Waldron-Cognitive Unconscious
Waldron-Cognitive Unconscious
Contemporary Buddhism
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To cite this Article Waldron, W. S.(2002)'The dependent arising of a cognitive unconscious in Buddhism and science',Contemporary
Buddhism,3:2,141 — 160
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Contemporary Buddhism, Vol. 3, No. 2, 2002 13 Routledge
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think, that is, in the traditional Buddhist terms of dependent arising. This essay
explores some of the common ground between these two perspectives by
focusing upon two core Buddhist concepts, the dependent arising of our 'world
of experience', and the notion of vijnāna, 'discerning cognitive awareness' or
simply 'consciousness', ultimately arriving at its most important development in
the Yogacara school of Indian Buddhism, the alaya-vijñana, a form of sublim-
inal cognitive awareness or 'unconscious structuring of the world'. We will
draw upon ideas from such modern fields as general systems theory, evolution-
ary biology and cognitive science in order to elucidate these ancient Buddhist
notions, resulting in provocatively different, yet to my mind more evocatively
contemporary, interpretations of key Buddhist concepts. Rather than pursue a
simple point-by-point comparison between these traditions, however, we shall
seek to invoke their commonalities by engaging in an inductive, almost
phenomenological inquiry into the arising of 'the world of experience' without
an experiencer.
To anticipate both the structure and argument of this essay, we will focus on
a number of areas where Indian Buddhist thought constructively converges with
current trends in scientific approaches to mind. They both focus upon patterns
of dependent relationships rather than on actions of independent entities; within
which cognitive awareness (vijnāna) is understood as a process that arises by
depending upon conditions, rather than a faculty that operates by acting upon
objects. Such cognitive awareness arises as an awareness of differences within
a correlative cognitive domain, rather than as a perception of objects within a
pre-existing external world. These cognitive domains, moreover, are thought to
have arisen through processes of circular causality (feedback systems), which
were in large part brought about by those very discernments of difference. And
such discernments are thought to arise, in part, through unconscious processes
pre-formed by linguistic classifications, rather than through conscious processes
performing rational procedures.
This 'linguistification' of human mental processes gives rise in turn to a
symbolic self, which is dependent upon the reflexive possibilities of language
usage rather than reflective of the existence of substantive souls. And finally,
ISSN 1463-9947 print; 1476-7953 online/02/020141-21 © 2002 Taylor & Francis Ltd
DOI: 10.1080/1463994032000068555
142 W. S. Waldron
ence
Indian Buddhists observed that we can best understand complex causality—how
things come to be—by understanding the systemic relations in which they are
involved and the patterns of dependence upon which they arise; that is, by
understanding their 'dependent arising'. As we shall see, this formula subse-
quently became the basis for a Buddhist model of circular causality wherein
certain specified patterns of conditions continuously feedback upon themselves,
reinforcing their own evolutionary processes.
The classical Indian Buddhist conception of causality1 is singularly expressed
in this simple formula of dependent arising:
When this is, that comes to be; with the arising of this, that arises. When
this is not, that does not come to be; with the cessation of this, that ceases.
(M II 32, etc.)
One of the most important implications of this model is that it dispenses with
the notion of fixed entities or unchanging essences altogether. Instead of asking
how independent entities act within or upon an objective world, the view of
dependent arising asks 'under what conditions does such and such a phenom-
enon arise?' or, more elaborately, 'what various complex conditions interact in
what recurrently patterned ways in order to routinely give rise to what kind of
phenomena?'.2
In other words, our attention shifts away from a concern with independent
agents acting on independent objects, the entrenched grammatical syntax of
conventional language,3 and towards an investigation of the complex, proces-
sual and interactive arising of things. But this requires focusing upon patterns
of arising rather than on agents of action—and patterns are relational, not
substantive, and arising is dynamic, not static.4 The Buddhist dismissal of
selves, essences or unchanging entities, therefore, derives not so much from
logical propositions or first principles, such as 'all is change', as much as it
follows from the nature of its questions: 'how do things come to be?'—a point
that is all the more obvious by a similar disavowal of essences,5 entities or
substantive selves6 in modem science.
Cognitive Unconscious in Buddhism and Science 143
This is the conceptual framework, the causal syntax if you will, within which
most early Buddhist analyses of mind took place. It is an attempt to describe
and understand experience as it arises. It is, in a word, a phenomenology of
consciousness.
object appears in a sense field, impinging upon its respective sense organ. Sense
object and sense organ (or faculty) are thus correlatively defined, for a visual
object is, by definition, the kind of stimulus that can impinge upon an eye.
Although it is common to speak of cognitive awareness as if it actively
cognizes objects, in the syntax of dependent arising cognitive awareness does
not actually cognize anything—it simply is the awareness that arises when the
requisite conditions come together.9 Vasubandhu, author of the fifth-century
Abhidharma-kośa, makes precisely this point:
The sūtra teaches: 'By reason of the organ of sight and of visible matter
there arises the visual consciousness': there is not there either an organ
that sees, or visible matter that is seen; there is not there any action of
seeing, nor any agent that sees; this is only a play of cause and effect. In
the light of [common] practice, one speaks, metaphorically, of this
process: 'The eye sees, and the consciousness discerns.' But one should
not cling to these metaphors. (AKBh, Prüden 1988, 118)10
In other words, to interpret vijnāna as an act of cognition rather than an
occurrence of awareness is to ignore the syntax of dependent arising, which
takes no active subject. Once again, the traditional Buddhist denial of a
substantive, unchanging entity may be seen as less a metaphysical position than
a function of its mode of analysis.1 '
Cognition, in these terms, is thus neither purely subjective nor wholly
objective. Like a transaction that takes place between individuals, cognitive
awareness occurs at the interface, the concomitance of a sense organ and its
correlative stimulus. Cognitive awareness is thus neither an exact 'mirror of
nature' that reflects things 'as they are'—since what constitutes an 'object' is
necessarily defined by the capacities of a particular sense organ—nor is it a
unilateral projection of a priori categories—since the cognitive capacities of a
sense organ are similarly defined by the kinds of stimuli that may impinge upon
them. 12 This entails a number of far-reaching implications, for discerning
cognitive awareness is not only an event that occurs temporally, but one that
equally depends upon relational distinctions—and relational distinctions, it
should be clear, are hardly substances.
144 W. S. Waldron
In his popular book Mind and Nature, Bateson (1979, 120-1) compares
cognitive processes with a simple electric switch:
the switch, considered as a part of an electric circuit, does not exist when
it is in the on position. From the point of view of the circuit, it is not
different from the conducting wire which leads to it and the wire which
leads away from it. It is merely 'more conductor'. Conversely, but
similarly, when the switch is off, it does not exist from the point of view
of the circuit. It is nothing, a gap between two conductors which
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Our cognitions and distinctions, and the implicit schemas that inform them, thus
constitute and construct our 'world' of experience.
phy has much in common with scientific models of causality, particularly those
of cognitive science and evolutionary biology.
Stimuli are always impinging upon the sense organs, giving rise to forms of
cognitive awareness, however subtle; and these processes continuously but
subtly modulate the structures of these organs, which in turn influences their
receptivity to subsequent stimuli.19 These two processes—that living itself
entails continuous moments of cognitive awareness and that cognitive aware-
ness entails continuous modification of living structure—illustrate the reciprocal
causal relation between the structure of sense organs and the arising of
cognitive awareness. These reciprocal processes, however, not only occur at the
micro level of cognition, but also at the macro level of evolution. Both
evolutionary biology and the view of dependent arising also articulate models
of circular causality in order to describe how things come into being over
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Evolutionary biology and Buddhist thought thus both analyze the causal
relations underlying momentary cognitive processes and long-term evolutionary
processes in a similar fashion:25 the 'arising of the world' for an individual, its
ontogeny, as well as, for a species, its phytogeny,26 can be equally well
understood as the evolution of specific cognitive domains out of the dynamic
vortex of cyclic causality.
Since the recurrent interactions between cognitive awareness and its enabling
structures, which entail continuous modification of these structures, are causally
effective at either a developmental or evolutionary scale, it follows that the
particular implicit and innate classificatory systems that condition cognitive
awareness themselves become important factors in the further development of
living structures (samskāra); that is, they impart causal influences upon human
evolution in their own right. Living forms have, in effect, 'enstructured' their
cognitive maps, their capacities for cognitive discernment, through the extended
epigenetic processes of circular causality. This is true at the individual level, in
our neural pathways, for example, as well as at the species level, as in
evolutionary theory.
But classifications, we remember, refer to patterns of relationships not
properties of substances, to maps not territory. That is to say, the distinctions
that constitute our cognitive schemas—which have no spatial location and come
from nowhere and go nowhere—are indispensable conditions for the dependent
arising of our minds and bodies. In Buddhist terms, the dharmas that give rise
to discerning cognitive awareness are constitutive conditions for 'the arising of
the world' not just epistemologically, which is obvious, but ontologically as
well. In other words, there would be no distinctively human embodiment
without the classifications and categorizations constitutive of the arising of
cognitive awareness itself.
And what is our most important source of human categorization and
classification, whose distinctions have no spatial location either inside or
outside of our brains,27 and is, furthermore, one of the most salient features of
our physical and mental structures? Language. It appears that we embody not
only the results of what we have thought, felt and done, but, in addition, of what
we have heard and said. We are, in short, the word become flesh.
148 W. S. Waldron
in dependence upon our 'linguistified' brain. Language, then, along with the
systemic distinctions that constitute it, is not something added on to human
cognitive processes. Systemic symbolic thinking is constitutive of normal
human cognitive processes.31
This prefrontalization of human cognition, however, is fraught with unin-
tended consequences, consequences that follow from the very nature of
linguistic symbolification: language gives rise to its own feedback cycles. Not
only can we not 'help but see the world in symbolic categorical terms',
according to neurophysiologist Deacon (1997, 416), 'dividing it up according to
opposed features, and organizing our lives according to themes and narratives.'
But, he ominously notes, '[Symbolically mediated models of things ... exhibit
complicated nonlinearity and recursive structure as well as nearly infinite
flexibility and capacity for novelty due to their combinatorial nature' (Deacon
1997, 434). This linguistification of human cognitive processes, in other words,
represents a physiologically enstructured, predominating cognitive strategy
characterized by compulsive yet creative recursivity, based upon words that are
defined disjunctively and systemically, not independently or substantively, and
whose meanings are merely conventionally determined. No wonder Deacon
ambivalently observes (1997, 436): 'we are not just a species that uses symbols.
The symbolic universe has ensnared us in an inescapable web'. 32
Buddhist analysis of mind also connects reflexivity, and the linguistic
categorizations it depends upon, with cognitive processes (yijñana) that have
been built up through the accumulating, epigenetic cycles of dependent arising.
In this view, cognitive reflexivity and recursivity also depend upon the recipro-
cal relationships between sensory cognitive awareness, non-sensory (symbolic)
objects such as thoughts or ideas,, and the ensnaring web of conceptual
proliferation (S. prapañca, P. papañca) entailed by language use:
Dependent on the eye and forms, eye-consciousness arises. The meeting
of the three is contact. With contact as condition there is feeling. What
one feels, that one apperceives. What one apperceives, that one thinks
about. What one thinks about, that one mentally proliferates. With what
one has mentally proliferated as the source, apperceptions and notions
Cognitive Unconscious in Buddhism and Science 149
The most deeply entrenched locus of these recursive possibilities, which also
doubles back to instigate its own linguistically generated recursivity, is no doubt
our sense of self as an enduring, experiencing agent. As one Pāli text declares,
'the notion "I am" is a proliferation; "I am this" is a proliferation; "I shall be"
is a proliferation' (S IV 202f). The very thought Ί am' is, according to the
Sutta-nipāta, the root (múla) of proliferation itself.34 In short, as long as the
thought Ί am' persists, so long will endless cycles of apperceptions, conceptual
proliferation and further apperceptions, and so on, keep spinning.
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This sense of self, however, derives its compelling cogency, its enduring and
endearing allure,35 from the same social and linguistic matrix that other words
and symbols do: symbolic representation.36 Like language, this symbolic self is
a product of massive interdependency; like other relational phenomenon, it has
no substantive existence in time or space. 'It is a final irony', Deacon concludes:
that it is the virtual, not actual, reference that symbols provide, which
gives rise to this experience of self. The most undeniably real experience
is a virtual reality ... its virtual nature notwithstanding, it is the symbolic
realm of consciousness that we most identify with and from which our
sense of agency and self-control originate. (1997, 452; original emphasis)
It was not until the Yogacara school (circa second to seventh century CE),
however, that forms of supraliminal cognitive awareness (pravŗtti-vijnāna),
which arise in conjunction with present stimuli accompanied by attention, were
explicitly distinguished from forms of subliminal cognitive awareness, which
arise in conjunction with enduring structures (samskāra)—these latter being
150 W. S. Waldron
the mind with all the seeds (i.e., the alaya-vijñana) matures, congeals,
grows, develops, and increases38 based upon the two-fold substratum39
(or: appropriation, upadāna); that is, (1) the substratum of the material
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How is it that our experience collectively gives rise to our shared world of
experience? We live in this 'shared virtual world', as Deacon puts it, in large
part because 'the evolution of symbolic communication ... created a mode of
extrabiological inheritance ... [that] is intrinsically social' (1997, 409f), one that
evolved 'neither inside nor outside brains, but at the interface where cultural
evolutionary processes affect biological evolutionary processes' (Deacon 1997,
409f). That is, we have similar kinds of cognitive processes because their
supporting structures developed historically through continuous interaction with
other human beings, giving rise to our common bodily forms, with our
species-specific propensities toward cultural and social conditioning, and the
predominating influences of linguistic classification, conceptualization, nomi-
nalization, and so on, through which we collectively yet unconsciously bring
forth a shared world of experience.
With allowances for the issue of rebirth, this is largely compatible with
mainstream views of causality in the Yogacara tradition. As the commentary to
Mahayana-samgraha (MSg 1.60), explains:
Notes
The author gratefully acknowledges permission to reproduce parts of 'Buddhist Steps to
an Ecology of Mind: Thinking about "Thoughts without a Thinker" ' (Eastern Buddhist,
2002, XXXIV, 1-51), from which this article is largely drawn.
1 This is, unavoidably, a generalization. There were numerous sects that often differed
in their interpretations of dependent arising.
2 There are many passage in the Pāli texts such as the following: 'Who, now, Lord,
is it who craves?'. 'Not a fit question', said the Exalted One. "I am not saying
[someone] craves. If I were saying so, the question would be a fit one. But I am not
saying so. And I not saying so, if you were to ask thus: 'Conditioned now by what,
lord, is craving?' this were a fit question. And the fit answer there would be:
'Conditioned by feeling is craving.' " (S II 13).
3 'All our forms of speech are taken from ordinary, physical language and cannot be
used in epistemology or phenomenology without casting a distorting light on their
objects' (Wittgenstein Philosophical Remarks, §57; cited in Stern 1995, 12).
4 Since by definition essences do not change, they can have no obvious causal effect
in the world of change; an unmoving billiard ball does cause another ball to move,
only a moving one does. Essences are therefore metaphysical notions unrelated to the
endeavor to understand causality in the phenomenal world. In slightly different
terms, Wittgenstein (Philosophical Investigations, §271) suggests that 'a wheel that
can be turned though nothing else moves with it, is not part of the mechanism'.
5 Gombrich (1996, If) cites Karl Popper's remarks on the non-essentialism and
nominalism of modern science: 'Popper, 1952, vol. II, p. 14): "the scientific view of
the definition Ά puppy is a young dog' would be that it is an answer to the question
'What shall we call a young dog?' rather than an answer to the question 'What is a
puppy?' (Questions like 'What is life?' or 'What is gravity?' do not play any role in
science.) The scientific use of definitions ... may be called its nominalist interpret-
ation, as opposed to its Aristotelian or essentialist interpretation. In modern science,
only nominalist definitions occur, that is to say, shorthand symbols or labels are
introduced in order to cut a long story short." Popper 1974:20: "... essentialism is
mistaken in suggesting that definitions can add to our knowledge of facts ..." '.
6 Many, if not most, scientific works on brain and consciousness reject the notion of
a 'unified, freely acting agent'. For example, brain scientist Richard Restak (1994,
111-21) argues: 'Brain research on consciousness carried out over the past two
decades casts important doubts on our traditional ideas about the unity and indissol-
ubility of our mental lives', particularly 'the concept of ourself as a unified, freely
acting agent directing our behavior'. Lakoff and Johnson (1999, 268) state: 'The very
154 W. S. Waldron
way that we normally conceptualize our inner lives is inconsistent with what we
know scientifically about the nature of mind. In our system for conceptualizing our
inner lives, there is always a Subject that is the locus of reason and that metaphor-
ically has an existence independent of the body. As we have seen, this contradicts
the fundamental findings of cognitive science'.
7 There are serious historical questions concerning whether or to what extent the
discourses preserved in the Pāli Canon represent the actual words of the Buddha. As
these questions do not directly affect the import of this paper, we follow their
traditional attribution to the Buddha.
8 M I 190: 'When internally the eye is intact and external forms come into its range
and there is the corresponding engagement, then there is the manifestation of the
corresponding class of consciousness' (Ñānamoli 1995, 284).
9 As Rahula (1959, 23) points out, 'Consciousness does not recognize an object. It is
only a sort of awareness — awareness of the presence of an object'. Milinda's
Questions: 'Because there are vision here and material shape, sire, visual conscious-
ness arises. Co-nascent with that are sensory impingement, feeling, perception,
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15 From the root verb 'dhr' to hold, bear, carry, maintain, preserve, keep, possess, use,
place, fix, etc.'. Derived meanings of dharma are 'that which is established or firm,
steadfast, law, statute, prescribed conduct, duty, right, justice, virtue, morality,
religion, etc.'(SED, 510, 519). In the Abhidharma context, it is traditionally defined
as that which 'holds' (dhārana) its own mark (AKBh ad I.2b; Shastri, 12; Poussin,
4: svalaksanādhāranād dharma).
16 This is arguably implicit in the perspective of dependent arising from the beginning:
'He who with right understanding sees the arising of the world as it really is, cannot
attribute non-existence to the world; he who with right insight sees the passing away
of the world as it really is, cannot attribute existence to the world' (S II 17).
17 Since dharmas are themselves dependency arisen events, they are expressed in terms
of patterns of relationship (with the concomitance of X and Υ, Ζ arises). But because
the multiple conditions for the arising of a phenomenon were themselves dharmas (X
and Y), the formula of dependent arising was fairly early on implicitly, or perhaps
incipiently, a system wherein the sense of each item was mutually and disjunctively
defined. That is, Buddhists fairly quickly came to recognize that they were working
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(Jdeśa) and by actions (karma), and goes again to the next world. In this way the
circle of existence is without beginning (anādibhavacakraka)' (AKBh III 19a-d;
Poussin, 57-9; Shastri, 433-4).
25 Ί shall assume that evolutionary change and somatic change (including learning and
thought) are fundamentally similar' (Bateson 1979, 164). See Waldron (2000).
26 Varela et al. (1991, 121) interpret these two aspects of dependent arising as roughly
corresponding to phylogeny and ontogeny: 'we could say that such traces (kanna) are
one's experiential ontogeny ... Here ontogeny is understood not as a series of
transitions from one state to another but as a process of becoming that is conditioned
by past structures, while maintaining structural integrity from moment to moment.
On an even larger scale, karma also expresses phylogeny, for it conditions experience
through the accumulated and collective history of our species'. One of the main
differences with evolutionary theory, however, is that Indian Buddhists see the
'evolution' of mind is terms of the continuity of individual mind-strearns from one
lifetime to the next, with karma as the basic causal mechanism whereby changes are
transmitted from one life to the next. In Darwinian thinking, this role is played by
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natural selection. In this sense, Buddhist ideas are akin to a form of Lamarkianism.
27 See Deacon (1997, 4090 P- 151 this article.
28 As Capra (1998, 220) points out, 'as it keeps interacting with its environment, a
living organism will undergo a sequence of structural changes ...an organism's
structure at any point in its development is a record of its previous structural changes
and... each structural change influences the organism's future behavior'.
29 'It is simply not possible', Deacon concludes (1997, 409f), 'to understand human
anatomy, human neurobiology, or human psychology without recognizing that they
have all been shaped by something that could best be described as an idea: the idea
of symbolic reference'.
30 '[S]ymbol use itself must have been the prime mover for the prefrontalization of the
brain in hominid evolution'(Deacon, 1997, 336).
31 'As our central nervous system — and most particularly its crowning curse and
glory, the neocortex — grew up in great part in interaction with culture, it is
incapable of directing our behaviour or organizing our experience without the
guidance provided by systems of significant symbols ... To supply the additional
information necessary to be able to act, we were forced, in turn, to rely more and
more heavily on cultural sources — the accumulated fund of significant symbols.
Such symbols are thus not mere expressions, instrumentalities, or correlates of our
biological, psychological, and social existence; they are prerequisites of it. Without
men, no culture, certainly; but equally, and more significantly, without culture, no
men' (Geertz 1973, 49).
32 A web, we might add, without a weaver. Anthropologist Rappaport (1999, 5): 'It
would not, indeed, be an exaggeration to claim that humanity is [its] creation'.
33 Translation altered for terminological consistency.
34 'With what manner of insight, and not grasping anything in this world, does a monk
realize Nibbāna? Let him completely cut off the root of concepts tinged with the
prolific tendency (papañca), namely, the thought "I am".' (SN 915-16) (Ñānananda,
1971, 34f). The translation is altered slightly (katham disvā nibbāti bhikkhu
anupādiyāno lokasmim kiñci. Mūlam papañcasankhāyāti Bhagavā mantā asmīti
sabbam uparundhe). Ñānananda takes 'mantā' as 'thinker' rather than 'thought'.
35 The Buddha describes the following, unacceptable, conception of a self: 'That which
is this self for me that speaks, that experiences and knows, that experiences, now
here, now there, the fruition of deeds lovely or depraved, it is this self for me that
is permanent, stable, eternal, not subject to change, that will stand firm for ever and
ever' (M I 8).
36 'Self-representation ...', Deacon suggests (1997, 451), 'could not be attained without
a means for symbolic representation'. "The label ·Τ thus superimposed on the
complex contingent process, serves as a convenient fiction of thought or a short-hand
Cognitive Unconscious in Buddhism and Science 157
device ... it is the outcome of papañca ...". Bhikkhu Ñānananda (1971, 11)
concludes, 'the ego notion is an extension in thought not faithful to facts'.
37 The distinctions between these two fonns of cognitive awareness are most succinctly
stated in the Proof Portion of the Yogācārabhwni: 'l.a) The ālaya-vijñāna has past
samskārās as its cause (hetu), while the arising forms of cognitive awareness, visual,
etc., have present conditions as their cause. As it is taught in detail: "the arising of
the cognitions comes about due to the sense-faculties, the sense-domains and
attention" '.
This same distinction is also articulated by Maturana and Varela's theory, as
articulated by Capra (1998, 268): 'cognition involves two kinds of activities that are
inextricably linked: the maintenance and continuation of autopoiesis and the bringing
forth of a world'.
38 Tib: sa bon thams cad pa'i sems mam par smin cing 'jug la rgyas shing 'phel ba
dang yangs par 'gyur ro. Sanskrit reconstruction by Schmithausen (1987, 356, n.
508): *sarvabījakam cittam vipacyate sammūrcchati vŗddhim virūdhim vipulatām
āpadyate. This closely parallels passages found in Pāli texts (S III 53, D III 228):
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References
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160 W. S. Waldron
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