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Transformation Levels
in Chapter III of Patañjali's Yoga Sutras
Contents
Transformation Levels in Chapter III of Patañjali's Yoga Sutras
An analysis of sutras 6 to 14 of chapter III of Patañjali's Yoga Sutras
Translation of sutras 6 to 14 of chapter III of Patañjali's Yoga Sutras
An analysis of sutras 6 to 14 of Chapter III of Patañjali's Yoga Sutras
Translation of Sutras 6 to 14 of Chapter III of Patañjali's Yoga Sutras
Alfred Scheepers
Transformation Levels
in Chapter III of Patañjali's Yoga Sutras
The following remarks pertain to a problem occurring in translating
the beginning of the third chapter of the Yoga Sutras of Patañjali.
The problem lies in sutras 3.9., 3.11, and 3.12. I have not yet scrutinized all existing translations, but all translations I have seen, to a larger
or lesser degree, fail to understand the point Patañjali is making.
My attention was directed to the problem by Mark Lester, one of my
students at the Iyengar Yoga Teacher Training Programme in Amsterdam. He showed me the inconsistencies in my translation of Yoga Sutras 3.9. to
3.12. We had a group discussion, but the problem was not solved.
The next lesson I presented a corrected translation, but as it showed,
the inconsistency only moved from one place to another. B.K.S.
Iyengar noted in his commentary to his translation of the sutras,1 that
even some traditional commentators had problems with these sutras.
He himself at least understood that Patañjali was speaking of different
levels, but did not make clear how to understand these levels. Thinking it over I discovered that these sutras could only be understood
by reading them in the light of the Samkhya and Yoga doctrine of
parinama-vada [transformation doctrine]. Since the word 'parinama'
is actually used in Patañjali's text, this should have been obvious for
any educated translator at the start. But somehow it had escaped
everyone, myself included. Now, however, I consider the general
meaning of these sutras as settled. Only in the interpretation of 'the
one-pointedness transformation', a notion appearing in sutra 3.12., there may still be some room for
interpretive conflict, although I feel, that my solution has the best
arguments.
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Translation of sutras 6 to 14 of chapter III of Patañjali's Yoga Sutras
An analysis of sutras 6 to 13
of Chapter III of Patañjali's Yoga Sutras
In the first three sutras of chapter III of the Yoga Sutras, Patañjali
establishes a distinction between between three successive stages of
concentration, which he calls 'focusing' (dharana), 'meditation' (dhyana) and 'absorption' (samadhi), which if practised successively and
properly will result into wisdom.
Then he states in sutra 3.6., that this concentration can be applied at
different levels. It seems as if he leaves us in the dark as to the nature
of these different levels, and subsequently proceeds to describe the
succession of meditative states in more detail in sutras 3.9., 3.11., and
3.12. This is what the translators usually make of it. Even an authority like Georg Feuerstein2 fails to notice that a like procedure is quite at odds with Patañjali's usual thoroughness. For usually, if Patañjali
mentions a topic, in the next sutras he continues to explain it. In fact,
he does the same also in this case. The reason why translators have
failed to notice this will be the fact that in 3.11. the term 'samadhi-parinama' (absorption-transformation) is used. Therefore it seems as if
he speaks about samadhi in the same manner as he did in the preceding sutras, i.e. as the final stage of meditation. However, the fact
that 'samadhi' in this context is not treated as the culmination of
meditation should have roused suspicion.
In truth Patañjali, in sutras 3.9. to 3.12, is not speaking about a succession of meditative states at all. Patañjali, in his second chapter, and
in the first three sutras of the third, described the practice of Yoga as
consisting of eight stages.3 Each next stage should be practised only if
first due attention has been paid to the earlier. One will not start
with absorption and end with ethics, but start with ethics and end
with absorption. So the eightfold Yoga is a horizontal succession of
physical and mental practices ending in absorption (samadhi). This
does not imply that for example ethics or yoga-postures may be abandoned after reaching samadhi, but that usually samadhi will not be
obtained when you disregard the previous stages. These stages form a
structured succession of mental states (citta-anvaya). Patañjali summarizes these mental states also under the heading of 'vrtti' (which I like
to translate as 'metabolic state' but which also is rendered by such a
term as 'fluctuation of the mind'.
In sutra 3.9 to 3.12 Patañjali does not use the term 'vrtti', but he uses
a term that was not introduced earlier, viz. 'parinama'. 'Parinama'
means 'transformation'; it is a key-concept in the Samkhya philosophy on which Patañjali's Yoga Sutras are based, and also in the philosophy of the Vedanta. It is a key concept, because, Samkhya or
Yoga thought in Indian philosophy is classified as 'parinama-vada' or
also 'satkaryavada'. These terms respectively mean 'transformation-lore' and 'the effect is real[already in the cause]-lore'.4 The latter indicates that Samkhya and Yoga believe, that when e.g. a tree grows out
of a tiny seed, this proves that this mighty tree must already have
been present in the seed, be it in a hidden way. For the tree cannot
emerge out of nothing. In the same way the whole visible world must
have emerged out of a world-seed, in which it existed in a non-manifest way before it appeared. This world-seed was also called 'nature'
(prakrti). We can elucidate the concept of 'parinama-vada' (transformation-lore) by stating, that before the movie is projected, it is already present on the celluloid. In Yoga and Samkhya the whole of life is
a projection of something that lies hidden deep inside. The word
'parinama' refers to the process of this projection, which can be analyzed in itself, apart from the plot of the movie. The pictures, presented on a screen by the movie, may be compared to the series of conscious states which may lead up to a final end or not. The same series
is also on the celluloid. But 'parinama' is not the succession of states
or of pictures, but the 'transformation' which projects this picture of
the celluloid on the screen in the cinema. While the movie on the
screen is a 'horizontal' succession of images, which may tell a story,
the projection on the screen by means of a projector is a technical or
structural affair.
In the context of yoga there is also a 'transformation' which may be
understood as a projection (called in Sanskrit 'adhyasa'). It is the
transformation of the mind from its unmanifest or unconscious (avyakta) state to a full conscious (vyakta) state. One may compare the
former to the pictures on the celluloid and the latter to the movie on
the screen. When we refer to the succession of scenes on the screen as
a 'horizontal' process, then we may term the projection of the pictures on the screen a 'vertical' process. The horizontal process here
takes place on different levels, the succession of pictures spooling
through the projector, and the succession of scenes appearing on the
screen. If there is a change of celluloid pictures in the projector, there
is a corresponding change of scenes on the screen.
The cinema is the human mind in which the projection of our life
takes place. And as the human mind is a bit more complex than
projecting a movie, Patañjali distinguishes not two but three corresponding levels of projection. In the context of later Vedanta these
levels would take the names of causal body (karana-sarira), subtle
body (suksma sarira) and solid body (sthula sarira).
Patañjali in 3.9. refers to changes occurring on the level of the causal
body. This causal body is made up of the forms (dharma, the term is
used in 3.13) which are to be projected. In 3.9. these are called habitual tendencies (samskaras), which also may be called 'subconscious
motives', or, to link it to a celluloid picture, 'motifs'. They are, as it
were, the shapes which must be enlarged through the projector to
become visible. By our past deeds these tendencies or motives have
been engraved into our subconsciousness, and by a fixed process these
engravings must manifest themselves again in new actions. For such
engravings cannot but modify our personality, and by this personality
we act. If we do not want these engravings to be projected in our
practical life, then they must be suppressed somehow. Patañjali calls
such a suppression, checking, or restraint 'nirodha'. This 'nirodha'
takes place on the level of the unconscious or subconscious engravings of the mind.
The starting point of the world-projection is on the level of the samskaras or dharmas, the forms or 'unconscious motives (motifs)'. Therefore Patañjali can call this level 'dharma-parinama' (form-transformation), as he does in 3.13. But since he is concerned with a change occurring on this level, a change from a motive (motif) for wanton
behaviour (vyutthana) to one for moderation or restraint (nirodha),
he calls this level in 3.9. 'nirodha parinama'.
When an unconscious motive (motif) transforms into full actuality, it
first must become conscious. It starts captivating the mind by means
of images and aims. It becomes fixed by the subject as an object. One
has something on his mind, it may be a murder or a vision of heavenly beauty. But one is only playing with the thought, it is not reality.
The motive (motif) simply rises to the conscious level. And this in
fact is what happens in concentration. There one fixes a previously
unconscious motif (motive) before the mind, holds it there, and penetrates into it. As this object of the mind is the presentation, the mark
or sign (laksana) of a previously unconscious tendency, Patañjali can
call this level of transformation 'sign-transformation' (laksana-parinama), as he does in 3.13.
Imagination can proceed by a scattered series of loose associations
which may issue in undisciplined action. These are a mark of the
motives (motifs) for wanton behaviour, but the motif (motive) of restraint is reflected by a deliberate concentration on it, fixing it, holding it, and penetrating into it. As this penetrating or absorbing into
the object of concentration is called 'samadhi' by Patañjali, he calls
this purposive level of the 'vertical' transformation in 3.11. 'absorption-transformation' (samadhi-parinama). Let me explain: an image in
the mind is a sign of a deeper unconscious drive, but at the same time
it may be an idea which leads my actions into the future, a purpose,
an intention.
The coming up of an actual mental state is like the turning of a
wheel. It starts as an unconscious motive on the base level of dharma
(form). There it is born in ignorance. But gradually it becomes an
item of consciousness, at first vaguely, than as a conscious intention.
On this intermediate (subtle) level, the level of signs and meanings,
there is the distinction between the origin and the aim of the
thought, which relate as the subject and the object of the mental
process. The thought process is pushed by its motive and aimed at its
full realization. This level of full actuality, in which all of the potential of the hidden motive is realized, is described in 3.12. Here the subject-object distinction, which is characteristic of the intentional
(intermediate) stage, is left behind. The subject has become the object.
This happens always when a motive is brought to fruition by the
intervention of intentionality. But the very moment it reaches actualization, it passes, and sinks again to the level of meaning in the form
of a memory, which has its root in actuality but aims at modifying
the unconscious strata. There it is buried as a seed, which again germs
into the stimulus of a motive. Patañjali calls the full actuality of a
thought-movement in 3.13 'avastha-parinama', (mental) state-transformation.
This process would continue endlessly if there would be no novelty. After each
actualization the original motive would be reinforced, and when
turning round it would appear with more emphasis after each turn.
But there is novelty, since there is free will, which is able to control
and steer the process. The personality can open itself to new motives.
Patañjali does not expressly states this, but it seems that the introduction of this novelty must be on the intermediate level of meaning and
intentionality.5 Here one can decide to follow the path of Yoga. In
3.9. Patañjali says that then, consequently, on the form-level there is
effectuated a weakening of the motives for wanton behaviour and a
strengthening of those for moderation and self-control. Because of this
strengthening Patañjali calls this level now with the name of its characteristic feature 'control-transformation' (nirodha-parinama)
Since now there is a change on the level of form, this change must
again be reflected on the levels of intention and actuality. Turning
with the wheel of transformation, the fresh seed of moderation and
control will be continually reinforced and become a stable current in
the personality. For when it becomes buried as a seed in the unconscious, it develops into a tendency. This is probably meant in 3.10.
On the level of meaning and intentionality this is reflected in the
(gradual) disappearance of scattered and the (gradual) accretion of
focused attention. Because of this accretion of concentration Patañjali
calls this level now with the name of its characteristic feature 'absorption (concentration) transformation' (samadhi-parinama).
One should keep in mind that now there are two groups of motives
at work, one inducing wantonness and one inducing self-control.
Each group for itself would bind the personality. Uncontrolled behaviour leads you inevitably into trouble, but the suppressive yoke of
self-control in itself will also not lead to happiness. It would strangle
all spontaneity and emaciate life. It seems to me that Patañjali in 3.12.
wants to say, that if both these tendencies together come to fruition,
they constitute a balance and that in this balance the two groups of
motives cancel one another, and that only because of this cancelling
freedom will result.
This zero outcome of motivation makes that the wheel of transformations cannot move in a particular direction. Because of two contrary
impulses of equal weight, it stops. Now one starts to realize a unique
state, one of complete detachment and independence. Since this state
is characterized by two vectors that converge in one point, and there
are cancelled, Patañjali calls it the one-pointedness transformation
(ekagrata-parinama). This point of convergence is precisely the point
where the soul (purusa) realizes its dissociation from the mind, after
all of the mind's energies have been concentrated in stopping the
wheel of (karmic) transformations, issuing in freeing these energies.
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An analysis of sutras 6 to 14 of chapter III of Patañjali's Yoga Sutras
Sutras 6 to 14
of Chapter III of Patañjali's Yoga Sutras
3.6. They [the three stages of concentration] are applicable at different levels.
3.7. These three are 'inwardly' as compared to the former 'members'
[i.e. the earlier stages of Yoga].
3.8. But they are 'outwardly' as compared to the seedless [the final
dissolution of the mind in nature, prakrti, after the soul, purusa, has
dissociated itself from it].
3.9. The proces of concentration on the level of inhibition [nirodha-parinama, the formal level] - which consists in a mental development
leading up to this inhibition - is a checking of the habitual tentencies
of license and a becoming more vigorous of those of inhibition (nirodha).
3.10. Its peaceful flow is [also] due to habitual tendencies.
3.11. The process of concentration on the level of absorption [samadhi-parinama, the intentional level] is the disappearance of scattered
and the rise of focused attention.
3.12. The process of concentration on the level of one-pointedness
[ekagrata-parinama, the 'modal'-level], moreover, is then the (establishing of) a balance between the mental content that is calmed and the
one that is coming up.
3.13. Hereby the process of concentration is explained on the formal,
intentional and modal levels, with respect to the essence of things and
to the senses.
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