few are essential for “in depth” Mahayana study,  is too easy ignored by many modern Mahayana teachers.

Yet there are others, with greater wisdom, free from great clinging to the dogma of their own mind, who know that understanding these factors of awakening, when caution is clearly made against turning them into intellectual rubbish, help progress along the path. This is particularly important because the path to Awakening is not a short or easy path, especially when one has to live within this dehumanised and dehumanising world.

The great Hebrew philosopher, Moses Maimonides, wrote the marvellous “Guide for the Perplexed” for all Hebrews. The Buddhist sutras related to the thirty-seven factors of awakening could well be considered the equivalent for Buddhists trying to battle their way through the tangles and pitfalls of this life, while they are making early leeway upon a difficult and really profound path.

Those who believe that they can do without them and are not closeted in a monastery, should think well before rejecting them. 

The thirty-seven factors are classified under seven groups:

(a)   The four practices of mindfulness (satipatthana), which we have dealt with in the second unit.

(b)   The Noble Eightfold Path (atthangika magga)

(c)    The Four Right Efforts (energy)(sammappadana)

(d)   The Five Controlling Faculties (indriya)

(e)   The Five Powers (bala)

(f)     The Seven Limbs of Awakening (bojjhanga)

(g)   The Four Roads to Power (iddhipada)

In addition there are other factors related to these. They are:

       (h)  The Five Factors of Absorption

THE FOUR PRACTICES OF MINDFULNESS (Satipatthana)

One can understand the importance of mindfulness from the fact that mindfulness occurs in five of the seven groups that make up the thirty-seven factors conducive to awakening. Mindfulness is also taught as a full practice in the Satipatthana Sutta (The Discourse on the Stations of Mindfulness), which occurs twice in the Buddhist canon and was fully discussed in the last unit.

In almost all Buddhist centers today, be they of the Theravadin tradition or Mahayana, these four Practices of Attention play an important part, for they lead to realization of the truth about the three universal characteristics, --or signata, which are impermanence, unsatisfactoriness and not-self.

The Four Practices of Mindfulness are, as you will remember, (i) mindfulness with regard to the body sensations, (ii) mindfulness with regard to emotions, (iii) mindfulness with regard to consciousness or the mind and (iv) mindfulness with regard to mental objects or the content of the mind.

THE NOBLE EIGHTFOLD PATH (Atthangika magga)

            The eight factors or constituents of the Path are:

(h)   THE FOUR CORRECT FACTORS OF EFFORT (Sammappadana)

Restrain factors negative to growth and development.

Refrain from generating negative factors that have not yet arisen.

Retain positive factors that are present that aid natural growth and development.

Engender positive factors that have not yet arisen.

THE FIVE CONTROLLING FACULTIES (Indriya)

The five controlling faculties (indriya) are:

Confidence

Energy

Mindfulness

Concentration

Wisdom

THE FIVE FACTORS (POWERS) OF AWAKENING (Bala)               

The five powers (bala) are:

      Conviction

      Persistence

       Mindfulness (Radiant)

       Concentration (Firm)

      Discernment

These are identical to the five controlling faculties, but here they are called

powers because in this stage, the confidence, energy, mindfulness, concentration, and wisdom have become firm and steady, being applied with diligence, determination and perseverance.

In the Abhidharma classification of the controlling faculties and powers, two more powers are added to the five already mentioned.

                                                         Natural shame

                                                         Natural dread

These are one’s own natural sense of  uprightness and natural avoidance of censure. They are what many may call moral states, and they are termed as such in Abhidharma discussions. However, since there is no actual identity present, they are more like natural “fail safe conditions ” for correct behaviour.

SEVEN LIMBS OF AWAKENING (Bojjhanga)

The seven limbs (factors) of awakening (bojjhanga) are:

                                                                 Mindfulness,

                                                                      Analysis

                                                                   Persistence

                                                                      Rapture

                                                                      Serenity

                                                                  Concentration

                                                                    Equanimity

THE FOUR ROADS (BASES) TO POWER (Iddhipada)

The four bases of power (iddhipada) are:

Zeal the impulse to transform intention

Virile Force, the will to execute action

Conscious Strength of the Purity of Mind

Discriminative Investigation

These predominant mind conditions (adhipati) suggest clearly that the important experiences of liberation are aided by these factors of the mind when they are developed correctly by cultivation of the five factors of absorption which follow.

THE FIVE FACTORS OF ABSORPTION

The five factors of absorption are:

Initial application

Sustained application

Interest

Joy

One-pointedness

Now having seen this list of all these factors, we also know that the list is made of words and the words in no way can express the truth regarding phenomena. Nonetheless, things are divided and put into categories by man in order to better understand them. For example, we have said before, in another lesson, that there are four elements and six properties: the earth property, the liquid property, the fire property, the wind property, the space property and the consciousness property.

But we are aware that these properties are not isolated phenomena; they are apparent mind isolated elements. Buddha explained this to Ananda in the Surangama Sutra, which is so well known for its clarity in such matters.

Ananda said to Buddha: "World Honored One, the Tathagata has often spoken of cause, condition and the state of the self as such and has taught us that all changes and transformations in the world are due to the mixture and fusion of the four elements. Why does he now wipe out all concepts of cause, condition and the state of the self as such? I do not understand; will He be compassionate enough to explain in full to all living beings the Mean which is beyond all sophistry?"

Buddha replied: "You are tired of, and have sought to abandon, the Hearer's teaching on the sravaka and pratyeka-buddha stages, and so wish to seek unsurpassed Bodhi. I will, therefore teach you the Supreme Truth. Why do you still restrict yourself by reasoning frivolously about false causes and conditions?

Although you have listened to me a lot, you are like one who is accustomed to talk about medicines but who, when he sees them cannot pick out those which are good. This is why the Tathagata says that you are really to be pitied. Listen with attention to what I now tell you, so that all who practice Mahayana in the future can attain Reality.”

Ananda kept silent, awaiting the holy teaching.

This introduction is interesting, for it shows one important characteristic of Awakening: it has a clear comprehension of the truth and does not temper its natural expression. However, since that natural expression is not Identity related, an Awakened person can be apparently harsh in condemnation, correctly able to discern when it is necessary to criticize, as a lioness corrects its cubs.

How many apparently dedicated disciples in these times of Dharma degeneration would stay with a master who declared them to be “pitiful”?

A second point is to see Buddha’s mention of the sravaka and pratyeka-buddha stages and the wish to seek unsurpassed Bodhi. It is clear, at least in this Sutra,  that Buddha was declaring that the sravaka and pratyaka states were stages in the full path, thus not to be despised.

With these brief asides in mind, let us continue.

"Ananda, as you have said, when the four elements mix and fuse they cause all kinds of transformation in the world. But they cannot mix and unite if it is against their nature, just as the void cannot with form. On the other hand, if they so mix and fuse they are transformations and owe their existence wholly to their mutual dependence; they are thus subject to creation and destruction in endless succession, like the ring of fire caused when a torch is waved in a circle."

The mind creates all phenomena, that is clear, but in the unobservable unknowable world (called by a name that inadequately describes it as Energy) governed by “Dharma” (the natural law), there are forces that result in sensory observable attributes of being mixable or non mixable.

In other words, there can appear to be new combinations of the elements, such as a change in temperature, which can cause the solid, ice, to turn to the liquid, water. However, there are really no solid or liquid states. These are mind generated ideas. There is similarly neither ice nor water, as these too are mind generated ideas that  are formed as independent perceptions. Thus one can speak of an unknown and unperceivable mutual dependence.

Buddha makes the point that all things that have mutual interdependence are subject to change and are impermanent, but we must mention too that the concept of dependence must also be seen as just another mental construct. Thus although we can posit a “nature” we must know that that idea is also illusion.

Then let us look at what Buddha said about the five aggregates and their apparent independent existence

The First Aggregate: Form-Rupa as the object of Sensation

“Ananda, why are the five aggregates fundamentally the wondrous nature of the Absolute of the Tathagata store? Ananda, for instance, when a man looks at a clear sky with clear eyes, he sees only the void which contains nothing. If suddenly without any apparent reason he steadies his seeing, it will be disturbed and he will see flowers dancing and other objects moving in the sky. It is the same with the aggregate rupa. Ananda, these dancing flowers come neither from the void nor from his eyes.

If they came from the void, they would return to it; if there was really such a coming and going of these flowers, the void would not be empty. If voidness was really not empty, then they could not appear and vanish in it. This is like Ananda's body which does not allow Ananda to enter it.

If these flowers come from the eyes, they should be able to return to the eyes, and because they come from “seeing”, they should be able to see. Thus when they leave the eyes, they become flowers in the sky and when they return, they should see the organ of sight. If they cannot see, then when they leave, they should screen the sky and when they return, they should veil the eyes; but when the man sees these flowers, his eyes are not veiled.

Then why do you wait until the sky is clear to say that your eyes are really clear? Therefore, you should know that the aggregate form is unreal for it is neither causal nor conditional nor self-existent.

When one tries to steady the eyes, --which is an unnatural thing to do, as there is a natural tremor of the eyes to protect against burn in of the image--, then the mind can create a fantasy of form. Buddha uses this mind generated form to show that indeed all form is generated by the mind.

Form is not generated from the Void. Form is in itself vacuous, having been mind generated as a sensation. But as the concept of Void owes its existence to the generated idea of Form, thus the Void too is vacuous. We can then say that they are mutually interdependent. Thus Void is Form and Form is Void and Form is Form and Void is Void.

Beyond both, however, there is the true Non Dual Emptiness. When one speaks of Non Dual Emptiness, Emptiness does not refer to the state; it refers to the absence of the mind that can generate the illusion of sensation.

The Second Aggregate: Feeling-Vedana

"Ananda, when, for instance, a man is in good health and his limbs are in good condition, he does not feel anything. But if suddenly, without any reason, he rubs his palms together, he feels coarseness, smoothness, cold and warmth. It is the same with the second aggregate vedana.

Ananda, these sensations come from neither the void nor his palms. If they come from the void, why are they felt by his palms only and not by his body? It should not be up to the void to choose his palms to feel them. If they come from his palms, they should not wait for the palms to be brought together to be felt. Moreover, if they really come from his palms and are felt when the latter are brought together, when they are separated, these sensations should re-enter the palms, shoulders, bones and marrow which should also feel their re-entry.

They should also be felt by the mind as coming in and out, as if something had moved in and out of the body. If so, there is no need to bring the two palms together to feel these sensations. Therefore, you should know that the aggregate vedana is unreal and is neither causal nor conditional nor self-existent."

Sensations are provoked by irritation of the sensors, but that irritation is not the perceived sensation. Sensation, as we have seen in all other cases discussed, is a mind generated phenomenon. It is clear that sensations are perceived by the mind and do not have independent existence. Have you heard that Zen question, “What is the sound of one hand clapping”? That is precisely the topic here. The sound is not inherent is the two hands that clap nor in one hand. Thus there is no sound, either from one hand or two.

But the second aggregate is not just the reception of the sensation. It is also the evaluation of that sensation as pleasurable, neutral or non pleasurable. This sensation base is Emotion, which is completely mind generated and has no substance. 

The Third Aggregate: Perception-Sanjna

"Ananda, if someone speaks of sour plums, your mouth will water, and if you think of walking above an overhanging cliff, you will have the sensation of shivering in the soles of your feet. This is the same with the third aggregate sanjna.

Ananda, this talk of sourness does not come from the plum, nor does it enter your mouth. If it comes from the plum, it should be spoken of by the plum itself; then why does it wait for someone to speak of it?

If it enters your mouth, it should be your mouth which actually talks about it; then why does it wait until your ears hear of it? If it is your ears which alone hear it, why does not that water come out of them? This is the same with your thought of (walking above) an overhanging cliff.

Therefore, you should know that the third aggregate sanjna is neither causal nor conditional nor self-existent."

Here Buddha is speaking of the sensation that is Perception, which cannot be separated from thought. These thoughts are clearly related to the apparent form sensation and the sensation that is the emotional base.  As with all the other sensations, perception is also mind generated. The question then is, “is there then real separation of the Sensation-Form experience, the Sensation-Emotion experience, and the Sensation-Emotion-Perception experience”? Are not all Mind Generated Illusion? Are not all Vacuity?

The Fourth Aggregate: Volition-Samskara

"Ananda, the fourth aggregate samskara is like water which flows in a torrent endlessly and in good order over a fall. Ananda, this flow does not come from the void nor is it due to the water; it is neither the water itself nor does it exist apart from the void and the water.

If it is created by the void, boundless space would become an endless flow of water and the whole world would be submerged. If it is due to the water, then it should not be water and should have its own form and location which should be apparent. If it is water, then still and clear water should not be water. If it exists apart from the void and water, (this is impossible because) space (is all-embracing and) has (nothing) outside (it) and because there is no flow without water.

Therefore, you should know that the fourth aggregate samskara is false and is neither causal nor conditional nor self-existent."

Volition, the generation of formations with respect to the Sensation-Emotion-Perception series, is precisely like the flow of water presented by Buddha. What is the source of this Volition? Is it Consciousness?

The Fifth Aggregate: Consciousness-Vvijnana

"Ananda, the aggregate consciousness is like the void in an empty pitcher with two mouths. If someone blocks both mouths and carries it to another country, the void does not go from one place to another. If the void comes from somewhere, that place should lose some of its voidness, and on arrival elsewhere, when the mouths are opened and the pitcher reversed, one should see the void poured out of it.

Therefore, you should know that consciousness is unreal and is neither causal nor conditional nor self-existent.

And where are all these things known? Are they known in consciousness? Now this is an important question. Does consciousness have an independent existence?  We can posit that it is not independent of the Sensation (Form)-Emotion-Perception-Volition-Consciousness series. But is the “place” where all these things are known the fount of the series? No it is not, for consciousness itself does not exist independent of the generation of the idea of consciousness.

The pitcher, consciousness, is empty. It has two spouts. That means that it is simply a vehicle of interpretation. Nothing can come in without being poured out. What is poured in? Nothing. There is simply an apparent interdependent chain of “vacuity” that stems from apparent irritation (which is itself a mental idea) and enters an apparent consciousness. Where does it enter? Nowhere.

What a glorious paradox. It appears that consciousness then invents itself. It is just one part of the fantastic illusion of existence.

What then is “mind”? It is just another empty box invented in consciousness. But what does the inventing? It is a question that consciousness asks itself. Since there is no valid answer, consciousness invents one, aided and abetted by the sensation (form)-emotion-perception-volition chain. It says “Me” and “So be it”.

Perhaps you can see why this teaching of Buddha has been entered here. It is to let you see that all these names, lists, intellectual ideas and concepts are vacuous. If you believe that all that has been said is Ultimate Truth, then you are mistaken. There is no Truth. That is the whole point. When one perceives Truth, the perceiver and Truth cease to be.

But the long road to that point requires the use of words and phrases. The long road requires the mind to regulate itself. The long road requires one to see that the intellect alone cannot reach that Truth that liberates. All that intellect can do is embrace the cognitive Truth and delude itself that it knows. It cannot know. Only the Direct Experience can bring freedom. Then all illusions become beautiful and free of the potential for clinging and craving. Only then can one walk in the midst of Samsara with Nirvana as company.

Exercise Six

Now you have an impossible task, but I would like you to try it.

Using your cognitive mind, tell me what you believe the Direct Experience is like.

Have fun with this one.