Tokyo
May 10 1971
Dear Mr. G.,

You wrote to me about concentration on breathing and since many people are interested in this subject I will quote from your letter:

I find that while I concentrate on breathing sensations and thoughts are blotted out and in this way I become more relaxed and I have less aversion. I find that after this exercise mindfulness becomes more acute and frequent. Seeing and hearing seem so clear, and all six doors are wide open, registering with clarity and intensity everything. The situation is like a spider in a web, ready to catch, but without tension. I find that by means of concentration on breathing, I can create favourable conditions for wisdom of the Eightfold Path. I believe that I can be mindful more often when I am relaxed.

Your letter raises many questions with regard to samatha and vipassana. Some people have accumulations to develop both samatha and vipassana; others develop only samatha and others again only vipassana. Both for the development of samatha and for the development of vipassana, it is essential to have right understanding of the way of development. It is felt by some that for samatha it is not necessary to know about realities, to know one's different types of citta, since one should, as they believe, just concentrate until sense-impressions are "blotted out". However, this is not the right way of development. If one starts to concentrate for example on breathing, without understanding when the citta is kusala citta and when akusala citta, one will take attachment to breathing for the calm which accompanies kusala citta. One does not know the difference between samatha and what is not samatha but merely a breathing-exercise. When one has a sensation of sense-impressions being blotted out one mistakenly believes that one has attained jhana (absorption). We should understand which cause brings which effect. If one wants to apply oneself to mindfulness of breathing one should note that just concentration on one's breathing is not samatha. People concentrate on their breathing for various reasons: for example because it is good for one's health and it makes one feel more relaxed.

Mindfulness of breathing is among the meditation subjects of samatha and as such it is quite different from any other kind of concentration on breathing. The aim of samatha is to be less attached to sense-impressions, and, in order to reach this aim, it is essential that there is right understanding of the way to develop true calm.

True calm is wholesome, at that moment there are no lobha, dosa or moha. We read about people in the Buddha's time who could develop calm to the degree of jhana. When jhana is attained defilements are temporarily eliminated, but they are not eradicated. There are many misunderstandings about the development of samatha and if it is not developed in the right way one develops wrong concentration, miccha-samadhi, instead of calm.

I have heard people say that they want to become less restless and to have more calm, and that they therefore want to apply themselves to samatha. However, do they know the real meaning of restlessness and calm?

"Restlessness", in Pali uddhacca, is akusala. It is a cetasika which arises with each akusala citta: with lobha-mula-citta (citta rooted in attachment), with dosa-mula-citta (citta rooted in aversion) and with moha-mula-citta (citta rooted in ignorance). It prevents the citta from wholesomeness. Uddhacca is different from what one in conventional language calls "restlessness". When we use the word "restlessness" in conventional language we usually think of aversion and unpleasant feeling. People dislike unpleasant feeling and they like pleasant feeling or indifferent feeling. However, pleasant feeling and indifferent feeling can accompany both kusala citta and akusala citta. If one pays attention only to feeling and one does not know when the citta is kusala citta and when akusala citta one's life is very confused. For instance, when one is in quiet surroundings, one may be attached to quietness and thus there are at that moment lobha-mula-cittas which can be accompanied by pleasant feeling or by indifferent feeling. Since lobha-mula-citta is akusala citta it is accompanied by restlessness. Or, there may be moha-mula-cittas which are accompanied by indifferent feeling. Moha-mula-citta is also accompanied by restlessness. Thus, when the feeling is pleasant or indifferent, the citta may be akusala citta and in that case it is inevitably accompanied by restlessness. Although one believes that one is calm at that moment, one still has restlessness. Do we realize it whether the pleasant feeling or indifferent feeling which arises is kusala or akusala? We have theoretical knowledge of kusala and akusala, but in order to develop what is wholesome we must know whether the citta at this moment is kusala or akusala. Attachment to calm may be very subtle, one may not notice it. Lobha can lure us all the time. Only panna can know whether the citta which arises is kusala or akusala.

In conventional language we use the word "calm". We should know which kind of reality calm is. Calm, in Pali passaddhi, is a cetasika. In fact, there are two cetasikas: kaya-passaddhi, tranquillity of body, and citta-passaddhi, tranquillity of mind. By kaya, body, is meant here the "mental body", which are the cetasikas (the three nama-kkhandhas which are vedana-kkhandha, feeling, sanna-kkhandha, perception, and sankhara-kkhandha, the "formations") as distinct from citta (Visuddhimagga XIV, 144). Thus, there is calm of cetasikas and calm of citta.

We read in the Visuddhimagga (XIV, 144):

' ...But both tranquillity of that body and of consciousness have, together, the characteristic of quieting disturbance of that body and of consciousness. Their function is to crush disturbance of the (mental) body and of consciousness. They are manifested as inactivity and coolness of the (mental) body and of consciousness...'

The two cetasikas which are calm of "body" and calm of citta arise with each kusala citta, no matter whether one is performing dana (generosity), observing sila (morality), developing samatha or vipassana. Thus, also while we are generous or abstain from lying there is calm: at such moments there are no lobha, dosa or moha accompanying the citta. When there are moments of metta, lovingkindness, towards someone we meet, there is true calm. Metta is a subject of samatha, but it can and should be developed in daily life, when we are in the company of other people. We should not confuse metta with selfish affection, we should know that when there is pure lovingkindness we do not expect anything in return, we do not want anything for ourselves. When we hear the word samatha we may think that one has to develop it in quiet surroundings until jhana is attained. However, there can be moments of calm, samatha, in daily life if there is right understanding, panna, which knows when the citta is kusala citta and when akusala citta. We should not believe that this is easy. Those who have accumulations for jhana can develop calm to the degree of jhana, but only very few people are able to. We do not know whether there are at the present time people who are able to attain jhana. When jhana is attained defilements are temporarily eliminated.

There is calm when one develops vipassana. When one is aware of a characteristic of nama or rupa there is kusala citta which is accompanied by calm. Moreover, vipassana leads to the eradication of wrong view and the other defilements. The arahat has eradicated all latent tendencies of defilements and thus he has the highest degree of calm.

When the citta is not intent on dana, sila or bhavana, mental development, there is no calm, passaddhi. Concentration on breathing with the aim to become relaxed is not a way of kusala kamma, it is not samatha. There is then no passaddhi with the citta, even if one thinks that one is feeling calm. At such a moment there may not be dosa, but lobha and moha are bound to arise.

Right understanding of what is kusala and what is akusala will prevent us from taking for samatha what is not samatha. If one believes that one can develop calm to the degree of jhana, one should know about the many conditions which have to be fulfilled in order to attain it. If one understands how difficult it is to attain jhana one will not mislead oneself and believe that one has attained it when there is a sensation of sense-impressions being blotted out or other unusual experiences. The person who wants to develop samatha to the degree of jhana should lead a secluded life and he should not spend his time with various entertainments such as one enjoys while leading a worldly life. One should really see the disadvantages of sense-pleasures and one should have the intention to cultivate the conditions for being away from them. If the right conditions are not fulfilled there cannot even be access-concentration (upacara-samadhi) [3] nor can there be the attainment of jhana.

The Visuddhimagga (XII, 8) explains how difficult even the preliminary work is, and how difficult access-concentration and jhana are. We read about each stage:"One in a hundred or thousand can do it." If one leads a worldly life and is busy with one's daily tasks there are no favourable conditions for jhana. One cannot expect to attain jhana if one just for a little while every day concentrates on breathing. Moreover, it is not concentration which should be stressed but right understanding, panna. There must be right understanding of breath which is rupa, conditioned by citta. It appears at the nose-tip or upper-lip, but it is very subtle. We should remember that mindfulness of breathing is one of the most difficult subjects of meditation. We read in the Visuddhimagga (VIII, 211):

'...But this mindfulness of breathing is difficult, difficult to develop, a field in which only the minds of Buddhas, Pacceka Buddhas, and Buddhas' sons are at home. It is no trivial matter, nor can it be cultivated by trivial persons...'

Buddhas' sons were the great disciples who had accumulated excellent qualities and skill for jhana. Who can pretend to be among them?

Mindfulness of breathing is a meditation subject of samatha and it is also included in one of the Four Applications of Mindfulness, Satipatthana, under the section of Mindfulness of the Body. Thus, it can be applied in samatha and in vipassana. We have to study this subject very carefully in order to avoid misunderstandings. The Visuddhimagga (Chapter VIII, 145-146) quotes the sutta about mindfulness of breathing in the Kindred Sayings (V, Maha-vagga, Book X, Chapter I, § I). This sutta also occurs in other parts of the Tipitaka [4] . I will quote the sutta text and then refer to the word commentary of the Visuddhimagga, in order that this sutta will be more clearly understood. We should note that there is a division into four sections of four clauses each in this sutta which, in the Visuddhimagga, are marked from I-XVI. The sutta states:

It has been described by the Blessed One as having sixteen bases thus:

And how developed, bhikkhus, how practised much is concentration through mindfulness of breathing both peaceful and sublime, an unadulterated blissful abiding, banishing at once and stilling evil unprofitable thoughts as soon as they arise?

Here, bhikkhus, a bhikkhu, gone to the forest or to the root of a tree or to an empty place, sits down; having folded his legs crosswise, set his body erect, established mindfulness in front of him, ever mindful he breathes in, mindful he breathes out.

(I) Breathing in long, he knows "I breathe in long"; or breathing out long, he knows "I breathe out long". (II) Breathing in short, he knows "I breathe in short"; or breathing out short, he knows "I breathe out short". (III) He trains thus "I shall breathe in experiencing the whole body"; he trains thus "I shall breathe out experiencing the whole body". (IV) He trains thus "I shall breathe in tranquillizing the bodily activity"; he trains thus "I shall breathe out tranquillizing the bodily activity".

(V) He trains thus "I shall breathe in experiencing happiness"; he trains thus "I shall breathe out experiencing happiness". (VI) He trains thus "I shall breathe in experiencing bliss"; he trains thus "I shall breathe out experiencing bliss". (VII) He trains thus "I shall breathe in experiencing the mental formation"; he trains thus "I shall breathe out experiencing the mental formation". (VIII) He trains thus "I shall breathe in tranquillizing the mental formation"; he trains thus "I shall breathe out tranquillizing the mental formation".

(IX) He trains thus "I shall breathe in experiencing the (manner of) consciousness"; he trains thus "I shall breathe out experiencing the (manner of) consciousness". (X) He trains thus "I shall breathe in gladdening the (manner of) consciousness"; he trains thus "I shall breathe out gladdening the (manner of) consciousness". (XI) He trains thus "I shall breathe in concentrating the (manner of) consciousness"; he trains thus "I shall breathe out concentrating the (manner of) consciousness". (XII) He trains thus "I shall breathe in liberating the (manner of) consciousness"; he trains thus "I shall breathe out liberating the (manner of) consciousness".

(XIII) He trains thus "I shall breathe in contemplating impermanence"; he trains thus "I shall breathe out contemplating impermanence". (XIV) He trains thus "I shall breathe in contemplating fading away"; he trains thus "I shall breathe out contemplating fading away". (XV) He trains thus "I shall breathe in contemplating cessation"; he trains thus "I shall breathe out contemplating cessation". (XVI) He trains thus "I shall breathe in contemplating relinquishment"; he trains thus "I shall breathe out contemplating relinquishment".

The Visuddhimagga (VIII, 186) describes the procedure of someone who wants to develop mindfulness of breathing until he has attained the fourth jhana, and who then develops insight and through insight based on the fourth jhana attains arahatship. We should not misunderstand the words "insight based on the fourth jhana". It does not mean that he can forego the different stages of insight-knowledge, starting with the "defining of materiality-mentality" (nama-rupa pariccheda-nana), which is knowing the difference between the characteristic of nama and the characteristic of rupa. For example, when there is hearing there is sound as well, but their characteristics are different and they can only be known one at a time. Right understanding of the reality appearing at the present moment should be developed until there is no longer confusion as to the difference between the characteristics of nama and rupa. So long as this stage of insight has not been reached yet we are not sure whether the reality which appears at the present moment is nama or rupa.

Someone said that if one continues to concentrate on breathing the day will come when one realizes that this body is supported by mere breathing and that it perishes when breathing ceases. He said that in that way one fully realizes impermanence. However, the impermanence of conditioned realities will not be realized if the right cause has not been cultivated: awareness and understanding of different kinds of nama and rupa as they present themselves one at a time through the six doors.

Those who develop both jhana and vipassana should, after the jhanacitta has fallen away, be aware of nama and rupa, clearly know their different characteristics and develop all stages of insight (Visuddhimagga VIII, 223 and following). It depends on the accumulated wisdom whether the different stages of insight can be realized within a short time or whether they are developed very gradually during a long period of time.

In the word commentary to the above quoted sutta the Visuddhimagga (VIII, 223-226) mentions with regard to the first tetrad (group of four clauses, marked I-IV) of the sutta the different stages of insight-knowledge which are developed after emerging from jhana. We read:

'After he has thus reached the four noble paths in due succession and has become established in the fruition of arahatship, he at last attains to the nineteen kinds of "Reviewing Knowledge", and he becomes fit to receive the highest gifts from the world with its deities.'

It is evident that only those who had accumulated great wisdom could attain jhana with "mindfulness of breathing" as meditation subject, and then attain arahatship. This is beyond the capacity of ordinary people.

As regards the second tetrad (marked V-VIII), the Visuddhimagga (VIII, 226) comments:

'(V) He trains thus "I shall breathe in...shall breathe out experiencing happiness", that is, making happiness (piti, also translated as rapture) known, making it plain. Herein, the happiness is experienced in two ways: (a) with the object, and (b) with non-confusion.'

As regards "happiness experienced with the object", the Visuddhimagga (VIII, 227) explains:

'How is happiness experienced with the object? He attains the two jhanas in which happiness (piti) is present. [5] At the time when he has actually entered upon them the happiness is experienced with the object owing to the obtaining of the jhana, because of the experiencing of the object.'

After the jhanacitta has fallen away panna realizes the characteristic of piti as it is: only a kind of nama, which is impermanent and not self. We read:

'...How with non-confusion? When, after entering upon and emerging from one of the two jhanas accompanied by piti, he comprehends with insight that happiness associated with the jhana as liable to destruction and fall, then at the actual time of insight the happiness is experienced with non-confusion owing to the penetration of its characteristics (of impermanence, and so on).'

In a similar way the words of the second tetrad are explained: "(VI) I shall breathe in...breathe out experiencing bliss (sukha)..."

Sukha occurs in three stages of jhana (of the fourfold system); it does not arise in the highest stage of jhana where there is equanimity instead of sukha. Sukha accompanies the jhanacitta of the three stages of jhana and is, after the jhanacitta has fallen away, realized by panna as impermanent.

As regards the words in the third tetrad: "(X) I shall breathe in...breathe out gladdening the (manner of) consciousness", the Visuddhimagga (VIII, 231) states that there is gladdening in two ways, namely through concentration and through insight. We read:

'How through concentration? He attains the two jhanas in which happiness is present. At the time when he has actually entered upon them he inspires the mind with gladness, instils gladness into it, by means of the happiness associated with the jhana. How through insight? After entering upon and emerging from one of the two jhanas accompanied by happiness he comprehends with insight that happiness associated with the jhana as liable to destruction and to fall, thus at the actual time of insight he inspires the mind with gladness, instils gladness into it by making the happiness associated with jhana the object.'

As regards the clause: "(XII) I shall breathe in...breathe out liberating the (manner of) consciousness", the Visuddhimagga explains that this also must be understood as pertaining to jhana as well as to insight. In the first jhana one is liberated from the "hindrances", although they are not eradicated, and in each subsequent stage of jhana one is liberated from the jhana-factors, specific cetasikas which are developed in order to eliminate the hindrances. The jhana-factors are subsequently abandoned when one is no longer dependent on them and one is able to attain a higher and more subtle stage of jhana. After emerging from jhana the jhanacitta is comprehended with insight.

We read (Visuddhimagga VIII, 233):

'...at the actual time of insight he delivers, liberates the mind from the perception of permanence by means of the contemplation of impermanence, from the perception of pleasure by means of the contemplation of dukkha (suffering), from the perception of self by means of the contemplation of not self...'

As regards the words of the fourth tetrad, "(XIII) I shall breathe in...breathe out contemplating impermanence", the Visuddhimagga (VIII, 234) states:

' ...Impermanence is the rise and fall and change in those same khandhas, or it is their non-existence after having been; the meaning is, it is the break-up of produced khandhas through their momentary dissolution since they do not remain in the same mode. Contemplation of impermanence is contemplation of materiality, etc., as "impermanent" in virtue of that impermanence...'

Further on the Visuddhimagga (VIII, 237) states about the fourth tetrad,

'This tetrad deals only with pure insight while the previous three deal with serenity and insight.'

As regards the clause: "(XIV) I shall breathe in...breathe out contemplating fading away", the Visuddhimagga states that there are two kinds of fading away, namely: "fading away as destruction" which is the "momentary dissolution of formations" (conditioned realities) and "absolute fading away" which is nibbana. The text (Visuddhimagga VIII, 235) states:

'...Contemplation of fading away is insight and it is the path, which occur as the seeing of these two. It is when he possesses this twofold contemplation that it can be understood of him "He trains thus, I shall breathe in...shall breathe out contemplating fading away." '

The same method of explanation is applied to the clause "contemplating cessation". And with regard to the clause (XVI) "contemplating relinquishment", the Visuddhimagga states:

"relinquishment is of two kinds too, that is to say, relinquishment as giving up, and relinquishment as entering into."

"Giving up" is the giving up of defilements, and "entering into" is the entering into nibbana, the Visuddhimagga explains. Also this clause pertains to insight alone.

It is extremely difficult to develop jhana and we should not think that it will be easier to develop insight if one tries to develop jhana first. In the following sutta we read about "canker-destruction" depending on jhana. It is clearly explained in what sense we should understand this. We read in the Gradual Sayings (Book of the Nines, Chapter VI, § 5, Musing):

'Verily, monks, I say canker-destruction depends on the first jhana ("musing")...And wherefore is this said?

'Consider the monk who, aloof from sense-desires...enters and abides in the first jhana: whatever occurs there of rupa, feeling, perception, activities (sankhara) or consciousness, he sees wholly as impermanent phenomena, as ill, as a disease, a boil, a sting, a hurt, an affliction, as something alien, gimcrack, empty, not the self. He turns his mind away from such phenomena and, having done so, brings the mind towards the deathless element with the thought: "This is the peace, this the summit, just this: the stilling of all mind-activity, the renouncing of all (rebirth) basis, the destroying of craving, passionlessness, ending, the cool." And steadfast therein he wins to canker-destruction; if not...just by reason of that Dhamma zest, that Dhamma sweetness, he snaps the five lower fetters and is born spontaneously and, being not subject to return from that world, becomes completely cool there.'

The same is said with regard to the other stages of jhana. There can be no "canker-destruction", even for those who develop jhana, unless the five khandhas, the conditioned namas and rupas, are known as they are. Are there not five khandhas now, no matter what kind of citta arises, be it kusala citta or akusala citta? When something hard impinges on the bodysense, are there not five khandhas? Do we know already the difference between hardness and the nama which experiences hardness? Hardness could not appear if there were no nama which experiences it. It is not self who experiences it. Do we know the characteristic of painful feeling when it appears and the characteristic of aversion towards the pain? Different realities appear one at a time and when there is mindfulness they can be known as they are. Later on they can be realized as impermanent and not self. We should not forget that each moment of right understanding now eventually leads to "the destroying of craving, passionlessness, ending, the cool." It leads to "canker-destruction".


With metta

Nina van Gorkom




[3] At the moment of access-concentration the citta is not yet jhana-citta, but the hindrances are temporarily suppressed.
[4] See the Maha-satipatthana sutta (Digha Nikaya, Dialogues 11, no. 22).
[5] Rupa-jhanas can be counted as four stages or as five stages. In the first and second stage of jhana of the "fourfold system" and in the third second and third stage of the "five-fold system" piti arises. It is abondoned in the higher stages of jhana.

 Glossary

December 2004