Chapter V:

The purification of conduct established by the prior three factors serves as the basis for the next division of the path, the division of concentration (samadhikkhandha). This present phase of practice, which advances from moral restraint to direct mental training, comprises the three factors of right effort, right mindfulness, and right concentration. It gains its name from the goal to which it aspires, the power of sustained concentration, itself required as the support for insight-wisdom. Wisdom is the primary tool for deliverance, but the penetrating vision it yields can only open up when the mind has been composed and collected. Right concentration brings the requisite stillness to the mind by unifying it with undistracted focus on a suitable object. To do so, however, the factor of concentration needs the aid of effort and mindfulness. Right effort provides the energy demanded by the task, right mindfulness the steadying points for awareness.

The commentators illustrate the interdependence of the three factors within the concentration group with a simple simile. Three boys go to a park to play. While walking along they see a tree with flowering tops and decide they want to gather the flowers. But the flowers are beyond the reach even of the tallest boy. Then one friend bends down and offers his back. The tall boy climbs up, but still hesitates to reach for the flowers from fear of falling. So the third boy comes over and offers his shoulder for support. The first boy, standing on the back of the second boy, then leans on the shoulder of the third boy, reaches up, and gathers the flowers.¹

In this simile the tall boy who picks the flowers represents concentration with its function of unifying the mind. But to unify the mind concentration needs support: the energy provided by right effort, which is like the boy who offers his back. It also requires the stabilizing awareness provided by mindfulness, which is like the boy who offers his shoulder. When right concentration receives this support, then empowered by right effort and balanced by right mindfulness it can draw in the scattered strands of thought and fix the mind firmly on its object.

Energy (viriya), the mental factor behind right effort, can appear in either wholesome or unwholesome forms. The same factor fuels desire, aggression, violence, and ambition on the one hand, and generosity, self-discipline, kindness, concentration, and understanding on the other. The exertion involved in right effort is a wholesome form of energy, but it is something more specific, namely, the energy in wholesome states of consciousness directed to liberation from suffering. This last qualifying phrase is especially important. For wholesome energy to become a contributor to the path it has to be guided by right view and right intention, and to work in association with the other path factors. Otherwise, as the energy in ordinary wholesome states of mind, it merely engenders an accumulation of merit that ripens within the round of birth and death; it does not issue in liberation from the round.

Time and again the Buddha has stressed the need for effort, for diligence, exertion, and unflagging perseverance. The reason why effort is so crucial is that each person has to work out his or her own deliverance. The Buddha does what he can by pointing out the path to liberation; the rest involves putting the path into practice, a task that demands energy. This energy is to be applied to the cultivation of the mind, which forms the focus of the entire path. The starting point is the defiled mind, afflicted and deluded; the goal is the liberated mind, purified and illuminated by wisdom. What comes in between is the unremitting effort to transform the defiled mind into the liberated mind. The work of self-cultivation is not easy -- there is no one who can do it for us but ourselves -- but it is not impossible. The Buddha himself and his accomplished disciples provide the living proof that the task is not beyond our reach. They assure us, too, that anyone who follows the path can accomplish the same goal. But what is needed is effort, the work of practice taken up with the determination: "I shall not give up my efforts until I have attained whatever is attainable by manly perseverance, energy, and endeavour."²

The nature of the mental process effects a division of right effort into four "great endeavours":

1. to prevent the arising of unarisen unwholesome states;
2. to abandon unwholesome states that have already arisen;
3. to arouse wholesome states that have not yet arisen;
4. to maintain and perfect wholesome states already arisen.

The unwholesome states (akusala dhamma) are the defilements, and the thoughts, emotions, and intentions derived from them, whether breaking forth into action or remaining confined within. The wholesome states (kusala dhamma) are states of mind untainted by defilements, especially those conducing to deliverance. Each of the two kinds of mental states imposes a double task. The unwholesome side requires that the defilements lying dormant be prevented from erupting and that the active defilements already present be expelled. The wholesome side requires that the undeveloped liberating factors first be brought into being, then persistently developed to the point of full maturity. Now we will examine each of these four divisions of right effort, giving special attention to their most fertile field of application, the cultivation of the mind through meditation.

1. To prevent the arising of unarisen unwholesome states

   Herein the disciple rouses his will to avoid the arising of evil, unwholesome states that have not yet arisen; and he makes effort, stirs up his energy, exerts his mind and strives.³

   The first side of right effort aims at overcoming unwholesome states, states of mind tainted by defilements. Insofar as they impede concentration the defilements are usually presented in a fivefold set called the "five hindrances" (pancanivarana): sensual desire, ill will, dullness and drowsiness, restlessness and worry, and doubt.⁴ They receive the name "hindrances" because they block the path to liberation; they grow up and over the mind preventing calm and insight, the primary instruments for progress. The first two hindrances, sensual desire and ill will, are the strongest of the set, the most formidable barriers to meditative growth, representing, respectively, the unwholesome roots of greed and aversion. The other three hindrances, less toxic but still obstructive, are offshoots of delusion, usually in association with other defilements.

   Sensual desire is interpreted in two ways. Sometimes it is understood in a narrow sense as lust for the "five strands of sense pleasure," i.e. agreeable sights, sounds, smells, tastes, and touches; sometimes a broader interpretation is given, by which the term becomes inclusive of craving in all its modes, whether for sense pleasures, wealth, power, position, fame, or anything else it can settle upon. The second hindrance, ill will, is a synonym for aversion. It comprises hatred, anger, resentment, repulsion of every shade, whether directed towards other people, towards oneself, towards objects, or towards situations. The third hindrance, dullness and drowsiness, is a compound of two factors linked together by their common feature of mental unwieldiness. One is dullness (thina), manifest as mental inertia; the other is drowsiness (middha), seen in mental sinking, heaviness of mind, or excessive inclination to sleep. At the opposite extreme is the fourth hindrance, restlessness and worry. This too is a compound with its two members linked by their common feature of disquietude. Restlessness (uddhacca) is agitation or excitement, which drives the mind from thought to thought with speed and frenzy; worry (kukkucca) is remorse over past mistakes and anxiety about their possible undesired consequences. The fifth hindrance, doubt, signifies a chronic indecisiveness and lack of resolution: not the probing of critical intelligence, an attitude encouraged by the Buddha, but a persistent inability to commit oneself to the course of spiritual training due to lingering doubts concerning the Buddha, his doctrine, and his path.

   The first effort to be made regarding the hindrances is the effort to prevent the unarisen hindrances from arising; this is also called the endeavour to restrain (samvarappadhana). The effort to hold the hindrances in check is imperative both at the start of meditative training and throughout the course of its development. For when the hindrances arise, they disperse attention and darken the quality of awareness, to the detriment of calm and clarity. The hindrances do not come from outside the mind but from within. They appear through the activation of certain tendencies constantly lying dormant in the deep recesses of the mental continuum, awaiting the opportunity to surface.

   Generally what sparks the hindrances into activity is the input afforded by sense experience. The physical organism is equipped with five sense faculties each receptive to its own specific kind of data -- the eye to forms, the ear to sounds, the nose to smells, the tongue to tastes, the body to tangibles. Sense objects continuously impinge on the senses, which relay the information they receive to the mind, where it is processed, evaluated, and accorded an appropriate response. But the mind can deal with the impressions it receives in different ways, governed in the first place by the manner in which it attends to them. When the mind adverts to the incoming data carelessly, with unwise consideration (ayoniso manasikara), the sense objects tend to stir up unwholesome states. They do this either directly, through their immediate impact, or else indirectly by depositing memory traces which later may swell up as the objects of defiled thoughts, images, and fantasies. As a general rule the defilement that is activated corresponds to the object: attractive objects provoke desire, disagreeable objects provoke ill will, and indeterminate objects provoke the defilements connected with delusion.

   Since an uncontrolled response to the sensory input stimulates the latent defilements, what is evidently needed to prevent them from arising is control over the senses. Thus the Buddha teaches, as the discipline for keeping the hindrances in check, an exercise called the restraint of the sense faculties (indriya-samvara):

   When he perceives a form with the eye, a sound with the ear, an odour with the nose, a taste with the tongue, an impression with the body, or an object with the mind, he apprehends neither the sign nor the particulars. And he strives to ward off that through which evil and unwholesome states, greed and sorrow, would arise, if he remained with unguarded senses; and he watches over his senses, restrains his senses.⁵

   Restraint of the senses does not mean denial of the senses, retreating into a total withdrawal from the sensory world. This is impossible, and even if it could be achieved, the real problem would still not be solved; for the defilements lie in the mind, not in the sense organs or objects. The key to sense control is indicated by the phrase "not apprehending the sign or the particulars." The "sign" (nimitta) is the object's general appearance insofar as this appearance is grasped as the basis for defiled thoughts; the "particulars" (anubyanjana) are its less conspicuous features. If sense control is lacking, the mind roams recklessly over the sense fields. First it grasps the sign, which sets the defilements into motion, then it explores the particulars, which permits them to multiply and thrive.

   To restrain the senses requires that mindfulness and clear understanding be applied to the encounter with the sense fields. Sense consciousness occurs in a series, as a sequence of momentary cognitive acts each having its own special task. The initial stages in the series occur as automatic functions: first the mind adverts to the object, then apprehends it, then admits the percept, examines it, and identifies it. Immediately following the identification a space opens up in which there occurs a free evaluation of the object leading to the choice of a response. When mindfulness is absent the latent defilements, pushing for an opportunity to emerge, will motivate a wrong consideration. One will grasp the sign of the object, explore its details, and thereby give the defilements their opportunity: on account of greed one will become fascinated by an agreeable object, on account of aversion one will be repelled by a disagreeable object. But when one applies mindfulness to the sensory encounter, one nips the cognitive process in the bud before it can evolve into the stages that stimulate the dormant taints. Mindfulness holds the hindrances in check by keeping the mind at the level of what is sensed. It rivets awareness on the given, preventing the mind from embellishing the datum with ideas born of greed, aversion, and delusion. Then, with this lucent awareness as a guide, the mind can proceed to comprehend the object as it is, without being led astray.

2. To abandon the arisen unwholesome states

   Herein the disciple rouses his will to overcome the evil, unwholesome states that have already arisen and he makes effort, stirs up his energy, exerts his mind and strives.⁶

   Despite the effort at sense control the defilements may still surface. They swell up from the depths of the mental continuum, from the buried strata of past accumulations, to congeal into unwholesome thoughts and emotions. When this happens a new kind of effort becomes necessary, the effort to abandon arisen unwholesome states, called for short the endeavour to abandon (pahanappadhana):

   He does not retain any thought of sensual lust, ill will, or harmfulness, or any other evil and unwholesome states that may have arisen; he abandons them, dispels them, destroys them, causes them to disappear.⁷

   Just as a skilled physician has different medicines for different ailments, so the Buddha has different antidotes for the different hindrances, some equally applicable to all, some geared to a particular hindrance. In an important discourse the Buddha explains five techniques for expelling distracting thoughts.⁸ The first is to expel the defiled thought with a wholesome thought which is its exact opposite, analogous to the way a carpenter might use a new peg to drive out an old one. For each of the five hindrances there is a specific remedy, a line of meditation designed expressly to deflate it and destroy it. This remedy can be applied intermittently, when a hindrance springs up and disrupts meditation on the primary subject; or it can be taken as a primary subject itself, used to counter a defilement repeatedly seen to be a persistent obstacle to one's practice. But for the antidote to become effective in the first role, as a temporary expedient required by the upsurge of a hindrance, it is best to gain some familiarity with it by making it a primary object, at least for short periods.

   For desire a remedy of general application is the meditation on impermanence, which knocks away the underlying prop of clinging, the implicit assumption that the objects clung to are stable and durable. For desire in the specific form of sensual lust the most potent antidote is the contemplation of the unattractive nature of the body, to be dealt with at greater length in the next chapter. Ill will meets its proper remedy in the meditation on lovingkindness (metta), which banishes all traces of hatred and anger through the methodical radiation of the altruistic wish that all beings be well and happy. The dispelling of dullness and drowsiness calls for a special effort to arouse energy, for which several methods are suggested: the visualization of a brilliant ball of light, getting up and doing a period of brisk walking meditation, reflection on death, or simply making a firm determination to continue striving. Restlessness and worry are most effectively countered by turning the mind to a simple object that tends to calm it down; the method usually recommended is mindfulness of breathing, attention to the in-and-out flow of the breath. In the case of doubt the special remedy is investigation: to make inquiries, ask questions, and study the teachings until the obscure points become clear.⁹

   Whereas this first of the five methods for expelling the hindrances involves a one-to-one alignment between a hindrance and its remedy, the other four utilize general approaches. The second marshals the forces of shame (hiri) and moral dread (ottappa) to abandon the unwanted thought: one reflects on the thought as vile and ignoble or considers its undesirable consequences until an inner revulsion sets in which drives the thought away. The third method involves a deliberate diversion of attention. When an unwholesome thought arises and clamours to be noticed, instead of indulging it one simply shuts it out by redirecting one's attention elsewhere, as if closing one's eyes or looking away to avoid an unpleasant sight. The fourth method uses the opposite approach. Instead of turning away from the unwanted thought, one confronts it directly as an object, scrutinizes its features, and investigates its source. When this is done the thought quiets down and eventually disappears. For an unwholesome thought is like a thief: it only creates trouble when its operation is concealed, but put under observation it becomes tame. The fifth method, to be used only as a last resort, is suppression -- vigorously restraining the unwholesome thought with the power of the will in the way a strong man might throw a weaker man to the ground and keep him pinned there with his weight.

   By applying these five methods with skill and discretion, the Buddha says, one becomes a master of all the pathways of thought. One is no longer the subject of the mind but its master. Whatever thought one wants to think, that one will think. Whatever thought one does not want to think, that one will not think. Even if unwholesome thoughts occasionally arise, one can dispel them immediately, just as quickly as a red-hot pan will turn to steam a few chance drops of water.

3. To arouse unarisen wholesome states

   Herein the disciple rouses his will to arouse wholesome states that have not yet arisen; and he makes effort, stirs up his energy, exerts his mind and strives.¹⁰

   Simultaneously with the removal of defilements, right effort also imposes the task of cultivating wholesome states of mind. This involves two divisions: the arousing of wholesome states not yet arisen and the maturation of wholesome states already arisen.

   The first of the two divisions is also known as the endeavour to develop (bhavanappadhana). Though the wholesome states to be developed can be grouped in various ways -- serenity and insight, the four foundations of mindfulness, the eight factors of the path, etc. -- the Buddha lays special stress on a set called the seven factors of enlightenment (satta bojjhanga): mindfulness, investigation of phenomena, energy, rapture, tranquillity, concentration, and equanimity.

   Thus he develops the factors of enlightenment, based on solitude, on detachment, on cessation, and ending in deliverance, namely: the enlightenment factors of mindfulness, investigation of phenomena, energy, rapture, tranquillity, concentration, and equanimity.¹¹

   The seven states are grouped together as "enlightenment factors" both because they lead to enlightenment and because they constitute enlightenment. In the preliminary stages of the path they prepare the way for the great realization; in the end they remain as its components. The experience of enlightenment, perfect and complete understanding, is just these seven components working in unison to break all shackles and bring final release from sorrow.

   The way to enlightenment starts with mindfulness. Mindfulness clears the ground for insight into the nature of things by bringing to light phenomena in the now, the present moment, stripped of all subjective commentary, interpretations, and projections. Then, when mindfulness has brought the bare phenomena into focus, the factor of investigation steps in to search out their characteristics, conditions, and consequences. Whereas mindfulness is basically receptive, investigation is an active factor which unflinchingly probes, analyzes, and dissects phenomena to uncover their fundamental structures.

   The work of investigation requires energy, the third factor of enlightenment, which mounts in three stages. The first, inceptive energy, shakes off lethargy and arouses initial enthusiasm. As the work of contemplation advances, energy gathers momentum and enters the second stage, perseverance, wherein it propels the practice without slackening. Finally, at the peak, energy reaches the third stage, invincibility, where it drives contemplation forward leaving the hindrances powerless to stop it.

   As energy increases, the fourth factor of enlightenment is quickened. This is rapture, a pleasurable interest in the object. Rapture gradually builds up, ascending to ecstatic heights: waves of bliss run through the body, the mind glows with joy, fervour and confidence intensify. But these experiences, as encouraging as they are, still contain a flaw: they create an excitation verging on restlessness. With further practice, however, rapture subsides and a tone of quietness sets in signalling the rise of the fifth factor, tranquillity. Rapture remains present, but it is now subdued, and the work of contemplation proceeds with self-possessed serenity.

   Tranquillity brings to ripeness concentration, the sixth factor, one-pointed unification of mind. Then, with the deepening of concentration, the last enlightenment factor comes into dominance. This is equanimity, inward poise and balance free from the two defects of excitement and inertia. When inertia prevails, energy must be aroused; when excitement prevails, it is necessary to exercise restraint. But when both defects have been vanquished the practice can unfold evenly without need for concern. The mind of equanimity is compared to the driver of a chariot when the horses are moving at a steady pace: he neither has to urge them forward nor to hold them back, but can just sit comfortably and watch the scenery go by. Equanimity has the same "on-looking" quality. When the other factors are balanced the mind remains poised watching the play of phenomena.

4. To maintain arisen wholesome states

   Herein the disciple rouses his will to maintain the wholesome things that have already arisen, and not to allow them to disappear, but to bring them to growth, to maturity, and to the full perfection of development; and he makes effort, stirs up his energy, exerts his mind and strives.¹²

   This last of the four right efforts aims at maintaining the arisen wholesome factors and bringing them to maturity. Called the "endeavour to maintain" (anurakkhanappadhana), it is explained as the effort to "keep firmly in the mind a favourable object of concentration that has arisen."¹³ The work of guarding the object causes the seven enlightenment factors to gain stability and gradually increase in strength until they issue in the liberating realization. This marks the culmination of right effort, the goal in which the countless individual acts of exertion finally reach fulfilment.

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   Notes

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   1. Papancasudani (Commentary to Majjhima Nikaya).
   2. MN 70; Word of the Buddha, pp. 59-60.
   3. AN 4:13; Word of the Buddha, p. 57.
   4. Kamacchanda, byapada, thina-middha, uddhacca-kukkucca, vicikiccha.
   5. AN 4:14; Word of the Buddha, p. 57.
   6. AN 4:13; Word of the Buddha, p. 58.
   7. AN 4:14; Word of the Buddha, p. 58.
   8. MN 20; Word of the Buddha, p. 58.
   9. For a full treatment of the methods for dealing with the hindrances individually, consult the commentary to the Satipatthana Sutta (DN 22, MN 10). A translation of the relevant passages, with further extracts from the subcommentary, can be found in Soma Thera, The Way of Mindfulness, pp. 116-26.
   10. AN 4:13; Word of the Buddha, pp. 58-59.
   11. AN 4:14; Word of the Buddha, p.59. The Pali names for the seven are: satisambojjhanga, dhammavicayasambojjhanga, viriyasambojjhanga, pitisambojjhanga, passaddhisambojjhanga, samadhisambojjhanga, upekkhasambojjhanga.
   12. AN 4:13; Word of the Buddha, p. 59.
   13. AN 4:14; Word of the Buddha, p. 59.