Meditation in Theory and Practice
HOW THE MIND SETTLES
First Floor - Small Vehicle • Module 9
Video 1: Meditation Theory Overview
Video 2: Theory of Śhamatha
Estimated time to complete: 1:45 minutes
From Ethics to Meditation
The previous module closed with an observation worth repeating: ethical conduct requires mindfulness—but developing mindfulness requires meditation. And meditation, in turn, requires a mind that isn’t being constantly agitated by unethical behavior weighing down the conscience. Having understood why we need to stop stirring the muddy water of our mind, we now investigate the Buddhist way to let it settle through the second training: meditation itself.
How does meditation calm our minds? What are the stages of calming the mind? Where can we get sidetracked, and how can we get back on track?
Although all meditation techniques contain both a śhamatha (calmness) aspect and a vipaśhyanā (insight) aspect, this module will primarily sketch out the classical explanation of the śhamatha side—the calming or stabilizing aspect of meditation—and a later module will focus on the investigative vipaśhyanā side, so that the two aspects can eventually be practiced together in union.
One practical note: Students who until now have been regularly practicing the meditation—on the breath and on the four applications of mindfulness—may already have some direct experience to see how both aspects work together. But if you have not been practicing at all, we strongly encourage at least trying the guided meditations because, even though the theory may make some sense on its own, it only gets clear when you check it against your own experience.
What to watch for: The distinction between dual and non-dual perspectives on meditation—and the fact that this module takes the dual (Small Vehicle) approach first. The systematic explanation of the non-dual perspective will come later when we reach the Great Vehicle floor.
Video 1: Meditation Theory Overview
Duration: 5 minutes
A Note on Terminology
One of the genuine challenges of studying Buddhist meditation theory is that the same English word—“meditation”—sometimes gets used to translate several different Sanskrit terms, each with a distinct meaning. In some places, you can find śhamatha called “meditation,” samādhi called “meditation,” dhyāna called “meditation,” and bhāvanā called “meditation”—and in other places, you can find them all translated differently. The result is that reading different authors, or even looking things up online, can make it hard to know when different writers are discussing different things or the same things. Recognizing the original Sanskrit terms—and learning the way they relate to one another—lets you see through these translation differences so you can easily put together the pieces of Buddhist meditation theory and apply it in practice. So before we even talk about the main attraction here—the meditation theory itself—we need to speak briefly about meditation terminology.
Note: The chart below is not exhaustive but lists the key terms used throughout this curriculum. The first column gives the Sanskrit, the second gives the translations we use here, and the third lists alternatives you may encounter elsewhere. (We have identified some terminology used by Alan Wallace and John Dunne, only because their writings on certain topics will be recommended later in the course.)
Meditation Terms — Translation Reference
| Sanskrit | This Curriculum | Wallace / Dunne / Others |
|---|---|---|
| śamatha | Calmness | Quiescence (Wallace), Calm Abiding, Tranquility |
| vipaśyanā | Liberating Insight | Insight (Wallace / Dunne), Clear Seeing, Special Insight |
| smṛti | Mindfulness | Mindfulness (Wallace), Retention (Dunne, technical) |
| samprajanya | Awareness / Clear Comprehension / Meta-cognitive awareness | Introspection (Wallace), Meta-awareness (Dunne) |
| praśrabdhi | Flexibility / Adaptability | Pliancy (Wallace), Suppleness, Relaxation |
| samādhi | Meditative Concentration | Concentration (Wallace), Meditative Stabilization |
| dhyāna | Subtle Form Meditations | Meditative Stabilizations (Wallace), Absorptions, Jhānas (Pāli) |
| samāpatti | Formless States | Formless Attainments (Wallace), Formless Absorptions |
| pṛṣṭhalabdha | Post-meditation Practice | Subsequent Attainment (Wallace), Post-equipoise |
| bhāvanā | Cultivation / Practice | Meditation (Wallace), Familiarization (Tib. gom) |
* Note that we spell the terms śamatha and vipaśyanā in the chart according to the normal Sanskrit diacritical spellings, but spell them śhamatha and vipaśhyanā in the prose to make it easier to pronounce them correctly.
We will briefly comment here on a few of these translation choices so you can start to distinguish them. But please be patient: the terminology will probably not make much sense until the end of the Small Vehicle floor where we first explain and then put together all the different pieces of the meditation theory.
First, the word śhamatha refers to the state of calmness achieved through various meditation techniques that help the mind settle. To differentiate three common usages of the term śhamatha, we use the term “śhamatha meditation” to refer to the techniques leading to calmness, the term “śhamatha aspect” to refer to the stabilizing aspect of the techniques, and “calmness” to refer to the result of those techniques.
Second, the word vipaśhyanā refers to the meditative “insight” that liberates us from suffering. To differentiate three common usages of the term vipaśhyanā, we use the term “vipaśhyanā meditation” to refer to the techniques leading to that liberating insight, the term “vipaśhyanā aspect” to refer to the investigative aspect of the techniques, and “liberating insight” to refer to the result of those techniques.
The next few terms—mindfulness (smṛti), awareness (samprajanya), and flexibility (praśrabdhi)—refer to qualities cultivated through śhamatha meditation in support of vipaśhyanā meditation.
The word samādhi—meditative concentration—does not mean everyday focus or concentration. It refers specifically to the sustained, single-pointed concentration that develops through śhamatha meditation practice. It is achieved when the mind becomes fully able to focus on its chosen meditation object. This meditative concentration is typically associated with formal, seated meditation—what we might call the more passive “in-meditation” practice, in contrast to the more active “post-meditation” practice in daily life.
The progression from samādhi to dhyāna to samāpatti describes increasingly subtle states of śhamatha meditation. In the traditional Buddhist framework, once meditative concentration is established, practitioners can enter the four subtle form meditations (dhyāna)—progressively refined absorptions in which discursive thought, joy, and even pleasure fall away. Beyond these lie the four formless states (samāpatti), where even the subtlest formations of ordinary experience are transcended. These will be discussed in more detail later; for now, just note that they form a continuum of deepening concentration.
The term bhāvanā—cultivation or practice—is broader than what most people mean by “meditation.” It refers to what Buddhists are doing in the formal seated practice of meditation and in active post-meditation practice (pṛṣṭhalabdha) in daily life—progressively cultivating wisdom.
Note: This and other reference charts—including the five faults and eight antidotes covered later in this module—are available as downloadable PDFs for easy access throughout the curriculum.
What Śhamatha Is (and Isn’t)
From the terminological distinctions above, we may be able to see that Buddhist meditation theory has many moving parts. It does not just involve talking about one technique, but also the way that technique changes at different stages and ultimately leads to the goal. Since this module focuses only on the calming aspect of meditation, it will not become entirely clear how the “calmness” developed through śhamatha meditation is only a stepping stone toward insight, not a permanent end in itself—like the temporary calmness of all the mud settling at the bottom of our water glass that is instantly disrupted by stirring the mud with a spoon.
In Buddhist practice, śhamatha meditation only creates conditions temporarily helpful for vipaśhyanā meditation to investigate the nature of our minds’ muddy water. So the traditional theory of śhamatha meditation describes the way to achieve calmness only as a necessary but not sufficient condition for gaining liberating insight. Later, we discuss vipaśhyanā meditation, which uses this calm, focused mind to investigate what suffering actually is and dissolve its root.
What to watch for: The crucial role of motivation—where you think the practice is going affects how far it takes you. The role of contentment as a prerequisite for intensive practice. The four meditative objects. The five faults and their eight antidotes. Note: The lecture mentions assigned readings on the nine stages of śhamatha practice. But we will discuss these directly below rather than read about them.
Video 2: Theory of Śhamatha
Duration: 55 minutes
The Nine Stages of Attentiveness
The video lecture references nine stages of śhamatha practice—a traditional framework describing the progression from a completely distracted mind to stable, effortless concentration through dedicated practice of śhamatha meditation. We will walk through these stages one by one just to give an idea of what the gradual process is supposed to be like because it is extremely helpful for meditators to know how far they have gotten in the practice and how to go farther. No need to learn all the details discussed below. Just get an overview of how the śhamatha practice unfolds so that you can refer back here later with questions.
One important note: liberating insight (vipaśyanā) can be cultivated from the very beginning of practice, but according to the tradition it will not begin to truly fathom the profound until around the fourth stage.
Stages 1–3: Learning to Attend
In the first stage, paying inward attention (adhyātmaṃ sthāpana), we follow the instructions, intentionally cease letting our attention wander externally, and turn inward over and over to focus on a given meditation object, such as the breath. But our attention does not stay long on the object.
In the second stage, paying continuous attention (saṃsthāpana), thinking regularly about the practice, we develop the ability to focus on the meditation object continuously—perhaps for up to a minute at a time. But most of the time, our attention is still not focused on the object.
In the third stage, paying repeated attention (avasthāpana), as mindfulness strengthens, we start to notice more quickly when we’ve become distracted and repeatedly refocus on the meditation object for short periods of time. But we still frequently lose complete track of it.
During these early stages, effort is high and stability is low. The tradition describes the flow of involuntary thought here as being like a waterfall cascading down a cliff—constant, powerful, seemingly unstoppable. It can feel like the mind is more agitated than before we started meditating, but this is an illusion. The mind was always this busy; we’re just noticing it for the first time.
Stages 4–6: Developing Strength
In the fourth stage, paying close attention (upasthāpana), as mindfulness strengthens further, we develop the ability to pay subtle attention to the meditation object without completely losing track of it. Gross distraction—being entirely carried away by a train of thought—diminishes significantly. This is the stage where mental focus allows us to investigate more deeply.
In the fifth stage, paying relaxed attention (damana), as we monitor carefully with clearer comprehension, we become relaxed and begin to enjoy the pleasant experience of being so focused. But we are still not free of impediments to our focus. Although our gross distractions subside, our dullness—a kind of mental fog where we’re technically present but not sharp—emerges here as the central obstacle to work on.
In the sixth stage, paying calm attention (śamana), as we monitor carefully with complete comprehension, we reach a state of calm in which you can see when our mind excitedly distracts itself to escape existential dis-ease. This is a significant recognition—we see how the mind’s restlessness is not random but motivated by something specific. But we are still subject to subtle mental dullness.
Unlike the waterfall of the prior three stages, the flow of involuntary thought in these three stages begins like a river moving through a gorge and gradually slows to be like a river flowing through a valley because our meta-cognitive awareness—the background awareness that monitors what we’re doing without disrupting our focus—becomes more effortless as our existential restlessness begins to calm down.
Stages 7–9: Natural Stability
In the seventh stage, paying utterly calm attention (vyupaśamana), as we let go of restlessness and develop further enthusiasm to practice, we reach a calmer state beyond the anxiety, depression, dullness, and drowsiness. At this stage, we may temporarily feel worse before we feel better because, as superficial agitation subsides, deeper subconscious agitations come to the surface. But we are still not totally focused on the meditation object.
In the eighth stage, paying single-pointed attention (ekotīkaraṇa), as we develop complete enthusiasm, we become totally focused on the meditation object. But we must still apply effort to avoid mental excitation or dullness. It takes us some initial exertion to set the practice in motion, but once we establish it, our concentration now holds steady throughout an entire session.
In the ninth stage, focused attention (samādhāna—placing evenly), totally proficient through repeated practice, we come to have perfectly and deeply focused attention that naturally and effortlessly remains on any chosen meditation object for a long period of time. But whenever we emerge from meditation, we are still subject to karmic disturbances and latent emotional infections. The ninth stage is not the experience of cessation, liberation, or awakening. It is simply a stepping stone toward these.
The flow of involuntary thought at these final stages is like a river merging into the ocean—all turbulence settles, all murkiness stills, and at the ninth stage the mind becomes utterly calm, like the ocean itself unmoved by waves.
After this ninth stage, we develop the resulting state of calmness—known as śhamatha itself. It is marked by a flexibility (praśrabdhi) in which both the physical and mental aspects of dullness and agitation completely disappear. At this point, the mind and body become fully serviceable—you can direct your attention wherever you choose, sustain it for as long as you choose, and apply it to whatever investigation you choose. The mind has become a precision instrument. The precise research questions we investigate with this sharp and focused mind is the subject of the four stages of vipaśhyanā—which we will discuss in a later module.
For those interested in knowing more about each of the nine stages, see Alan Wallace’s The Attention Revolution which is a detailed, book-length treatment of them.
Beyond the Nine Stages
Buddhist meditation theory describes even subtler states of concentration beyond the nine stages—the four dhyānas and four formless absorptions introduced in the terminology section above. Students who recall the three realms from the module on the Second Noble Truth will recognize this framework: these meditative states correspond to the realms of existence in which beings take birth according to their level of concentration. The practical goal of śhamatha in this curriculum is not to reach these advanced absorptions, but to develop enough stability for vipaśhyanā investigation to begin.
Access Concentration — How Much Is Enough?
After hearing about nine stages and advanced absorptions, it’s worth underscoring the most practically reassuring point in the lecture: you do not need to reach the ninth stage—or anything close to it—before investigation can begin. Access concentration simply means enough stability that your mind can stay with an object without being entirely carried away. If you’re counting breaths and small thoughts swim around between three and four but you’re back by four—that’s enough. The microscope is focused enough to see something on the slide.
From Śhamatha Toward Vipaśhyanā
Śhamatha meditation teaches us to focus the microscope and calmly look through it. Vipaśhyanā meditation teaches us to formulate proper research questions, observe carefully, and investigate what we see through the microscope. Whenever we focus on any meditative object, such as the four applications of mindfulness—body, feelings, mind, and phenomena—or simply the breath, we naturally begin to develop curiosity about what we are seeing and cannot help but investigate it. This curiosity is the starting point of vipaśhyanā meditation, which harnesses it and directs it toward specific research questions that explore the very ground of our experience. Does this experience last? Is it the same moment to moment? Is there subtle dissatisfaction here? This vipaśhyanā aspect of meditation may already be occurring in our meditation. But until we clarify its role and its target, it is difficult to see how precisely it leads to the liberating insight that is supposed to end all suffering.
In the Small Vehicle approach, śhamatha and vipaśhyanā are often introduced sequentially: develop some calming first, then bring in the investigation. In the Great Vehicle approach—which we’ll encounter later—they’re taught together from the beginning. If you’d like to revisit the initial instructions for how the two aspects combine, they can be found in the first Foundation module. The subsequent vipaśhyanā module will present insight meditation more systematically, so that the two aspects can be practiced together with increasing precision.
In the first instructions for śhamatha on the breath, we introduced only the method of counting the breath. This guided meditation walks us through all six progressively subtler ways of attending to the breath: counting, following, touching, noticing qualities, attending to subtlety, and resting in the gaps between breaths. Each technique builds on the previous one—and each corresponds, roughly, to what the nine stages describe from the inside. By introducing all six in a short video, we’re hoping to give just the slightest taste of what some of the nine stages may actually feel like. Obviously, the meditation moves through these six different techniques faster than we would on our own. So please feel free to pause the video between sections to spend more time with any technique you like. Or, try to repeat the entire meditation focusing on just one or two sections at a time.
What to watch for: Which techniques feel easy and which feel harder? What is the quality of our focused attention when being mindful of the breath in different ways? And especially what happens in the gaps—when the breath has left and the body is still? Where is the mind during the gap?
Video 4: Guided Meditation – Śhamatha on the Breath: Part 2
Duration: 23 minutes
A few Insights:
Many people come to this material expecting meditation to be about achieving a special state—deep calm, blissful peace, mystical emptiness. The descriptions of advanced concentration can inadvertently reinforce this expectation or else can make meditation seem too complex. But the most important thing to take away from this module may be the idea of access concentration: we need far less calming than you might think before investigation can begin. If we are just curious about the nature of our experience, we can find greater mental and emotional freedom through self-reflecting right from the start.
Generally, when people learn to meditate, they are simply told to count their breaths and let go of counting at some point. Even if they know that this is just the initial instruction for śhamatha meditation, they often never end up getting any further śhamatha instructions—not to mention any vipaśhyanā meditation instructions. So even though we may not be able to relate right away to the six progressive ways of attending to the breath, having an overview like this seems helpful for getting an intuitive sense of where śhamatha meditation can go. When I first tried to practice these six, I experienced different qualities and degrees of calmness that reminded me of the peacefulness I found exploring the ocean at the beach when I was young:
“Counting” feels like being entranced by the ocean’s waves coming one by one up onto the sandy beach.
“Following” feels like riding shallow waves toward the shore and then letting the ocean suck me back out for the next one.
“Touching” feels like standing in the midst of waves, letting them wash over me again and again.
“Noticing the qualities” feels like treading water beyond the waves where the ocean water’s qualities come more into focus.
“Attending to subtlety” feels like swimming around peacefully there while only occasionally coming up for air.
“Resting in the gaps” feels like the extraordinary peacefulness of not even needing to breathe for a moment while floating face down, eyes closed.
Whatever your experience may be, it would be useful to experiment with these six and see how your experience changes with each one.
This investigation is where contentment really becomes important. In a culture that constantly tells us to optimize our productivity, we usually do not feel we have the time, like children, to just sit and explore our lifeworld. So, the instruction to just sit still and be content may be the most radical part of meditation training. Remember the contentment meditation we practiced after the Third Noble Truth — when craving temporarily quieted and we got a small taste of what cessation feels like? That ease was itself a form of śhamatha. Once we get how easy it is to drop our resistance to whatever we are experiencing and be content—even with our discontent—it is like discovering a superpower. Suddenly the experience of existential ease seems attainable and close.
Questions for Reflection
These are not comprehension questions. They are observation prompts—invitations to investigate your own experience over the coming days and weeks.
1. Dullness or Agitation?
Over the next several practice sessions, notice which tendency is more prominent for you—dullness (sleepiness, fogginess, vagueness) or agitation (racing thoughts, restlessness, inability to settle). Does it change within a single session? Does it change from day to day? Notice the patterns without trying to fix them at first. Just observe.
2. The Physical Antidotes
Once you’ve noticed your patterns, experiment with the physical adjustments from the lecture and the reference chart. If you tend toward dullness, try raising the gaze, opening the eyes wider, sitting more upright, or emphasizing the out-breath. If agitation is the issue, try lowering the gaze, relaxing the body, or softening your focus. Which adjustments make a noticeable difference?
3. How Much Calm Is Enough?
During a practice session, notice when your mind reaches something like access concentration—enough stability to stay loosely with the breath even as thoughts arise in the background. What happens if you allow yourself to begin observing—asking about impermanence or dissatisfaction—from wherever you are, without waiting for more settling?
4. Contentment Revisited
Return to the contentment meditation from the Third Noble Truth module — even just one or two minutes at a time, several times throughout a single day. At your desk, on a break, waiting in line. Notice: is being content more difficult in some settings than others? Does it become easier with repetition? What changes in your body and mind when you deliberately stop trying to do and simply allow yourself to be? What happens if you are content to feel discontent?
5. Your Breath, Six Ways
After working with the six-technique progression a few times, notice which techniques you’re drawn to and which ones you tend to rush past. Does counting feel too simple, or is it grounding? Does attending to subtlety feel rewarding, or does it make you anxious? Is there a technique you haven’t given enough time to? Try spending an entire practice session with each one of the six.