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The Origins of The Theory of Four Stages To Liberation in Theravāda Buddhism
The Origins of The Theory of Four Stages To Liberation in Theravāda Buddhism
Submitted by
Amrita Nanda
in March 2017
Among the scholars who have theorized the model of development of four stages in
Indian Buddhism, I. B. Horner, George D. Bond and Peter Masefield have each
While Horner argues that arahatta became only dominant in the “monastic period”
of Buddhism and sotāpanno earlier, Bond theorizes that the stage of sotāpanno and
other stages developed as arahatta receded into the background of spiritual quest of
the early Saṅgha. Masefield, in contrast, contends that the failure of sāvakas to bring
others into arahatta results in the emergence of the four stages. While they each have
attempted to model such shifts in their own frameworks, the arguments each ignores
certain social factors that call for a revised understanding of the dynamics of the
The main import of this dissertation is an investigation into the origins of the
theory of the four stages to liberation and its development from its original formation
in the Pāli Nikāyas to Abhidhamma and Pāli commentarial literature. The theory of
in leading Buddhist practitioners to the state of arahatta. This study is based on the
following assumptions:
I. The theory of the four stages has no direct bearing on the spiritual attainment
II. The theory of four stages was developed as a response to different socio-
religious needs.
III. The theory of four stages to liberation did not remain static; rather over time
IV. The theory of four stages to liberation is a not a singular and a unilateral
development of these concepts in the Pāli Nikāyas to Abhidhamma and the Pāli
commentarial literature. This dissertation attempts to locate the origins of the theory
was developed as a structure to include those who were not ready to become
monastics, rather chose to lead a household life. This brings in a social dimension
further demonstrates that the theory of four stages went through a substantial
the decline of spiritual enthusiasm among monastics and exaltation of the attainment
The Origins and Development of the Theory of Four Stages to
Liberation in Theravāda Buddhism
By
Amrita Nanda
B.A. Kelaniya; M.B.S. H.K.
March 2017
i
Declaration
I declare that this thesis represents my own work, except where due acknowledgement
is made, and it has not been previously included in a thesis, dissertation or report
submitted to this University or to any other institution for a degree, diploma or other
qualifications.
Signed………………………………………………………
Amrita Nanda
ii
Acknowledgements
I would like to thank my thesis supervisor Professor Toshiichi Endo for his
encouragement and guidance throughout the research. His open-minded and modest
approach to the study of early Indian Buddhism and Pāli commentarial studies inspires
me a lot in this study. His encouragement and friendly attitude every time I visited him
financial and spiritual support made me what I am. His career as a Buddhist scholar and
work to uplift other fellow Buddhists is my main source of inspiration for my life and
Buddhist Studies. I would also like to thank Professor Guang Xing, my mentor, who
has been very supportive and kind throughout my study. I am also thankful to Dr.
Halkias for reading through my first draft and providing insightful comments. Thanks
whenever need arise, and Professor Y. Karunadasa for providing encouragement and
insightful advice at the initial stage of my study. I am also thankful to Ven. Sik Hin
Hung, the Director of the Centre of Buddhist Studies for providing an excellent
I am very grateful to Mr. Lau Ting Kwong (Andrew) and Chan Sun-Man Janis and
Venerable Dipananda (Dipen Barua) for proofreading the entire thesis with selfless
dedication and care. Both of them have provided a lot of comments and suggestions,
should also thank my friend Daniel Millet Gil for reading through the draft of few
chapters, providing some good comments and helping me to collect books and article
that were not available at HKU library. I should also thank Mr. Gao Mingyuan for
Scholarship (PGS) during my four years study here, without which it would have been
impossible for me pursue any sort of postgraduate studies. I would like to express my
gratitude to Glorious Sun Group for providing me Glorious Sun Group Postgraduate
Scholarships in Buddhist Studies for my Master of Buddhist Studies. I would also like
to thank all academic and non-academic staff of the Centre of Buddhist Studies at the
University of Hong Kong, who have been always very nice and helpful. I would also
like to thank Ven. Professor Jinabodhi Mahathera, Ven. Tilokananda Mahathera, Ven.
Last but not least, Jnan Nanda, Sree Dharma Rakkhit Sraman and Nagasena, Sapu
Barua, Sourab Barua, Sujit Barua, Dr. Jiajuan Xiong and many other friends and well-
wishers who have been very encouraging and helpful during my study in Hong Kong.
i
Declaration
I declare that this thesis represents my own work, except where due acknowledgement
is made, and it has not been previously included in a thesis, dissertation or report
submitted to this University or to any other institution for a degree, diploma or other
qualifications.
Signed………………………………………………………
Amrita Nanda
ii
Acknowledgements
I would like to thank my thesis supervisor Professor Toshiichi Endo for his
encouragement and guidance throughout the research. His open-minded and modest
approach to the study of early Indian Buddhism and Pāli commentarial studies inspires
me a lot in this study. His encouragement and friendly attitude every time I visited him
financial and spiritual support made me what I am. His career as a Buddhist scholar and
work to uplift other fellow Buddhists is my main source of inspiration for my life and
Buddhist Studies. I would also like to thank Professor Guang Xing, my mentor, who
has been very supportive and kind throughout my study. I am also thankful to Dr.
Halkias for reading through my first draft and providing insightful comments. Thanks
whenever need arise, and Professor Y. Karunadasa for providing encouragement and
insightful advice at the initial stage of my study. I am also thankful to Ven. Sik Hin
Hung, the Director of the Centre of Buddhist Studies for providing an excellent
I am very grateful to Mr. Lau Ting Kwong (Andrew) and Chan Sun-Man Janis and
Venerable Dipananda (Dipen Barua) for proofreading the entire thesis with selfless
dedication and care. Both of them have provided a lot of comments and suggestions,
should also thank my friend Daniel Millet Gil for reading through the draft of few
chapters, providing some good comments and helping me to collect books and article
that were not available at HKU library. I should also thank Mr. Gao Mingyuan for
Scholarship (PGS) during my four years study here, without which it would have been
impossible for me pursue any sort of postgraduate studies. I would like to express my
gratitude to Glorious Sun Group for providing me Glorious Sun Group Postgraduate
Scholarships in Buddhist Studies for my Master of Buddhist Studies. I would also like
to thank all academic and non-academic staff of the Centre of Buddhist Studies at the
University of Hong Kong, who have been always very nice and helpful. I would also
like to thank Ven. Professor Jinabodhi Mahathera, Ven. Tilokananda Mahathera, Ven.
Last but not least, Jnan Nanda, Sree Dharma Rakkhit Sraman and Nagasena, Sapu
Barua, Sourab Barua, Sujit Barua, Dr. Jiajuan Xiong and many other friends and well-
wishers who have been very encouraging and helpful during my study in Hong Kong.
iv
Table of Contents
Declaration i
Acknowledgements ii
Table of Contents iv
Abbreviations vii
3.1 The Theory of Two Stages to Nibbāna and the Stage of Non- return 115
v
3.2 The Stage of Non-return and the Five Fetters Pertaining to Lower Sphere 122
5.3 Four Samaṇas and the Four Stages: Stages Domain of Monastics 241
Bibliography 287-312
vii
Abbreviations
AN Aṅguttara Nikāya
AK Abhidharmakośa of Vasubandhu
AKB Abhidharmakośabhāṣyam of Vasubandhu
AN-A Aṅguttara Nikāya Aṭṭhakathā (Manorathapūraṇī)
AN-ṭīkā Aṅguttara Nikāya ṭīkā
Bv Buddhavaṃsa
Bv-A Buddhavamsa Aṭṭhakathā (Manuratthavilāsinī)
CSCD Chaṭṭasaṅgāyana CD-ROM version 4
Dhp Dhammapada
Dhp-A Dhammapāda Aṭṭhakathā
Dhs Dhammasaṅgaṇī
Dhs-A Dhammasaṅgaṇī Aṭṭhakathā (Atthasālinī)
DN Dīgha Nikāya
DN-A Dīgha Nikāya Aṭṭhakathā (Sumaṅgala-vilāsinī)
DN-ṭīkā Dīgha Nikāya ṭīkā
Iti Itivuttaka
Iti-A Itivuttaka Aṭṭhakathā
Kv Kathāvatthu
Kv-A Kathāvatthu Aṭṭhakathā
MN Majjhima Nikāya
MN-A Majjhima Nikāya Aṭṭhakathā (Papañcasūdanī)
MN-ṭīkā Majjhima Nikāya ṭīkā
Pm Paṭisambhidāmagga
Pm-A Paṭisambhidāmagga Aṭṭhakathā (Saddhammappakāsinī)
Pug Puggalapaññatti
Pug-A Puggalapaññatti Aṭṭhakthā
SN Saṃyutta Nikāya
SN-A Saṃyutta Nikāya Aṭṭhakathā (Sāratthappakāsinī)
SN-ṭīkā Saṃyutta Nikāya ṭīkā
viii
Sn Suttanipāta
Sn-A Suttanipāta Aṭṭhakthā (Paramatthajotikā II)
Tha Theragāthā
Thera-A Theragāthā Aṭṭhakthā (Paramatthadīpanī V)
Thī Therīgāthā
Therī-A Therīgāthā Aṭṭhakathā (Paramatthadīpanī VI)
Ud Udāna
Udāna-A Udāna Aṭṭhakathā (Paramatthadīpanī I)
Vbh Vibhaṅga
Vbh-A Vibhaṅga Aṭṭhakathā (Sammohavinodanī)
Vism Visuddhimagga
Vism-tīka Visuddhimagga Mahāṭīkā
1
Chapter 1:
Introduction
1.1 Background, Rationale of the Study and Literature Review
The study began by my intrigue of two points in Early Buddhism. Firstly, the
essence of Buddhist teaching is the suffering and its cessation; i. e. the attainment of
community. That is to detach oneself from mundane affairs in the family and society.
Early Buddhism views social affairs not only an obstruction to meditation but also a
source of developing craving that prolongs one’s saṃsāric journey. So the essence of
According to early Buddhism this liberation is to be attained in this very life, not
in some distant time and space. So the heart of the early Buddhist soteriology was
monasticism, which correlates with ascetic way of life. But when one looks at the
theory of the four stages to liberation, it shifts liberation to a distant time and space,
and in between many other mundane felicities are embedded. This dissertation aims
realized that this matter is much more complex than I had anticipated at the
beginning. When I have surveyed the modern scholarly researches on this topic, I
have observed that quite a few modern scholars in Buddhist studies, such as Isaline
Blew Horner (1936), Kannimahara Sumangala (1981), Peter Masefield (1986), and
Peter Harvey (2013) have also pointed out the discrepancy, but there seems to be not
Thus, I have realized that limiting my study only to show the discrepancy is not
sufficient. I felt the need to expand the scope of my study to the origins and
development of the theory of the four stages to liberation from Nikāyas to Pāli
To accomplish this task, I have felt a focus on the socio-religious background under
which this theory of the four stages to liberation developed is necessary to illustrate
the either explicit or implicit linkage. The development of religious thoughts cannot
be isolated from the social background in which they developed. I have noticed there
is a gap Buddhist academic research as there was no previous studies on how the
theory of four stages developed and what social and religious factors contributed to
its development.
The theory of the four stages to liberation refers to an exhaustive list of stages
that a Buddhist practitioner may pass through in his or her progress towards
The theory of the four stages holds a significant place in the Pāli Nikāyas. Its
discourses in the Pāli Nikāyas. Theravāda Abhidhamma and Pāli exegetical literature
also assign a crucially important position of the theory in the doctrine of the
progressive attainment of the four stages either in one lifetime or wider a spectrum of
The theory of four stages to liberation is not a rigid structure, rather it has
unilateral, but a complex set of possibilities that take into account various conditions
and circumstances. Therefore, the study on the theory of four stages allows us to
The Kathāvatthu, the extant Sanskrit Buddhist literature and Āgamas preserved
in Chinese translation show that the theory of the four stages to liberation was given
significant place in almost all early Indian schools of Buddhist thoughts. The
Kaukkuṭika accepted the theory of the four stages to liberation (Masuda 1978:20-27).
The theory of four stages to liberation was also given a significant place in
The Prajñāpāramitā literature shows that the early Mahāyāna also accepted the four
stages to liberation of the Sāvakayāna (Dhammajoti 2013: 301-4). James Apple has
4
Although the theory of the four stages to liberation predates sectarian Buddhism and
a trace of this theory is seen in several Indian Buddhist schools, it receives special
literatures, the theory of the four stages has been given a significant place as
The four stages are described in terms of abandoning the list of ten fetters (dasa-
saṃyojanāni) in progressive order. In the first stage one abandons the first three
fetters. In the second stage one does not abandon any more fetters, but attenuates
greet, hatred and delusion. In the third stage one abandons the first five fetters. And
in the fourth stage, one abandons the last five fetters. The list of ten fetters is divided
into two, the first five fetters are known as fetters pertaining to lower existence
(orambhāgiya saṃyojānāni) and the last five are known fetters pertaining to higher
Apart from this standard description, the theory of the four stages has been
described in terms of many other doctrines in the Pāli Nikāyas. One very popular
description of the theory of the four stages is the scheme of the five faculties. The
four stages are described in terms of cultivation of the five faculties in progressive
order (SN V 193, 202, 205). In fact the scheme the four stages in relation to
1
James Apple (2003), in his article Twenty Verities of Saṃgha: A Typology of Noble Beings (ārya) in
Indo-Tibetan Scholasticism, discusses the theory of four stages in Tibetan Buddhism.
5
cultivation of the five faculties appears more often than the scheme of the four stages
with list of the ten fetters. The theory of the four stages also appears in the Nikāyas
The Pāli Nikāyas contain several schemes of the four stages to liberation. The
standard version of the four stages appears in terms of abandoning the list of the ten
Here, oh! Monks, a monk having abandoned three fetters becomes a stream-
enterer, no more subject to lower rebirths, destined to perfect enlightenment.
Moreover, a monk having abandoned three fetters and by attenuating greed,
hatred and delusion becomes a once-returner. Having returned to this world
only once will make the end of suffering. Moreover, a monk having abandoned
the five fetters pertaining to lower existence becomes a spontaneous birth
being. He liberates there. He is not subject to turn back from that world.
Furthermore, a monk having abandoned outflowing, having realized liberation
of mind and liberation of wisdom through his own higher knowledge in this
very life, having attained it, he dwells in it. (DN I 18; II 200; III 251; MN I
490).
The standard version sometimes appears Just as the stream-enterer, the once-
returner, the non-returner and the arahat without mentioning the list of ten fetters
(SN III 168; V 200-202; AN V 85). Sometimes the list appears those who have
attained the four stages and the candidates for each of the stage. For instance many
discourses record:
The stream-enterer and one who has been practicing for the realization of the
fruit of stream-entry, the once-returner and the one who has been practicing for
the realization of the fruit of once-return, the non-returner and one who has
been practicing for the fruit of non-return, the arahat and one who has been
practicing for the fruit of arahatta (MN III 254).
These four pairs of people are defined as the community of eightfold noble disciples
The origins of the theory of four stages to liberation is one of the main research
questions that motivated this study. The question is relevant because when one
surveys the Pāli Nikāyas, the theory of four stages to arahatta is absent in the
liberating experiences of the Buddha and his early disciples as recorded in the Pāli
Nikāyas. One would easily justify that the theory was not applicable to the Buddha
because this theory applies only to disciples, but it is surprising that there is not a
single case history in the description of arahatta of early disciples passing through
these four stages recorded in the Pāli Nikāyas. In the Theragāthā and the
Therīgāthā, which are considered as the descriptions of how early monks and nuns
went through the process of liberation, in these two texts, there is not a single record
of any disciple passing through these four stages to become an arahat. The four
stages were often described as fruit of asceticism. For instance, in the Dasuttara
sutta of DN, it is stated that practitioners of the Buddhist path should aim at realizing
and arahatta2. The Mahāparinibbāṇa sutta of the same Nikāya mentions that where
these four stages are absent, that is not the dispensation of the Buddha. In other
words, it is claimed that the four stages are the exclusive doctrine of Buddhism, not
shared by any contemporary religious systems. It has been clearly asserted that other
religions are empty of these four ascetics (AN II 238).3 But one would be surprised
specifically the question of the stages of the Buddhist spiritual life, the theory of four
2
katame cattāro dhammā sacchikatabbā? cattāri samaññaphala sotāpatti-phalam sakadāgāmi-
phalam, anāgāmi-phalam arahatta-phalam.
3
idh’eva bhikkhave samaṇo, idha dutiyo samaṇo, idha tatiyo samaṇo, idha catuttho samaṇo suññā
parappavādā samaṇehi aññe.
7
stages is conspicuously absent. This discourse elaborates the spiritual path from an
ordinary person to the attainment of the arahatta. There is no trace of the theory of
the four stages. If it has only one discourse, it is possible to assume that the theory
slipped by mistake in the editorial process. But the scheme in the Sāmaññaphala
sutta is repeated in many discourses in the Pāli Nikāyas, in particular in the first
section of the Dīghanikāya, all the discourses except the last discourse are identical
to the content of Sāmaññaphala sutta.4 In none of these discourses the theory of four
stages is mentioned. In addition to the Pāli version, there are six versions of the
versions are similar in regard to the absence of the theory of four stages. The
appears in both the Dīghanikāya and Majjhimanikāya, it contains the same in whole
or in part in many more discourses in the Nikāyas. In the Satipaṭṭhāna sutta only the
last two stages are mentioned. Further, most of the discourses that are considered to
be belonging to the earlier stratum of the Pāli canon, such as the Aṭṭhakavagga and
the Pārāyanavagga of the Suttanipāta and many discourses in the Nikāyas urge
some distant time and space seems inconceivable in these discourses. Buddhist
monks and nuns are exhorted to renounce all sensual desire (kāmarāga), attachment
to becoming (bhavarāga) and to strive to attain liberation in this very life. This raises
the question why the Buddha and his early disciples followed one path to liberation
and prescribed a different path for others. The given situation raises the question of
4
The Jāliya-sutta, the Mahāsīhanāda-sutta, the Subha-sutta, the Kevaddha-sutta, the Tevijja-sutta,
the Cakkavatti Sīhanāda-sutta, etc.
The content of this discourse is repeated in first eighteen
discourses of DN with slight variation.
8
the authenticity of the Theravāda traditional claim that one should pass through the
shifted back to a distant time and in between many mundane felicities such as births
in good human conditions, worldly prosperity, heavenly bliss are imbued. There is
the theory would necessarily leave behind some traces. Through analyzing these
traces in the texts proximate causes for such development can be deducted.
conspicuous research gap with regard to this question. It appears that only a few
scholars such as Isaline Blew Horner (1936) and Peter Masefield (1986) have
observed the discrepancy. They offered some important discussion. Peter Masefield
When these two paths [supra-mundane and path of merit making] disappeared
is not known but we may surmise that if one sāvaka were incapable of
establishing another on the path then with odd exception of the
sattakkhattuparama returning for a maximum seven further births, it cannot
have been long after the Buddha’s parinibbāna (Masefield 1986:163). 5
5
In this book, Peter Masefield discusses several thought provoking points on the theory of four stages
and the development of Buddhist history. In the first chapter he discusses the spiritual division of
Buddhists. He argues that ariya-sāvaka referred to one who is on Buddhist path, and puthujjana is
one who is not on Buddhist path. In the second chapter he discusses how right view arises, he gives
a long discussion on paratoghosa. In chapter three, he discusses schemata of the four paths and
four fruits. He asserts the four stages were alternative and discontinuous goal. They are to be
attained through the grace of the Buddha; therefore, he claims they are not attainable after passing
away of the Buddha. From a historical perspective, some of the hypothesizes seem to be weak and
most of the points remain as mere hypotheses rather than sustained argument.
9
were incapable of guiding others on the path. So he concludes this theory developed
after the passing of the Buddha. Regrettably he has neither offered further argument
on this point nor cited any textual or other evidences to support his claim. Thus his
claim remains mere hypothesis rather than a sustained argument. He further claims
have influenced Buddhism to formulate the theory of the four stages (Masefield
1986:126). He does not provide further illustration as to how they are related.
Brahmanism and the theory of the four stages in Buddhism cannot be overlooked, it
is too simplistic to assert without sufficient evidence that the theory of the four
points lead one to look into other Indian religious thoughts that prevailed at that time,
to investigate possible influence of each other or whether the theory of the four
Horner in her excellent studies on the subject of arahat has noted some important
It was in order that the majority should be able to look forward to ultimate
enlightenment and more especially to returning here but once more, or not all,
in either case waning utterly, that the concept of four ways was put forward.
(Horner 1936: 212).6
6
In this book, Horner traces the history of the concept of Arahant from early Buddhism what she
terms as the Sakyan Buddhism, to monastic Buddhism. And various stages of the development of
the concept in history of Buddhist thought. She devotes one chapter on the four paths and four
fruits. In this chapter she has traces the development of the four stages; she points out certain
discrepancy in the theory of four stages such as sequential attainment, and the concept of
10
Furthermore, she argues the four stages are not sequential attainment. She opines that
the stage of stream-entry as original Buddhist goal and later the stage of arahatta in
Arahantship here and now is the offspring of monastic Buddhism. Now since
the ways imply bhava, becoming, I suggest that the schemes of the four ways
point to a time earlier than the formulated teaching of the arahantship, … the
original motive of the four ways was that fulfillment might be realized in some
future rebirths at an indefinitely long or short distance of time. (Horner 1936:
223).
She further goes on to state that in the earliest period of Buddhism, the concept of
saṃsāra was very optimistic, but when the notion of saṃsāra became pessimistic,
the stage of stream-entry was shifted to the bottom of the list of the four stages, and
stage of arahatta in this lifetime on the top of the scheme of four hierarchical stages.
Horner proposes radically different views, but she too did not provide sufficient
discussions on how she comes to the conclusion that the stage of liberation in this
lifetime is developed later while the stage of stream-entry is earlier. Despite her great
expertise in the field of Pāli Canon, she has not cited any reference to either
contradictory to all textual evidence. Rupert Gethin opines that transition from one
stage to another stage on the spiritual path might have developed during the
Abhidhamma period:
The notion of stream-attainment, and so on, must always have served the
purpose in Buddhist thought of defining possible stages in the process of
mind’s turning way from view etc., beginning with the grosser manifestation
and continuing until the subtlest forms are left behind. Once there are stages,
there are points of transition between stages; the precise nature of these points
momentary path. Most of her points with regards to the development of the theory of four stages are
ahistorical and not sustained arguments. But her work is thought provoking in this area.
11
of transitions is the domain of the Abhidhamma, which defines them ever more
closely and subtly.(Gethin 2001: 224).
Gethin’s views require further examination in light of textual evidence, as his
opinion seems to reflect only Abhidhamma interpretation, the origins of the concept
early Buddhism, the ideal of arahatta was supposed to be imitated by every follower.
The early Buddhist ideal was the attainment of the stage of arahatta here and now in
this very life. But due to the loftiness of achievement from the prospective of
instead. And this gradually led arahats to be regarded as a remote norm radically set
apart from the worldling. Bond asserts that this trend took place very early in the
points out that in the Visuddhimagga, the attainment of the stage of arahatta is a
long and arduous journey. Only one in thousands can hope to even attain the lowest
stage of it, i.e. the stage of stream-entry. And among those who attain the first stage,
only one in thousands is capable of attaining the next stage etc. According to him,
this has created a long gulf between an arahat and a worldling. The attainment of the
stage of the arahatta became a hardly possible hope for the worldlings. So he
hypothesizes that in order to bridge this gulf, the Theravādins developed the theory
of the four stages to liberation. He further asserts that this theory offers hope to those
Buddhists who have surpassed the ordinary persons in spiritual attainment, but have
not yet been able to imitate fully the perfection of arahats. (Bond 1988:164).7
7
Bond in this article traces the evolution of the concept of arahatta in Theravāda Buddhism. He
argues that originally the arahantship was attainable ideal to everyone, but gradually the ideal was
12
Bond’s opinion that the first stage merged when attainment of arahatta became a
distant goal to be attained seems to need revision in light of textual evidence. When
one examines the concept of stream-enterer recorded in the early Buddhist sources,
entry, which is associated mostly with laities emerged as the attainment of the stage
of the arahatta still remained as the ideal for monastics. It is only in a later period
that both attainments became the prerogatives of monastic members. Thus Bond’s
argument may need to be reexamined. In the same vein Manne hypothesizes that the
second and third stages came into existence as responses to soteriological questions
attainment of arahatta before death, but cannot attain it in this very life. So there was
a logical demand for the creation of these two stages. She further comments that
Buddhists wanted to prove that the Buddha’s teachings work with the theory of four
stages to liberation (Manne 1995a:95).8 This may be one aspect of the development
of the theory of four stages, but the evidence in the texts reveal a more complex
presenting the dhamma by the Buddha according to the interest of the listeners:
Buddhism could introduce arahantship here and now for those who came to it
seeking no more rebirths. It could offer the stage of non-return for those who
exalted and became a very difficult and distant goal. And he asserts this has created vacuum for the
development of the theory of four stages.
8
In this article, Manne discusses the stream-enterer, the once-returner. The non-returner and the
arahat their classifications in the Nikāyas in relation to the scheme of ten fetters, five spiritual
faculties etc. she collects a lot of passages to show different ways of presentation of the four stages
in the Pāli Nikāyas. The article does not touch on the question of their historical development.
However, this article provides some important nucleus for present study.
13
followers is credible, however he did not explain how such needs have developed.
And how the theory became a monolithic path to arahatta subsequently. This view
seems to be representing later stage of the development of the theory of four stages
in the Nikāyas. The earliest stratum of the passages in the Nikāyas such as the
Suttanipāta, the Sāmaññaphala sutta and many more discourses seem to show the
earliest Buddhist interest was not in accommodating such diverse needs, but an
emphasis on the liberation in this life. Pande Govind Chandra claims that the theory
About the theory of four spiritual stages, it may be observed that it could not
have formed part of the earliest gospel. This is clear from the fact that we find
in the Nikāyas as earlier non-technical use of the word Anāgāmin. Further, had
the theory of the maggas and the corresponding phalas been early we might
have expected some references to them in the Sāmaññaphala. Finally, there is
little positive evidence in favour of regarding the theory as early (Pande
2006:539)
His observation is creditable but he does not go beyond mere hypothesis. His book
does not discuss when and why this theory of four stages to liberation was developed.
9
Somaratne, in this article discusses the list of ten fetters, their division into two; the higher fetters
and the lower fetters and question of intermediate existence. He demonstrates the inconsistency
between the list of ten fetters. He makes a sweeping comment that the four stages were taught to
suit different levels of audience. He shows some discrepancies in the scheme of four stages and
abandoning the list of ten fetters. He argues that in the Pāli Nikāyas, arahats are never mentioned as
those who have abandoned the five higher fetters rather those who have abandoned outflowing. He
further argues that the division of higher and lower fetters is not very consistent, as there are
passages in the Pāli canon which show three fold divisions—lower fetters, fetters relating to birth
and fetters relating to existence. By this he hypothesizes some form of intermediate existence.
14
different, often very contrasting, views on the origins of the theory of the four stages
further study on the origins of the theory of four stages is desideratum to trace how
the theory of four stages developed and what the were social and religious factors
Another question relates to whether the four stages are sequential attainments or
whether one can bypass some of the stages and become arahat directly. According to
the Pāli Abhidhamma and Pāli exegetical literature, the four stages are sequential
connecting several schemes of the paths that are presented in the Nikāyas. The path
culminates with the attainment of the four stages in sequential and progressive order.
This is followed in the Vibhaṅga and the Dhammasaṅgani. The Abhidhamma model
has also influenced the Pāli commentarial literature. But in the Nikāyas there seems
to be not a single record that a practitioner passes through all the four stages. Several
passages encapsulated in the Pāli Nikāyas postulate that one can bypass some of the
stages. Sometimes the first two stages and sometimes even all first three stages are
bypassed and the practitioner attains arahatta directly. Moreover, there are passages
in the Pāli Nikāyas that explicitly demonstrate that non-returner attains Nibbāna after
leaving this world (AN IV 119-20). When one tries to understand the Nikāya
conflict arises. The conflict is, according to Nikāya, a non-returner refers to a person
who fails to attain liberation in this life, but he would attain Nibbāna without
15
returning to human conditions again, in the heavenly realms. Then how would a non-
theoretically there cannot be any arahat in human form. Though some modern
scholars on Buddhist Studies have pointed out this discrepancy, previous studies on
the subject have not provided sufficient discussion particularly how the Pāli
the Pāli Nikāyas and the Pāli Commentaries. The Theravāda tradition, which sees the
four stages through the lens of Buddhaghosa, believes that four stages are the peak
the Visuddhimagga, has subsumed the four stages under the heading of purification
Buddhaghosa has interpreted through a simile that stream-enterers are close to the
interprets that at the moment of the stage of stream-entry one’s thought becomes
At the moment of stream-entry path, all dhammas born, except for cognizance
originated materiality, are profitable, free from cankers, lead-out, lead to
dispersal, belong to the supra-mundane having Nibbāna as their (supporting)
object. (The Path of Discrimination 118; Pm I 116).10
10
sotāpattimaggakkhaṇe jātā dhammā ṭhapetvā cittasamuṭṭhānaṃ rūpaṃ sabbe ‘va kusalā honti,
sabbe ‘va anāsavā honti, sabbe ‘va niyyanikā honti, sabbe ‘va apacayagāmino honti, sabbe ‘va
lokuttarā honti sabbe ‘va nibbānārammaṇā honti.
16
The state of outflow-free mind usually refers to the mind of an arahat. In the
Dhammasaṅgaṇī the four stages are defined as supra-mundane stage, which indicates
that stream-entry etc. are extremely high spiritual stages, almost not different from
arahatta itself. But the Pāli Nikāyas portray a different picture of the theory of four
Buddha told Venerable Ānanda that a noble disciple is one who is endowed with the
unshakable faith in the Buddha, the Dhamma, the Saṅgha, and he possesses morality
dear to noble ones, which are unbroken, without defect. If he wishes, he can declare
himself “ I have destroyed realm of hell, rebirth as animals, the ghost realm,
falling into unfortunate existence and certain of perfect enlightenment”. (DN 11 93).
The last factor is defined as alignment of one’s life with the five precepts. For
who is endowed with seven good qualities, if he wishes, he himself can declare as a
stream-enterer (SN V 356).11 Here, the seven good qualities referred to the alignment
of one’s life with the five precepts, abstaining from slandering speech, harsh speech,
useless gossip and unshakable faith in the Buddha, the Dhamma, and the Saṅgha (SN
V 356). In another passage in AN, it is mentioned one whose actions are restrained
by five precepts and endowed with faith in the Buddha, the Dhamma, and the
Sometimes, the last factors are replaced with other factors such as generosity towards
good people (SNV 352). Sometimes even the last factor is omitted. In another
11
yato kho gahapatayo ariyasāvako imehi sattehi sadhammehi samannāgato hoti so ākaṅkhāmo
attanā va attānaṃ vyākareyya khīṇanirayo ‘mhi khīṇatiracchāyoniko khīṇapittivasayo
khīṇāpāyaduggativinipāto sotāpanno’ham asmi avinipāto dhammo niyato sambodhiparāyaṇo.
17
passage in the SN, despite some weakness in observing the last factor, one who has
gone for refuge in the Buddha, the Dhamma and the Saṅgha, is a stream-enterer (SN
V 375). Furthermore, the Pāli Nikāyas record that once a lay follower by name
Dhammadinna approached to the Buddha, the Buddha taught him the dhamma. He
stated to the Buddha that what the Buddha taught him is very profound and supra-
on those teachings while living at home with children and wives. The Buddha then
advised him to cultivate the four factors of stream-entry. And when he has these four
passages which show that people are described as stream-enterers after their first
meeting with the Buddha or his disciples. In fact, there are incidents that imply
stream-enterers may not understand the doctrine that deals with non-soul and
dependent origination; sometimes even moral perfection is not required for the
attainment of stream-entry.
When I look into commentarial literature, I have observed the Pāli commentaries
encapsulate different and very often contradictory views regarding the question. For
people living in the city of Sāvatthi, five crore were noble disciples (āriyasāvakas)
(Dhp-A I 5), which suggests that they were at least stream-enterers. I think it is naïve
to assume that about seventy percent of the population of Sāvatthi were saints; rather
it makes sense to assume they might have been Buddhist followers. Another passage
in the Vinaya mentions that a group of hired killers who went to kill the Buddha,
18
after listening to the Buddha, instead of killing the Buddha, all of them instantly
intelligent Buddhist who is keen on the dhamma. Sometimes, even taking refuges is
abandoned by a stream-enterer are listed under the category of fetters that are to be
the realization through wisdom, but is derived from listening to the dhamma. He
argues that some practitioners, seeing the dhamma through the eye of Buddhaghosa,
state, thus fearing the breaching of one of the four Pārājika rules (Sumangala
converted to Buddhism (The Dialogue of the Buddha I 200). And Manne also agrees
with him (Manne 1995a: 95). Except the short article by Sumangala, not many
scholars paid attention to this issue except through few sweeping comments. No
previous studies have shown how such discrepancy developed and what religious
stage of the stream-entry. The Theravāda tradition considers the stage of the stream-
12
This is a very short article on the concept of stream-entry. He points out the discrepancy between
the Nikāya interpretation of the concept and the Pāli commentarial interpretation of concept. He
strongly asserts a stream-enterer originally simply referred to a Buddhist, it even does not require
any form of meditation practices, but Pāli commentators exalted stream-enterer to a spiritual saint.
The articles do not address the question how the concept of stream-enterer was developed and how
it went through several stages of development.
19
meditation to attain the stage of stream-entry.13 This view is largely based on the
presents the stage of stream-entry as the peak spiritual experience. This has led to
doubting the capacity of attaining the stage of stream-entry even by monastics in one
order. According to this description, one attains the stage of the stream-entry in the
seventh stage of the sevenfold purification. The seventh stage is the purification of
Furthermore, Buddhaghosa goes on to state that one almost attain Nibbāna at the
moment of the attainment of the stage of stream-entry (Vism 673). Based on the
But when one observes the Pāli Nikāyas, there is no explicit evidence to conclude
that the attainment of the stage of the stream-entry requires meditation and
absent in the context of the attainment of the stage of stream-entry. Very often even
13
There is a controversy as to requirement of the samatha meditation. Some Theravāda masters think,
there is no requirement of samatha meditation; one can attain the stage of the stream-entry, the
stage of the arahatta only through vipassanā mediation. Clough (2012) in his book Early Indian
and Theravāda Buddhism: Soteriological Controversy and Diversity has given a long discussion on
this controversy.
20
entry in the Pāli Nikāyas. There are several instances where the lay followers were
declared as stream-enterers after a first meeting with the Buddha or his disciples.
One may argue that they could have been practicing meditation before this point of
declaration, but when one observes certain instances critically, we cannot make such
inference. For instance, some hired killers were sent to kill the Buddha, but when
they listened to the teachings of the Buddha, instantly they became stream-enterers
(Vin II 192). In another instance the leper Suppabuddha had mistakenly thought a
crowd listening to the Buddha were assembled for a free food distribution and he
approached there with the hope of getting a meal. He received gradual instruction of
expect that the hired killers have practiced meditation earlier. There are many more
Though an exclusive study on the issue has not been done prior to this study,
modern scholars in Buddhist studies have shed some light on the issue. Gethin
asserts that although in the Nikāyas stream-enterer are not always presented in
relation to meditation, they are usually presented as having a sudden radical change
of heart after hearing the Buddha or his disciples. He thinks such sudden changes are
only possible with prior gradual practices (Gethin 2001:226). By this he infers that
meditation does play a role in the attainment of the stage of the stream-entry.
Bhikkhu Sujāto also concurs with Gethin and further argues that samādhi is a
requirement for the attainment of the stage of the stream-entry and once-return
(Sujato 2006:135).
21
On the other hand, Masefield thinks that the attainment of jhānas or meditation
practice is not a requirement for the attainment of the stage of the stream-entry and
once returns. His argues that stream-enterers and once-returners take birth in the
sensual real (kāmāvacara), therefore they have not gone beyond the fifth factor of
the noble eightfold path. He further states that many who became stream-enterers
through hearing the dhamma may not have practiced meditation (Masefield
1986:60). His second hypothesis is creditable but the first point that stream-enterers
and once-returners do not attain jhānas because they took rebirth in the sensual realm
is weak. The fact of taking birth in the sensual realm does not prove that they do not
If stream-enterer and once returner attain jhānas, the concept of the once-
returner would be superfluous, since not a single once-returner would ever
return to this world (Bhikkhu Anālayo 2007: 81).
Bhikkhu Bodhi in his article “The Jhāna and Lay Disciples” discusses the question of
the relevance of meditation (jhāna) to attain four stages. He strongly asserts that
jhāna does not play an important role in the attainment of the first stage, but from
there to unfold the path to higher stages jhāna is essential (Bhikkhu Bodhi
2001:138). However he has not given sufficient discussion and evidence to prove his
stream-enterer (Sumangala 1965:18). He also has not substantiated his claim with
sufficient textual evidence. Thus, though scholars have given some views and
Manne opines that though it is not clear whether the faith in the Buddha, the
Dhamma and the Saṅgha is sufficient for one to become stream-enterer, she
22
hypothesizes sometimes it seems sufficient. Harvey on the other hand thinks that
mere faith is not sufficient to attain the stage of the stream-entry. He argues apart
from faith in the Buddha, the Dhamma and the Saṅgha, understanding some
While fully aware of the weight of the arguments, I think, the issue required
further in-depth study to come to solid conclusion whether the meditation and
attainment of the jhānas are required to become a stream-enterer. This would fill
Another dilemma I wish to point out in this study is where does the
The Pāli Ābhidhammikas as well as Pāli commentators have refuted the concept of
intermediate existence. Hence, they have interpret that the antarāparinibbāyī attains
Nibbāna in the pure abode either immediately after the birth or before reaching the
Modern scholars on Buddhist studies also have divergent, often contrasting view
on this question. Bodhi and Somaratne argue that the interpretation of the Pāli
14
A number of early Indian Buddhist schools such as Pūrvaśaila, Sammaitīya, Sarvāstivāda,
Vātsīputrīya and Mahīsāsaka have accepted this intermediate existence.
15
tattha antarāparinibbāyīti yattha katthaci suddhāvāsabhave upapajjitvā āyuvemajjhaṃ appatvāva
parinibbāyati.
23
Discourses of the Buddha 70-71; Somaratne 1999: 133). Lily De Silva also
some kind of intermediate existence. (Lily De Silva 2004: 55-58).16 On the other
hand, Kalupahana Koyu Tamura (1961) and Anālayo (2008) defend the Theravāda
traditional view. The present study hopes to broaden the discussion by investigating
commentarial literature.
As shown above, a brief literature review reveals that though the theory of four
comprehensive academic study yet. Though a few studies have devoted to the topics
in the form of relatively short articles, they do little justice to the complexity of the
subject or the sheer length of history of the theory of the four stages to liberation. To
investigate the origin and development of the theory of the four stages to liberation.
Although some differences between the Nikāya interpretation and Pāli commentarial
interpretation of the concept of stream-entry have been noted by some scholars, apart
from a credible, but short previous attempt by Horner in her article “The Four Ways
and Four Fruits”. The present work is the first thesis length study devoted to
discovering the original formation of the theory and its development in the Pāli
16
It is a very short article published in Buddhist Studies (Bukkyo Kenkyu) vol. XXXII, ed, Sodo
Mori. In this article, she hypothesizes the acceptance of some form a intermediate existence in Pāli
Nikāyas. She bases her arguments on the twelve-fold dependent origination and distinction between
kāya and rūpa. But she does not give a long discussion on the hypothesis rather suggests further
studies are required to confirm it.
24
an exploration that as far as I know, has not been given sufficient attention by
My aim in this thesis is threefold; to uncover the origin of the theory of the four
stages to liberation, to trace its subsequent history, and to assess its significance in
the Theravāda Buddhist soteriology. I believe through a careful study, one can derive
The main source of this study is the Pāli Canon and Pāli commentarial literature. The
Pāli Nikāyas are perhaps the most important source to understand early Buddhism.
They are considered to be the oldest extant Buddhist scriptures. However, it does not
imply that Pāli Nikāyas have not gone through changes. The Pāli Nikāyas contain
divergent strands of materials of different periods, though most of the contents can
be safely ascribed to the Buddha and his early disciples. But overall, the Pāli Nikāyas
encapsulate early Buddhist teachings. The PTS edition was used, but occasionally
the Burmese digital version Chaṭṭasangāyāna CD-ROM 4 has been consulted. This
study also treats the English Translation of Pāli Canon published by PTS as well as
a. The theory of four stages have no direct bearing on the spiritual attainment of the
Buddha and his early disciples, i.e. the four stages are not product of
religious needs. Therefore, in the mind of those who developed this elaborate
theory of four stages to liberation, the personal spiritual experience may not
c. The theory of four stages to liberation did not remain static, rather over time, the
evolved from its original formulation in the Nikāyas to its standardized elaborate
The justification of these premises will gradually develop in the course of this thesis.
I want to only highlight my second premise concerning the relationship between the
origin of the four stages and socio-religious factors. All the evidence indicates that
the origin of the theory of four stages to liberation is closely related to socio-
religious history of Buddhism. Therefore, the history of the theory of four stages
In investigating the origin of the theory of four stages, the purpose and socio-
religious circumstances surrounding its origins, I primarily rely on the Pāli Nikāyas.
The main difficulty in studying the origin of the theory of four stages stems from the
sources because no extant Buddhist texts discuss the question of the origin of the
26
theory of four stages. And the Nikāyas are not primarily history books. The
compilers of the Nikāyas were soteriologically motivated, so their main concern was
On the other hand the Nikāyas are highly heterogeneous in contents. The Nikāyas
contain different interpretations. When different interpretations are given, one has
a. All the interpretations are equally valid. They were taught to different
interpretations that were developed in that period are recorded in the texts.
While the traditional Buddhist scholars would prefer the first possibility, modern
critical scholars would argue for the second possibility. But given the difficulty of
dating the Nikāya texts, it is very difficult to clearly demarcate these strata of
doctrines in the Pāli Nikāyas. Therefore, I would argue that the standardized
found in the Nikāyas. Taking the non-standardized descriptions and analyzing these
materials, I try to trace the original formation of the theory of four stages to
liberation.
In examining the development of the theory of four stages to liberation from its
mainly I rely on the Pāli Abhidhamma and Pāli commentarial literature. The Pāli
27
Though the origins of the Pāli commentarial literature is very difficult, if not
the Buddha is certainly very early among Buddhists. Buddhists monastics were
according to the spiritual maturity of the listeners, hence sometimes they are very
brief. When others try to understand these discourses, there were needs for
Though the prime purpose of Pāli commentarial literature might have been to
many new interpretation and ideas, often prompted by social and religious demands,
taking place in India and her neighboring countries, came to be encapsulated in the
rejects certain interpretation of the Abhidhamma and Pāli exegetical literature, one
liberation, the description in the Paṭisaṃbhidāmagga is very different from the rest
of the discourses in the first four Nikāyas, but is very similar to Abhidhammic
Ñāṇamoli, has very convincingly proved the relationship between the Abhidhamma
Visuddhimagga of Buddhaghosa.
32
Chapter 2:
The Evolution of the Stage of Stream-entry and the Stage of
Once-Return
Contemporary Buddhists very often understand the stage of stream-entry as an
exalted state that has more of a religiously symbolic value than a practical one. As
fundamentally alters his religious life once and forever. Besides the Theravāda, the
who has gained insight into the supra-mundane path (AKB III 1861-2162;
Dhammajoti 2009: 433-464). That both Theravāda and the Sarvāstivāda agree on
where the stages of noble persons began to undergo shifts that drift away from the
concept one needs to clarify how the later tradition differs from the early Buddhists,
and to clarify an important doctrinal evolution of Buddhist history that has hitherto
elevation that renders it an almost unrealizable ideal within this life. To trace such
mutatory shifts, I would first investigate the interrelationship between the concepts of
dhammacakkhuṃ and the stage of stream entry in a myriad of discourses that equate
33
stream-entry with the opening of the dhammacakkhuṃ. Then the diversity of the
A number of discourses show that the first stage of sainthood was the arising of the
vision into dhamma (dhammacakkhuṃ udapādi). But in the theory of four stages to
number of discourses equate the stage of dhammacakkhuṃ with the stage of stream-
entry. This sub-section will examine the interrelation between dhammacakkhuṃ and
stage of stream-entry and the pre-requirements said to be necessary for the arising of
The term dhammacakkhuṃ refers to vision of reality. The term dhamma is a very
broad term in Buddhism. It connotes many things such as reality, truth, phenomena
or simply the teaching of the Buddha. It is very often equated with the theory of
191).1 And the term cakkhuṃ connotes knowledge (ñāṇa), wisdom (paññā), or vision
1
yo paṭiccasamuppādam passati so dhammaṃ passati, yo dhammaṃ passati so paṭiccasamuppādaṃ
passati.
34
that the Pāli equivalents of the two terms darśana and parijñā are dassana and
itself. Buddhaghosa further elaborates that one who sees the theory of dependent co-
arising, sees four noble truths and Nibbāna (Vism 697). He further states that vision
The early Buddhist records show that many of the early disciples of the Buddha
went through two stages to liberation. According to these records the first stage of
udapādi). The discourses show that frequently, a conversation either with the
experience in the dispensation of the Buddha. Among the five earliest disciples,
35
Kondañña was able to penetrate the doctrine taught by the Buddha. His penetration is
marked as “dustless and stainless vision into dhamma arose” (SN V 467).2 It is
further said that later, on a subsequent occasion the Buddha gave them another
this discourse all five of them became arahats. Their achievement is marked as
‘destruction of out-flowing (āsavākkhaya) (SN III 68; Vin I 14).3 These two passages
show that arising of the dhammacakkhuṃ is not equal to attainment of the stage of
arahatta. The record of Yasa also shows that. According to the account of early
that a son of a wealthy family being disgusted with life left home and met the
occasions in the Pāli canonical and non-canonical literature, when Sāriputta saw
Assaji, a disciple of the Buddha, he was pleased and asked for short discourse on the
path he was following (Vin I 39). In response, Assaji uttered a two-line verse which
they have their causes and conditions; their causes and together with their cessation
are explained by the great recluse (the Buddha)” (Vin I 39).4 This short verse was
sufficient for Sāriputta to penetrate the truth and hence it is mentioned the
2
virajaṃ vītamalaṃ dhammacakkhuṃ udapādi.
3
imasmiṃ ca pana veyyākarāṇaṃ bhaññamāne pañcavaggiyānaṃ bhikkhūnaṃ anupādāya āsavehi
cittāni vimucciṃsū .
4
ye dhammā hetuppabhavā, tesaṃ hetuṃ tathāgato āha, tesañ ca yo nirodho evaṃvādī mahāsamaṇo.
32
Chapter 2:
The Evolution of the Stage of Stream-entry and the Stage of
Once-Return
Contemporary Buddhists very often understand the stage of stream-entry as an
exalted state that has more of a religiously symbolic value than a practical one. As
fundamentally alters his religious life once and forever. Besides the Theravāda, the
who has gained insight into the supra-mundane path (AKB III 1861-2162;
Dhammajoti 2009: 433-464). That both Theravāda and the Sarvāstivāda agree on
where the stages of noble persons began to undergo shifts that drift away from the
concept one needs to clarify how the later tradition differs from the early Buddhists,
and to clarify an important doctrinal evolution of Buddhist history that has hitherto
elevation that renders it an almost unrealizable ideal within this life. To trace such
mutatory shifts, I would first investigate the interrelationship between the concepts of
dhammacakkhuṃ and the stage of stream entry in a myriad of discourses that equate
33
stream-entry with the opening of the dhammacakkhuṃ. Then the diversity of the
A number of discourses show that the first stage of sainthood was the arising of the
vision into dhamma (dhammacakkhuṃ udapādi). But in the theory of four stages to
number of discourses equate the stage of dhammacakkhuṃ with the stage of stream-
entry. This sub-section will examine the interrelation between dhammacakkhuṃ and
stage of stream-entry and the pre-requirements said to be necessary for the arising of
The term dhammacakkhuṃ refers to vision of reality. The term dhamma is a very
broad term in Buddhism. It connotes many things such as reality, truth, phenomena
or simply the teaching of the Buddha. It is very often equated with the theory of
191).1 And the term cakkhuṃ connotes knowledge (ñāṇa), wisdom (paññā), or vision
1
yo paṭiccasamuppādam passati so dhammaṃ passati, yo dhammaṃ passati so paṭiccasamuppādaṃ
passati.
34
that the Pāli equivalents of the two terms darśana and parijñā are dassana and
itself. Buddhaghosa further elaborates that one who sees the theory of dependent co-
arising, sees four noble truths and Nibbāna (Vism 697). He further states that vision
The early Buddhist records show that many of the early disciples of the Buddha
went through two stages to liberation. According to these records the first stage of
udapādi). The discourses show that frequently, a conversation either with the
experience in the dispensation of the Buddha. Among the five earliest disciples,
35
Kondañña was able to penetrate the doctrine taught by the Buddha. His penetration is
marked as “dustless and stainless vision into dhamma arose” (SN V 467).2 It is
further said that later, on a subsequent occasion the Buddha gave them another
this discourse all five of them became arahats. Their achievement is marked as
‘destruction of out-flowing (āsavākkhaya) (SN III 68; Vin I 14).3 These two passages
show that arising of the dhammacakkhuṃ is not equal to attainment of the stage of
arahatta. The record of Yasa also shows that. According to the account of early
that a son of a wealthy family being disgusted with life left home and met the
occasions in the Pāli canonical and non-canonical literature, when Sāriputta saw
Assaji, a disciple of the Buddha, he was pleased and asked for short discourse on the
path he was following (Vin I 39). In response, Assaji uttered a two-line verse which
they have their causes and conditions; their causes and together with their cessation
are explained by the great recluse (the Buddha)” (Vin I 39).4 This short verse was
sufficient for Sāriputta to penetrate the truth and hence it is mentioned the
2
virajaṃ vītamalaṃ dhammacakkhuṃ udapādi.
3
imasmiṃ ca pana veyyākarāṇaṃ bhaññamāne pañcavaggiyānaṃ bhikkhūnaṃ anupādāya āsavehi
cittāni vimucciṃsū .
4
ye dhammā hetuppabhavā, tesaṃ hetuṃ tathāgato āha, tesañ ca yo nirodho evaṃvādī mahāsamaṇo.
36
Buddha and got ordained. The Anupada sutta of MN records the process he
underwent after ordination. According to the discourse, he strived hard for two
weeks, successively mastered four lower rūpajjhānas, four arūpajjhānas, and the
cessation of perception and sensation. With insight he penetrated into the nature of
each of those states, and on listening to another discourse on the nature of sensation,
final liberation occurred to him and his mind was liberated from all out-flowing (Tha
995-96). Another great disciple of the Buddha, Moggallana, hearing the same stanza
from the mouth of his friend Sāriputta, the vision of dhamma instantly arose in him.
After further rounds of spiritual struggle, the sutta records that he became an
early disciples recorded in the verses of early monks and nuns went through a stage
Nikāyas show that almost everyone who came into contact with the Buddha gained
passage defines who has gained dhammacakkhuṃ is the one who has seen the
who has penetration of dhamma (pariyogāḷhadhamma), one who has gone beyond
interpretations connote one who gained dhammacakkhuṃ has some insight into
Buddhist doctrine. Texts interpret that with the gaining of dhammacakkhuṃ, one
defines it as a radical change in one’s attitude towards the world and phenomenal
In early discourses in the Nikāyas and the Vinaya Piṭaka only two stages were
mentioned; the first, arising of the dhammacakkhuṃ, second, freeing the mind from
all outflowing (Vin I 14)5. There is no mention of any intermediate stage between
these two in any passage. When the theory of of four stages was established, there
instance, Pāli Nikāyas show some attempts to equate dhammacakkhuṃ with the stage
passages are also seen in AN and the Kv, equation of dhammacakkhuṃ with the
attainment of first three fetters as “when dustless and stainless vision of dhamma
5
āsavehi cittāni vimucciṃsu.
38
fetters—self-view, doubts, and attachment to rituals and vows are abandoned.” (AN
I 242).6
For instance, in case of Yasa who said to have gained dhammacakkhuṃ in the
Vinaya (Vin I 16), the commentary to Jātaka states he was established in the stage of
stream-entry ( J-A I 82). Similarly Aññakoṇḍañña and Sāriputta who were said to
have gained dhammacakkhuṃ in the Vinaya and Nikāya, (Vin I 11; SN V 420-24,
The question is, how to correlate the two stages with the newly developed four
then how to account for the two intermediate stages? This was a dilemma before the
While above cited passages of commentary show attempts to equate the gaining of
commentrial passages tried to correlate dhammacakkhuṃ with any of the first three
6
evam evaṃ kho, bhikkhave, yato ariyasāvakassa virajaṃ vītamalaṃ dhammacakkhuṃ udapādi saha
dassanuppādā, bhikkhave, ariyasāvakassa tīṇi saṃyojanāni pahīyanti – sakkāyadiṭṭhi, vicikicchā,
sīlabbataparāmāso.
7
dhammacakkhuṃ nāma heṭṭhimā tayo maggā tīṇi ca phalāni.
39
context of Kondaññā, that it refers to the first path (SN-A III 298).8 The commentary
the three lower paths (Dhs-A 306). 9 The same idea is expressed in several
The dhammacakkhuṃ arose means for some path of stream-entry, for some
path of once return, for some of non-return. All these three paths are referred as
dhammacakkhu (Vin-A V 971).11
The question is whether one goes through all three stages or directly becomes non-
tradition states one goes through the first three stages. This raises the question, how
one could attain all three stages in such a short time? This led Ābhidhammikas to
interpret four stages as momentary paths. (See more on this question in chapter 5).
Thus, all textual evidences slant toward the conclusion that the concept of
dhammacakkhuṃ is earlier than the theory of four paths and four stages. When the
theory of four stages was developed, there was tendency to equate dhammacakkhuṃ
with the stage of stream-entry. But the link between stream-entry and the
dhammacakkhuṃ seems tenuous given all the available evidence in the discourses.
8
dhammacakkhunti aññattha tayo maggā tīṇi ca phalāni dhammacakkhu nāma honti, idha
paṭhamamaggova.
9
heṭṭhimā maggattayasaṅkhātaṃ ñāṇaṃ dhammacakkhuṃ nāma.
10
dhammacakkhuṃ nāma heṭṭhimā tayo maggā tīṇi ca phalāni, yaṃ; DN-A 237 dhammacakkhu
nāma tiṇṇam maggānam etaṃ adhivacanaṃ.
11
dhammacakkhuṃ udapādīti kesañci sotāpattimaggo kesañci sakadāgāmimaggo, kesañci
anāgāmimaggo udapādi. tayopi hi ete maggā dhammacakkhūti vuccanti.
40
connotes some spiritual insight into the nature of phenomena, i.e., dependent co-
elements such as faith in the Buddha, the Dhamma, and the Saṅgha. And there are
rare instances, where both the arising of dhammacakkhuṃ and the attainment of
stream-entry are used in same discourse. The Sakkapañha sutta of DN, in the middle
lower existences, destined to enlightenment” (DN II 284).12 But at the end of the
comprehended ‘all phenomena subject to arising, they are subject to cessation’ (yaṃ
dhammacakkhuṃ and the stage of stream-entry were not identical at least when this
institutionalization of the religion. Such topics will be taken up later in later chapters,
but at present it suffices to note a general trend within the development of Buddhism
itself.
can discern an important shift and an expansion of the analysis of the opening of the
12
ahaṃ kho pana bhante, bhagavato sāvako sotāpanno avinipātadhammo niyato sambodhiparayaṇoti
41
Buddha, the unshakable faith in the Dhamma, the unshakable faith in the Saṅgha and
abiding with virtues dear to noble ones; and then the merging of these two lines of
definition in the AN, we can see the gradual emergence of this concept from its
from the insight into the impersonal natural law of causality to the inclusion of the
figure of Buddha and the Saṅgha together as part of the unshakable faiths evidences
doctrinal teachings. The important implications and the underlying causes of this
probable line of development will be taken up later in chapter 4 when reasons behind
the development of the four stages are discussed. An interesting observation would
link up the previous lines of evolution of the concept from the notion of fetters to the
account of the first stage. There is an obvious similarity between the first fetter,
with the unshakable faith in the Buddha, the Dhamma and the Saṅgha. The four
with the much later scheme of interpretating the four stages. Such scheme will
The earliest instances of the four factors of stream-enterer and the opening of
dhammacakkhuṃ, mark the earliest attempts at defining the entry to the stage of
arahatta. Seeing the Nikāyas as a whole, such notion became the embryonic nucleus
where further lines of enquiry diverges into a heterogeneous body of texts, all unified
by the common theme of either direct insight into the Buddhist spiritual realizations
dhammacakkhuṃ, the emphasis on religious elements such as the faith in the Buddha,
the Dhamma and the Saṅgha is predominant in the concept of establishing the stage
of stream-entry. The standard passage of the requirement for the attainment of the
Although the standard description enumerates the four factors, sundry variations are
observed regarding the fourth factor. Sometimes, the last factor is totally omitted or
replaced by other factors. In one instance, the last factor is replaced by generosity
towards virtuous people (SN V351-52). In another instance, the Sākyan Mahānāma,
approached Venerable Godha and asked by how many factors makes one a stream-
enterer, the latter answered only first three factors. It is said; at this juncture
Mahānāma was little puzzled because previously, he learnt four factors. So he went
straight to the Buddha for clarification, the Buddha did not give any explicit answer
to this, rather he praised the faith of Mahānāma (SN V 372). This point is further
43
declared a stream-enterer after his death. This has raised some criticism from
different quarters of society, for in their views Sarakāṇi was weak in abiding in
morality. This was reported to the Buddha, the Buddha declared that whosoever went
for refuge in the Buddha, the Dhamma and the Saṅgha for a long time was
factor poses questions on the validity of the fourth factor, showing that there was not
consistenly emphasizes the necessity of having unshakable faith in the Buddha, the
Dhamma and the Saṅgha. It is to be noted that in this section, there is no mention of
dependent co-arising, four noble truths or five aggregates. The description of the
in this section most likely predates the development of the theory of four stages. If
other stages were defined by the time of the compilation of this section, there might
have been reference to them. When the four stages were developed, there was
the list of ten fetters. Thus the standard description of the stream-enterer came to be
defined in relation to abandoning the list of first three fetters, and there was tendency
to omit four factors of stream-entry from the standard description. This trend is quite
emphasized and four factors of stream-entry are omitted altogether. The trend is
with the faith in the Buddha, the Dhamma, and the Saṅgha, rather than abandoning
the stories, the description of stream-enterer is very similar. Furthermore, when one
obviously clear that the originally the concept stream-enterer was decribed in terms
of possessing faith in the Buddha, the Dhamma and the Saṅgha. This is sufficient to
draw a tentative conclusion that at least some compilers of the Nikāya Buddhism was
of the view that the fourth factor can be optional, while the first three are indelible
factors to be a stream-enterer.
enterer is one who places unshakable and firm faith in the Buddha, the Dhamma and
the Saṅgha. The stream-enterer is defined as one who stands unshakably and
immovably (DN-A III 864). 13 This passage further states that stream-enterer
possesses unshakable faith; he never speaks of the Buddha as not Buddha, the
13
niviṭṭhā ti abhiniviṭṭhā acala-ṭṭhitā.
45
Dhamma as not Dhamma, and the Saṅgha as not Saṅgha. A beautiful simile is drawn
stream-enterer is shown based on the faith in the Buddha. It states: “faith in the
875).14 The stream-enterer transcends all doubts with regards to the Buddha, the
Dhamma and the Saṅgha. Doubting the Buddha is defined as twofold, doubts with
regards to physical marks of the Buddha, and doubts with regards to virtues. The
physical marks referred to thirty two great marks of a great man and suspecting his
knowledge of past, present and future. And suspecting the Dhamma is of twofold;
suspecting theory and practices. Theory refers to whether three baskets (tipiṭaka) are
the words of the Buddha or not, whether the eighty-four thousand parts of Dhamma
are spoken by the Buddha or not. And with regards to practice, doubting regarding
practice of insight, whether it will bring to liberation. And suspecting the Saṅgha
means doubting whether eightfold noble disciple exists in the Saṅgha (DN-A III
1030-36).
14
sabbalokiyamahājanassa eko sotāpannānaṃ buddha-guṇe mahantato saddahati.
46
the early Saṅgha. The need for confirmed confidence into the Buddha, Dhamma and
Saṅgha does not require the level of spiritual insight that was prescribed by the
confidence that calls more to the emotional needs of the practitioner rather than
accordance with dhamma” (SN V 347). Besides the Sotāpatti-saṃyutta of SN; the
Mahāparinibbāna sutta and Saṅgīti sutta of the DN also contains such reference to
this scheme.
The original concept of stream-enterer would be defined as one who has resolute
faith in the Buddha, the Dhamma and the Saṅgha. These three are constitutive of
wisdom cannot be gained in over a day, it requires streaneous effort over a long
period of time. Perior to attainment of the ability to very the authecity of the
Buddha’s discovery and authencity of the Buddha wisdom and transformative power
of the dhamma. If one’s faith is weak, then one cannot starts the path.
47
However, this faith is not a blind faith. In order to abandon the doubts, one has to
liberation. Thus, abandoining of the three fetters come to support the growth of this
faith. The first fetter, the self-view refers to an intellectual understanding of the
convinced that none of the five aggregates that an individual is constitutive of, is
eternal or soul. They are impermanent and subject to constant change. The
abandoning of the second fetter, the doubts, reaffirms one’s faith in the Buddha, the
Dhamma, and the Saṅgha. And the abandoning of the third fetter, the attachment to
rituals and vows, once agains, reaffairs one’s faith in the capability of the Dhamma
regarding the path that leads to liberation. Thus, the faith is not just emotional
framework. It is about the autencity of the Buddha, the Dhamma, and the Saṅgha. By
In the previous section, I have pointed out that there is a qualitative distinction
While the former emphasizes on the cognitive insight into theory of dependent co-
arising, the latter emphasizes on religious affiliation. Later on there was a tendency
to merge these two lines of thought. Thus, Nikāyas show the twin lines of
development of concept of stream-enterer, the insight line, and the religious line.
48
the tying of direct insight into dependent co-arising, clearly shown in the
also seen for stream-enterer. For instance, passages in the SN show a plurality of this
theme of attainment of insight, such as the conditioned nature of the five aggregates,
comprehension of the Four Noble Truths, and other doctrinal categories. For
(dhammasotaṃ samāpanno), and is a noble disciple who stands before the door of
explicit enough to be understood that it refers to the same stage. Another example in
comprehends five aggregates, their origin, cessation, gratification, the danger in them
and has the ability to overcome them (SN III 160-1). The interesting thing to observe
is that in the next short discourse, it is explained that one becomes an arahat by
realizing the five aggregates, their origin, their cessation, their gratification, danger
in them and the ability to overcome (SN III 161). In the same section, it is further
explained that one arrives at the stage of stream-entry through proper mental
and without soul (SN III 167). It is further stated that by continuous proper mental
stream-enterer is defined as one who abandons perplexity with regard to six cases
of unsatisfactoriness ( SN III 203). Bhikkhu Bodhi has pointed out that six places
referred to the five aggregates and the tetrad of sense objects taken collectively as
one (The Connetcted Discourses of the Buddha, 1095, fn. 251). The same point
almost with same wording is repeated in several short discourses in the Nidāna-
disease and tumor leads one to the stage of stream-entry (SN III 167). Another
One who knows truly the gratification, the danger, and escape of the five
spiritual faculties is a stream-enterer, who is not subjected to nether world, and
destined to full awakening ( SN V 193).15
What all these passages show is a development along the line of attainment of
spiritual insight from the earlier concept of arising of dhammacakkhuṃ and the direct
to enlightenment, including the insight into the conditioned nature of five aggregates,
15
This passage is abstruse for in several places five spiritual faculties are to be developed for the
awakening. In several passages the whole of Buddhist practices are based on five spiritual faculties:
One who has completed and fulfilled these five spiritual faculties, is an arahat. If they are
weaker than that in some one, he is practicing for the stage arahantship. In whom, the
development of the five faculties are still weaker he is a non-returner, in whom still weaker
than that he is a practisicing for stage of non-return. If still weaker, he is once-returner, further
weaker, he is practicing for stage once return, if they are still weaker, he is a stream-enterer,
and further weaker, he is practicing for the stage of stream-entry. In whom, they are totally
absent, he is an outsider who stands on the side of worldlings (SN V 202).
Therefore, it is more likely case that in this passage referring to five faculties might have been
intended for the five sense faculties, but due to some textual corruption in the process of edition,
five spiritual faculties might have been mentioned.
50
the sense faculties, the four noble truth, are all assemblage as the hallmark of
the earliest stage of Buddhism when the various spiritual doctrines began to be
the heterogeneous nature of the bodies of texts relating to stream-enterer in the SN,
the unifying factor of all these differences is the overriding concern of the attainment
of spiritual insight, and this evinces a line of continuity from the earlier
interpretation.
There were dual lines of development of insight and religious faith reflected in
the pre-stream-entry schemes that are considered to lead up to this stage. The
practitioners could lead up the first stage of awakening, representing the duality that
one sees between faith-based religious pursuit as well as intellect-based ones. This
dichotomy is chronicled as the last two in the list of sevenfold classification of noble
persons, and the records of several short discourses in SN show that dhammānusāri
and saddhānusāri are types of pre-stages to the stage of stream-entry. In some other
passages it is assured that dhammānusārī and saddhānusārī will not pass away
evidence that the two schemes are already in the mind of the early Buddhists who
theorized about the pre-stages of stage of stream-entry, reflecting the attainments that
discussion of the implication of the two schemes will be included in the latter part of
this chapter.
51
with stage of the stream-enterer. Gradually from the simple teaching of generosity to
doctrine of kamma, the doctrine of dependent co-arising, the doctrine of four noble
truths, eightfold noble paths, the Nibbāna, and Buddhist meditations came to be
contrast, the stream-enterers are not shaken and trembled by views because they have
makes a demarcation line between Buddhist view of worldlings and beings from
sutta, the first discourse in the Dīghanikāya all existing religious and philosophical
views are collected. The views are numerically listed as sixty two. They are
classified into two main groups; the eternalist (sassata-diṭṭhi), which states the
substance of the world. And nihilists (uccheda-diṭṭhi), which state that there is no
continuation of human existence after death (DN-A I 124).17 They arise due to
improper attention to either past or future. Thus they are grouped into eighteen views
The Buddha presented his doctrine in contrast to these two opposing views. Hence,
16
na sotāpannassa dassanaṃ iva niccalan ti dasseti.
17
ettāvatā sabbā pi dvāsaṭṭhi diṭṭhiyo kathitā honti yāsaṃ satt’eva uccheda-diṭṭhiyo sesā sassata-
diṭṭhiyo.
52
of notion of self. A worldling is defined as someone who grasps one of the five
aggregates or sum total of the five aggregates as soul. He comes to such mistaken
view due to not listening to the spiritual teachers (aparatoghosa) and not paying
constrast to the worldling is one who has transcended views because he listens to
rooted in human mind. It springs from craving. Even Buddhist meditation should be
guided by right view, for if not guided by right view, meditative experiences can also
give rise to views (MN I 435-36, 350-52). The views can give rise to conceit due to
which one extols oneself and disparages others. It leads to dogmatism, and it can be
the source of all troubles and disputes (Aṭṭhakavagga of Suttanipāta). It binds one
into saṃsāra, and causes to accumulate unwholesome kamma that leads one to
The stream-enterer is defined as one who has transcended views (MN-A I 73-74).
The stream-enterer does not hold any of the five aggregates as self (attā), because he
soullessness. Hence, it is defined that the path stream-entry separates one from the
views (DN-A III 1032),18 a out-flowing related to views (MN-A I 74) In other
passage, it is stated that stream-enterers clearly perceived noble law (ariya ñāya) (SN
Since stream-enterers have clear understanding of the five aggregates, the building
blocks of the beings and the world, he is freed from all mental proliferation, the
(DN-A III 721). It is further stated that all views and proliferation are based on
wrongly grasping the five aggregates. The worldlings due to improper grasping of
five aggregates hold views that consider what is impermanent as permanent, ete., this
gives rises to views of one’s existence. Then there comes attachment to one’s
18
sotāpattimaggo diṭṭhiyogavisaññogo nāma.
19
sotāpannañca nāma paccayākāro uttānako viya hutvā upaṭṭhāti, ayañca āyasmā sotāpanno.
54
existence and identity in the existence. Then there arises view of self-indentity or
soul. Thus, all sixty-two possible views collected in the Brahmajāla sutta, are based
on wrongly grasping the five aggregates with craving for the five aggregates. Since
stream-enterers abandons all views, the undue notion of self-conceit does not arise in
the stream-enterers (MN-A I 184). However, instead of the term ‘māna’, here
‘adhimāna’ is used. The term ‘māna’ is as one of the higher fetters to be eradicated
by arahats; hence commentators may have selected the term ‘adhimāna’ to indicate
grosser level of conceit. The prefix ‘adhi’ conveys sense of exceeding, over etc. (Pāli
soulless (SN III 167). In the Okkanti-saṃyutta of the SN, it is explained that a
stream-enterer knows and perceives, six internal bases, six external bases, six types
stream-enterer is defined as one who knows the four noble truths as they are
(yathābhūtaṃ pajānāti). Hence, both the Nikāyas and Pāli commentarial literature
(AN-A II 1).
55
permanent soul as the primary cause of suffering. This notion of the soul germinates
discourses repeat that the worldling is one who takes either one of the five aggregates
or all of them as eternal soul (attā). It is because the worldlings lack listening
self-view is constructed. Once the notion of eternal soul is built, the worldling wants
to maintain personality identity. The personality identity is built either upon one of
the five aggregates or a combination of all of them. When the personality identity is
built, one wants to establish his/ her relationship with the external world. Thus, the
doctrine of soullessness covers an entire gamut of reality. The desire for the fine
(bhavataṅkhā), desire for extinction (vibhavataṅkhā) etc. rest on the notion of soul.
It is grasping of the notional self that is seen as the main cause of suffering in
the world. A Buddhist, thus, reaches his ultimate goal only upon the
elimination of the clinging to this self. The emptiness of self, is thus equated
with nirvāna itself (Motilal 2004: 14).
Now the question arises whether a stream-enterer has intellectual conviction of the
doctrine, but very difficult to actualize this understanding. When one truly
experiences this understanding, then one is liberated. When one carefully observes
that stream-enterers possess that level of spiritual attainment. For instance, a Sakyan
layman, Sarakāṇi, after his death, was declared a stream-enterer. This raised some
criticism from different quarters of society, for in their view, Sarakāṇi was weak in
abiding in morality. This was reported to the Buddha, the Buddha declared that
whosoever goes for refuge in the Buddha, the Dhamma and the Saṅgha for a long
stream-enterer as:
Buddha was said to have attained the stage of the stream-entry at the first meeting
with the Buddha (Vin II 157). Later on, on his deathbed when Sariputta taught him
unsatisfactoriness and non-soul, he regretted that despite being close to the Buddha
and his disciples, he had never heard such a doctrine. To this, Sariputta replied that
such doctrines are not taught to lay followers (MN I 143). This is strong evidence
that shows realization of doctrine of anatta was not requirement for stream-enterers
in early period. Yet another instance, a lay follower, Dhammadinna was instructed
difficult to reflect on such doctrine while living at home with wives and children and
enjoying all lay man’s enjoyment. Then the Buddha instructed him on the four
20
Here, though the term sotāpanno is not mentioned, but reading of the sutta easily implies that it
refers to a sotāpanna.
57
The given case history of stream-enterers in the early Buddhist discourses that
enterers are not required to experience of the the doctrine of soullessness, but only
some theoretical understanding of the doctrine of the soullessness. This shows their
enlightenment, authencity of the Dhamma and the Saṅgha. The faith, which
embodies religious sentiment, only can be fragile, but when it is supplemented with
intellectual conviction, it is firm and steadfast. This leads to the conclusion that
paucity of reference into the jhānic requirements for such initial attainments of Noble
Persons, which contrasts with the later commentarial period where the importance of
dry insight dominated the discussions of commentators. The lack of reference to any
samatha terms in these descriptions could potentially be a precursor for such later
Nikāyas to trace further lines of development subsequent to the initial use of the term.
The conspicuous absence of the reference to jhānic attainments among all these
contemporary debate among scholars as to the role of jhāna in the attainment of this
first stage of enlightenment. The chorus of doubts regarding the necessity of jhānas
in stream enterer would challenge the centrality and historicity of such schemes in
the Pāli commentarial literature, with a few espousing the meditative lines. Along the
affirmative side, Rupert Gethin hints that jhānas are a pre-requirement for the state
through is presented as a sudden radical change of heart rather than a gradual process
some kind of previous meditation practice (Gethin 2001: 348). He further argues
that the description of the state of mind as well (kalla), soft (mudu), free from
stream-entry path (Gethin 2001: 348). Bhikkhu Sujato in his book ‘ A Swift Pairs of
Messengers’ has done a good study on the role of jhānas in the Buddhist soteriology.
Buddhist practices from the very beginning. Hence, he claims that samādhi is a
requirement for the stream-enterer and once-returner (Sujato 2012: 135). Kheminda
also assertes that four-form sphere jhānas are necessary requirements for the path of
In the other camp, Kannimahara Sumangala Thera strongly asserts that not only
jhānas, even meditation in general is not required for the attainment of the stage of
stream-entry. He further argues that three fetters abandoned through the stage of
Buddhist practitioners waste their time in trying to attain the stage of stream-entry
Masefield also thinks that stream-enterers and once returners do not attain jhānas,
hence they return to the realm of sensuality. He thinks they have not attained
anything beyond fifth factors of noble eightfold path (Masefield 1986: 95). By this,
he assumes that they do not practice meditation at all. Bhikkhu Bodhi is also in
agreement with Anālayo when he says that there are no strong canonical evidences to
show that jhānas are essential for the first two stages, but for non-returners without
doubt, it is an essential element (Bodhi 2001: 138). The ensuing discussion will draw
evidence from the discussions on stream-enterer within the Nikāyas and will provide
the early Buddhist perspective on the role of the meditative insights in attaimment of
stage of stream-entry.
prerequisite for sotāpanno. In one instance, they are presented as practices conducive
Monks, there are four things conducive to development of wisdom. What are
four? Association with good people, listening to true dhamma, proper attention
and practice in accordance with dhamma (AN II 245) 21
And in yet another occasion they are described as factors helpful for human beings:
Oh monks! There are four things helpful for human beings. What are four,
association with good people, listening to true dhamma, proper attention, and
practice in accordance with dhamma (AN II 245). 22
In the Paṭisambhidāmagga, the four factors are described as factors for the stage of
wisdom (Pm II 189). Of the four factors, the first two are obviously explicit that no
meditative element is associated with them, not to mention any jhānic elements. The
factor of association with good people means associating with spiritually advanced
friends (kalyāṇamitta), who are capable of inspiring and guiding one on the spiritual
path. In SN, the Buddha states that the whole of spiritual life depends on good
friendship (SN V 2-3). The next factor is listening to true dhamma; here true
dhamma refers to Buddhist doctrine. The last two factors of the first list deserve a
soteriology. Yoniso derives from yoni, meaning origin, foundation, or womb, as such
of two parts, manasi and kara. Mana means mind, manasi is locative case, which
means with regards to mind. Kara is from root kṛ means to do, to apply. The Pāli
21
cattārome, bhikkhave, dhammā paññāvuddhiyā saṃvattanti. katame cattāro? sappurisasaṃsevo,
saddhammasavanaṃ, yonisomanasikāro, dhammānudhammappaṭipatti – ime kho, bhikkhave,
cattāro dhammā paññāvuddhiyā saṃvattantī’ti.
22
cattārome, bhikkhave, dhammā manussabhūtassa bahukārā honti. Katame cattāro?
sappurisasaṃsevo, saddhammasavanaṃ, yonisomanasikāro, dhammānudhammappaṭipatti – ime
kho, bhikkhave, cattāro dhammā manussabhūtassa bahukārā hontī’ti.
61
244), Franklin Edgerton defines as ‘fundamentally, thoroughly, from the ground up,
means improper mental application. There are several discourses showing that
improper attention is the root of unwholesome thoughts (SN V 91)23, while improper
attention is the root of wholesome thoughts. In another passage of the same Nikāya,
it is stated “oh! I do not see any other factors so conducive to development of seven
factors of awakening than the proper attention’ (SN V 79).24 In the AN, it is stated
there is no other thing so helpful as proper attention in order to abandon doubts (AN
I 4).25 And another passage in the same Nikāya, it is stated when one pays proper
attention, delusion disappears and unarisen delusion will not arise (AN I 201).26 It is
23
ye keci, bhikkhave, dhammā kusalā kusalabhāgiyā kusalapakkhikā, sabbe te
yonisomanasikāramūlakā yonisomanasikārasamosaraṇā;yonisomanasikāro tesaṃ dhammānaṃ
aggamakkhāyati. Yonisomanasikārasampannassetaṃ, bhikkhave, bhikkhuno pāṭikaṅkhaṃ – satta
bojjhaṅge bhāvessati, satta bojjhaṅge bahulīkarissati.
24
ajjhattikaṃ, bhikkhave, aṅganti karitvā nāññaṃ ekaṅgampi samanupassāmi sattannaṃ
bojjhaṅgānaṃ uppādāya, yathayidaṃ – bhikkhave, yonisomanasikāro.
yonisomanasikārasampannassetaṃ, bhikkhave, bhikkhuno pāṭikaṅkhaṃ – satta bojjhaṅge
bhāvessati, satta bojjhaṅge bahulīkarissati. kathañca, bhikkhave, bhikkhu
yonisomanasikārasampanno satta bojjhaṅge bhāveti, satta bojjhaṅge bahulīkaroti? idha,
bhikkhave, bhikkhu satisambojjhaṅgaṃ bhāveti vivekanissitaṃ…pe… upekkhāsambojjhaṅgaṃ
bhāveti vivekanissitaṃ virāganissitaṃ nirodhanissitaṃ vossaggapariṇāmiṃ. evaṃ kho, bhikkhave,
bhikkhu yonisomanasikārasampanno satta bojjhaṅge bhāveti, satta bojjhaṅge bahulīkarotī’ti
25
nāhaṃ, bhikkhave, aññaṃ ekadhammampi samanupassāmi yena anuppannā vā vicikicchā
nuppajjati uppannā vā vicikicchā pahīyati yathayidaṃ, bhikkhave, yonisomanasikāro. yoniso,
bhikkhave, manasi karoto anuppannā ceva vicikicchā nuppajjati uppannā ca vicikicchā
pahīyatī’’ti.
26
ko panāvuso, hetu ko paccayo yena anuppanno ceva moho nuppajjati uppanno ca moho
pahīyatī’ti? ‘Yonisomanasikāro tissa vacanīyaṃ. Tassa yoniso manasi karoto anuppanno ceva
62
also stated that there is no single factor as beneficial as proper attention (AN I 14).27
It further says there are no other factors as proper mental application for the arising
Associating with good people leads to the fulfillment of hearing true dhamma,
hearing true dhamma give arises to faith, fulfillment of faith leads to proper
attention. Fulfillment of proper attention leads to fulfillment of mindfulness and
clear comprehension. (AN V 113) 29
The commentarial literature also defines proper attention as proper mental
application with regards to five aggregates, and he progresses until arahatta through
proper mental application towards the five aggregates. In several Nikāya passages,
proper attention and hearing others’ voices (paratoghosa) are considered as source of
application is taken as source of all wrong views (MN I 7-12). In the Vibhaṅga,
moho nuppajjati uppanno ca moho pahīyati. Ayaṃ kho, āvuso, hetu ayaṃ paccayo yena
anuppanno vā moho nuppajjati uppanno ca moho pahīyatī’ti.
27
nāhaṃ, bhikkhave, aññaṃ ekadhammampi samanupassāmi yo evaṃ mahato atthāya saṃvattati
yathayidaṃ, bhikkhave, yoniso manasikāro. yonisomanasikāro, bhikkhave, mahato atthāya
saṃvattatī’ti.
28
nāhaṃ, bhikkhave, aññaṃ ekadhammampi samanupassāmi yo evaṃ mahato atthāya saṃvattati
yathayidaṃ, bhikkhave, yoniso manasikāro. yonisomanasikāro, bhikkhave, mahato atthāya
saṃvattatī’ti.
29
iti kho, bhikkhave, sappurisasaṃsevo paripūro saddhammassavanaṃ paripūreti,
saddhammassavanaṃ paripūraṃ saddhaṃ paripūreti, saddhā paripūrā yonisomanasikāraṃ
paripūreti, yonisomanasikāro paripūro satisampajaññaṃ paripūreti, satisampajaññaṃ paripūraṃ
indriyasaṃvaraṃ paripūreti, indriyasaṃvaro paripūro tīṇi sucaritāni paripūreti, tīṇi sucaritāni
paripūrāni cattāro satipaṭṭhāne paripūrenti, cattāro satipaṭṭhānā paripūrā satta bojjhaṅge
paripūrenti, satta bojjhaṅgā paripūrā vijjāvimuttiṃ paripūrenti; evametissā vijjāvimuttiyā āhāro
hoti, evañca pāripūri.
63
factors and this in turn brings about the four factors of stream-enterer (MN I 294).
to frame one’s understanding of the experience of right view, or framing the right
questions for obtaining insight into unsatisfactoriness and its cessation (Thanissaro
considers this as meditative element, but not jhānic. As such, the several case studies
cited above show that proper mental application appears through the subduing of
mental hindrances (nivaraṇa), and when the mind is well concentrated, soft and
malleable. And this state of mind is created through jhānas. Hence, it is reasonable to
infer that jhānas are required for the proper mental application. However, though
infrequent, certain passages show hindrances can be subdued outside the context of
jhānas. For instance, in the Saṅgīti sutta of the DN, it is explained how spiritual path
One hears the dhamma, and he grasps it properly both spirit and letter of
teaching. At this moment joy arises in him. From joy there is rapture (pīti), and
by virtue of rapture, his senses become calmed and from calmness of mind
there is happiness, and on account of happiness mind is established,.. (DN III
441)
What this passage indicates is that meditation or jhānas are not essential at the initial
level of spiritual journey. This passage continues to show that samādhi is essential
When one turns to the fourth factor of stream-enterer; the four factors of stream-
enterer occur much more frequently in Nikāyas as shown above. For instance, the
the first three—unshakable faith in the Buddha, the Dhamma and the Saṅgha,
remained unchanged while the fourth factors—unshakable faith in the morality dear
to noble ones went through several amendments within the Nikāya Buddhism.
hypothesize that either jhānas or even meditation in general has any role to play in
perspective on the question whether jhānas play any role in the attainment of stage of
stream-entry. In the Pāli Nikāyas, side by side with four pairs of spiritual typology,
30
I compared several passages from Nikāyas with Āgamas passages with the help of Mr. Andew Lau.
I particularly went through every passage on stream-entry in Saṃyukta-āgama with him. They seem
parallel to Nikāya version except few divergences in the names and places, which are minute
important for my study.
65
salutation, gift and incomparable field of merits (DN III 253-54; AN IV 10). In AN,
sometimes the list become tenfold spiritual typologists, with addition of the Buddha
and Pacceka-Buddha on the top and gotrabhū in the bottom of the list (AN V 23).
Within the Nikāya Buddhism, no explicit attempt to correlate seven-fold with noble
kāyasakkhi, diṭṭhipatta and saddhāvimutta, who is supreme. Three monks had three
different opinions, so finally they approached the Buddha. The Buddha responded
that it is not easy to draw such conclusion, as any one of them can be candidate for
the stage of arahatta, while the other two can be either once-returners or non-
returners. Here, interestingly, stream-enterer is absent, and the reason was not clear
from the discourse. The commentary interprets that stream-entry is included. Several
the stage stream-entry (SN V 200-2004). Here, spiritual typologies are classified in
mentioned after the four stages (SN V 200), sometimes, non-returners are replaced
are explicit enough to suggest that saddhānusārī and dhammānusārī are kind of
they are candidates for the stage of stream-entry. In some other passages it is assured
that dhammānusārī and saddhānusārī would not pass away without becoming
stream-enterers.
In the Kitāgiri sutta, dhammānusāri is defined as one who has yet not
experienced any of the eight liberations through body, which are peaceful,
immaterial and transcending form, neither he has destroyed any outflows (āsavas)
through wisdom, however, they accept the teaching taught by the Buddha through
level, but the fifth faculty, i.e wisdom is dominant in him (MN I 479). And
saddhānusāri has neither experienced any of the eight liberations through body, nor
however, he has love and faith for the Buddha, furthermore, he possess the five
spiritual faculties, the faculty of faith being predomiant (MN I 479). In the Okkanti-
to the discourse, one who accepts through faith, the six sense faculties—eye, ear,
nose, tongue, body and mind as impermanent, subject to change and otherwise, then
he is a faith follower, one who has entered the course of righteousness, has
transcended the lineage of worldlings, and enters the plane of good people. He is
incapable of doing any deeds by virtue of which he will be reborn in hellish realm, in
away without being stream-enterer (SN III 225-26).31 For the dhammānusāri, the
stated as ‘one who accepts them as impermanent, subject to change and otherwise
through some degree of understanding’ (SN III 225-26).32 On the other hand, stream-
enterer is one who knows and sees these (six sense faculties) as impermanent, subject
to change and otherwise. The same criterion of distinction of the three spiritual
Thus, though four Pāli Nikāyas explictly do not state dhammānusārī and
that they are two pre-stages to the stage of stream-entry, and they are practising for
the stage of stream-entry. These two pre-stages suggest that at least for the gaining
stage of stream-entry neither jhānas nor even meditation is required. And any
Buddhists possessing a receptive attitude towards the teaching of the Buddha can be
than dhammānusārī and saddhānusārī. They know and see in terms of impermanent,
unsatisfactory and non-soul. How he comes to this knowledge is not explicit within
31
cakkhuṃ bhikkhave aniccaṃ viparinaṃ aññathābhāvi, yo bhikkhave ime dhamme evaṃ saddhahati
adhimuccati ayaṃ vuccati saddhānusāri, okkanto sammattaniyāmaṃ sappurisabhūmiṃ okkanto
vītivatto puthujjanabhūmiṃ/ abhabba taṃ kammaṃ kātuṃ yaṃ kammaṃ katvā nirayaṃa
tiracchānayoniṃ vā pettivisayaṃ vā uppaeyya, abhabbo ca tāva kālṃ kātuṃ yavā na
sotāpattiphalaṃ sacchikaroti. The same is repeated for other sense-faculties.
32
yassa kho bhikkhave ime dhammā evaṃ paññāya mattaso nijjhānaṃ khamanti, ayaṃ vuccati
saddhānusāri.
68
the four Nikāyas. In the above-cited passage, for the terms jānāti and passati, it is not
who knows truly the five aggregates, their origin, danger and escape from them. The
arahat is defined as one who had experienced them already (SN III 160-1). For the
involves meditation has to be made clear. The phrase ‘yathābhūtaṃ pajānati’ means
knowing truly or knowing as they are, often referred to wisdom. This wisdom is
it is hard to draw a clear demarcation between the two phrases; hence, it is possible
meditative experience.
It has already been shown that in the Nikāyas, another three spiritual
The Kitāgiri sutta defines that as one who have not experienced any of the eight
liberations, but have seen through wisdom, some out-flowings are destroyed, he
further has reviewed and investigated the teaching of the Buddha through wisdom.
And saddhāvimutta is one who have not experienced any of the eight liberations, but
destroyed some out-flowings having seen through wisdom, and further more, his
faith in the Buddha became rooted, planted and unshakeable. And the kāyasakkhi is
one having experienced eight liberations and some of his out-flowings are destroyed
69
having seen through wisdom (MN I 478). The Nikāyas do not clearly say how
ways. Jhānic elements are also not seen, except for kāyasakkhin.
Those who like to argue that the stage stream-entry requires attainment of jhānas
might argue that in Nikāya passages stream (sota) is defined as the noble eightfold
path and stream-enterer is defined as one who is endowed with noble eightfold path
(SN V 347). The noble eight-fold path contains right mindfulness and right
include four jhānas (DN III 313). Based on this, one can infer that stream-entry
includes jhānas. Furthermore, there are passages that discuss the relationship
between the doctrines of threefold trainings and theory of four stages and five
between doctrine of threefold trainings and the theory of four stages, jhānas are not
necessary requirement for the stream-enterers and the once-returners for they are said
to be perfect only in morality and they are required to develop only some level of
samādhi and paññā (AN I 233-4). It is not easy to make precise measurement as to
how much concentration and wisdom is required, but the overall contexts may seem
to suggest that they may practice certain preliminary level of meditation and have
There are passages hinting that stream-enterer does not necessarily realize
towards them. For instance, a person who abandons doubts with regards to six things
70
and four noble truths is defined as a stream-enterer (SN III 203). The discourse does
not specify what the six things are, but in MN, they are explained as form, sensation,
unsatisfactory and subject to change (MN I 135)33. There is a long passage that
strongly indicates that stream-enterer do not require jhāna. I quote the whole passage
Oh! Monks, just the autumn sun arises in the cloud free sky, disperses all the
darkness, in the same manner, when dustless, stainless vision of dhamma
occurs to noble disciple, his/ her three fold fetters—view of self identity,
suspicious mentality, attachment to rituals and vows, are put aside. Further he
abandons covetousness and ill will. Then aloof from sense desire and evil
mentality, abides I first jhāna which is with initial thought and investigation.
And consists of joy and pleasure born of detachment…(AN I 242 ).
One starts jhāna after attainment of the stage of stream-entry. According to this
passage, he does not even abandon five hindrances before the attainment of stage of
stream-entry. However, there are several passages, which show that abandoning five
hindrances is required (AN III 63; MN I 323). Abandoning five hindrances does not
attainment of jhānas (Iti 118). And another passage in the SN further clarifies that
five hindrances can be put aside outside the context of meditation, while listening to
dhamma (SN V 95). But for full awakening, jhānas play a significant role within
order to abandon five fetters higher realms, one has to develop four jhānas; “oh!
Monks, in order to abandon completely and fully with higher knowledge the five
33
yaṃ pidaṃ diṭṭhaṃ viññātaṃ pattaṃ.
71
higher fetters, one needs to develop these four jhānas.” (SN V 310).34 This seems to
indicate that the development of jhānas may not be necessary to abandoned lower
fetters.
cases study is helpful. It has already been shown in (§2.3.) that throughout Sotāpatti-
saṃyutta of SN, it is been repeatedly emphasized that faith in the Buddha, the
Dhamma, and the Saṅgha and abiding in morality are sufficient for one to be a
stream-enterer. Sometimes, the last factors are totally omitted or replaced by other
factors. This suggests mere faith in the Buddha, the Dhamma, and the Saṅgha is
Sakyan Mahānāma approached the Buddha and asked how does a noble disciple gain
stage of stream-enterer and comprehend teaching and dwelling abiding them.35 The
Buddha is said to have explained that when one recollects the Buddha, one’s mind is
set on the Buddha. When one’s mind is set on the Buddha, one gains inspiration in
the dhamma, joy connected with dhamma. When the mind is joyful, rapture arises;
when rapture arises body becomes tranquil. With tranquil mind, one experiences
bliss, when one is blissful, mind gets concentrated. This is repeated with regards to
other three factors of stream-enterer (AN V 328-29). This passage hints that at least
some Buddhists considered spiritual perfection was possible without the meditation.
Thus, the qualities and pre-conditions listed in the discourses as essential for the
a drunken layman, after listening to a gradual discourse, at the end of discourse, the
dhammacakkhuṃ arose in him (AN IV 213). In the Udāna, it is stated that a leper by
distributing food went there. He listened to dhamma, at the end of the discourse; the
dhammacakkhuṃ arose in him (Ud 49). And king Bimbisāra and a large crowd of
Brahmins and government officials who went to welcome the Buddha, hearing a
discourse on gradual training which culminates with the doctrine of four noble truths,
instantly gained dhammacakkhuṃ (Vin I 37).36 In most cases, we see the gaining of
the same seat (tasmiṃ yeva āsane) giving no space for meditation. In the case of the
first five monks, Sāriputta and Moggalana, they had previous training in meditation.
However, there are many instances where the listeners were not meditators, like
parents of Yasa and his fifty-four friends, and the story of the leper Suppa Buddha
Buddha (MN I 380; AN IV 186). He may not have attained any jhānas before
because even their leader was incapable of attaining second jhāna (SN IV 298). In
the Vinaya, it is recorded that several hired killers who went to kill the Buddha, after
36
atha kho bhagavā tesaṃ dvādasanahutānaṃ māgadhikānaṃ brāhmaṇagahapatikānaṃ cetasā
cetoparivitakkamaññāya anupubbiṃ kathaṃ kathesi, seyyathidaṃ – dānakathaṃ sīlakathaṃ
saggakathaṃ kāmānaṃ ādīnavaṃ okāraṃ saṃkilesaṃ nekkhamme ānisaṃsaṃ pakāsesi. yadā te
bhagavā aññāsi kallacitte muducitte vinīvaraṇacitte udaggacitte pasannacitte, atha yā buddhānaṃ
sāmukkaṃsikā dhammadesanā, taṃ pakāsesi – dukkhaṃ, samudayaṃ, nirodhaṃ, maggaṃ.
seyyathāpi nāma suddhaṃ vatthaṃ apagatakāḷakaṃ sammadeva rajanaṃ paṭiggaṇheyya,
evameva ekādasanahutānaṃ māgadhikānaṃ brāhmaṇagahapatikānaṃ bimbisārappamukhānaṃ
tasmiṃ yeva āsane virajaṃ vītamalaṃ dhammacakkhuṃ udapādi – yaṃ kiñci
samudayadhammaṃ, sabbaṃ taṃ nirodhadhammanti. ekanahutaṃ upāsakattaṃ paṭivedesi.
73
hearing a discourse became stream-enterers (Vin I 12). There are many passages that
state that after a discourse, sometimes, a very large number of people gained stage of
stream-entry.
In the Dhammasaṅgaṇī four paths are understood as four jhānas. They are called
there is not a single reference to supramundane jhānas. This new development of the
concept might have been prompted by the concept of ‘noble right concentration’
(ariya sammā samādhi) occurring in a few Nikāya passages (DN II 122; III 287, 27;
AN III 124). Bhikkhu Brahmāli convincingly argues that in the Nikāyas, this is not
jhānas is understood as momentary thought experiences. Hence, the four paths and
supramundane jhānas. The Dhs simply defined four paths in terms of four jhānas.
Paṭisambhidāmagga; one requires having mastery over both samatha and vipassanā
Pāli commentators inherited the Abhidhamma tradition, and they apperceive the
(MN-A I 73).38 In another instance, it is recorded that a young monk, having listened
37
evaṃ tīṇi lakkhaṇāni āropetvā paṭipātiyā vipassanaṃ pavattento sotāpattimaggaṃ pāpuṇāti.
38
tasmiṃ khaṇe cattāri saccāni ekapaṭivedhen’ eva paṭivijjhati, ekābhisamayena abhisameti.
75
270).40But, another passage of the same text, states that the meditation of kasiṇa is
(arūpajjhāna). Only the insight meditation leads one to the path of stream-entry…
practice only insight without jhānas. It is further stated that they attain momentary
arahats who attained Nibbāna without jhānas, but here, it is referred to stream-
jhānas and having gone to the realm of Brahma would live there experiencing only
39
imasmiṃ sutte ariyasāvakoti sotāpanno. sotāpanno hi ettha dhuraṃ, balavavipassako na
tikkhabuddhi uppannaṃ vedanaṃ ananuvattitvā patiṭṭhātuṃ samattho yogāvacaropi vaṭṭati.
40
idaṃ dukkhanti ettakaṃ dukkhaṃ, na ito uddhaṃ dukkhaṃ atthi. ayaṃ dukkhasamudayoti ettako
dukkhasamudayo, na ito uddhaṃ dukkhasamudayo atthīti. sesapadadvayepi eseva nayo. evamettha
catūhi saccehi sotāpattimaggo kathito. kasiṇaparikamma vipassanāñāṇāni pana
maggasannissitānevahonti
41
yenākārenesa kasiṇabhāvanaṃ āraddho paṭhamajjhānaṃ vā…pe… catutthajjhānaṃ vā aṭṭha vā
samāpattiyo nibbattessatī’’ti jānāti. pubbabhāgena jānāti nāma paṭhamavipassanāya
āraddhāyayeva jānāti, ‘‘yenākārena esa vipassanaṃ āraddho sotāpattimaggaṃ vā
nibbattessati…pe… arahattamaggaṃ vā nibbattessatī’’ti jānāti
42
paṭhamo lokiyamahājano, dutiyo sukkhavipassako sotāpanno ca sakadāgāmī ca, tatiyo anāgāmī. so
hi yasmā taṅkhaṇikampi upapattinimittakaṃ jhānaṃ paṭilabhatiyeva, tasmā sukkhavipassakopi
samādhismiṃ paripūrakārīyeva. catuttho khīṇāsavoyeva. so hi sabbesaṃ sīlādipaccanīkānaṃ
pahīnattā sabbattha paripūrakārī nāma.
76
happiness among six heavenly realms of sensual realms (AN-A V 37).43 There is no
scope to consider this jhānas as momentary. But large numbers of passages insist
that the path of stream-enterer is connected with insight meditation rather than
They are not presented as two exclusive system of meditation. Insight is often
includes jhānas, is totally left out and established into a system of only insight,
passages seem to connect the path of stream-entry with exclusive insight meditation.
accordance with dhamma means endowed with practice of noble dhamma, practising
passage is interesting in that it classifies people into six classes, of them only stream-
enterers and once-returners are mentioned as dry-vision practitioners, while the non-
43
apaṇṇakaṃ vā sotāpannoti avirādhitaṃ ekaṃsena sotāpanno vā hoti. sopi jhānaṃ nibbatteti,
brahmalokaṃ vā gantvā chasu vā kāmasaggesu ekantasukhappaṭisaṃvedī hutvā vihareyya.
44
dhammānudhamma-paṭipannā ti ariyassa dhammassa anudhamma-bhūtaṃ vipassanā dhammaṃ
paṭipannā.
77
returners are not defined as dry-vision practitioners (AN-A III 115).45 In another
who meditates fixing on the four elements as object of meditation (AN-ṭīkā II 37).48
Thus, though Pāli commentators accepted that jhānas might not be a necessary
requirement for the stage of stream-entry, howvever, they all insisted that meditation,
passages in the Pāli commentaries that describe how certain people became stream-
enterers makes if there is any role of meditation in the attainment of stage of stream-
that Visakhā, with five hundred girls, seeing the Buddha from behind on the road
while he was going to Bhaddiya city, instantly became stream-enterers (DN-A III
45
paṭhamo lokiyamahājano, dutiyo sukkhavipassako sotāpanno ca sakadāgāmi ca, tatiyo anāgāmi..
46
sattukkhattuparamo ti idam idh’ aṭṭhakavokiṇṇasukkhavipassakassāti yo imasiṃ kāmabhāve ṭhito
manussa devevasena vokiṇṇabhavūpapattiko sukkhavipassako ca.
47
sukhavipassakāpana sotāpanna, sakadāgāmi anāgāmi aṭṭha samapaṭṭi labhino ca khīṇāsavā.
48
sukkhavipassako yebhuyyena catudhātuvavaṭṭhāna mukkhena kammaṭṭhānā bhinivesī hoti iti āha
sukhavipassakassa dhātukammaṭṭhanikabhikkhunoti.
78
859).49 In another place, it is stated that she was just seven years old then (AN-A I
406). Commentaries further mentions that Nakulapitā at the first sight of the Buddha
became stream-enterer (AN-A III 95). Sumana-rajakumārī with five hundred girls at
the end of a discourse became stream-enterers ( AN-A III 241). In the commentary to
Theragāthā and Therīgathā, there are many stories that show stream-entry stage was
gained without any form of meditation at all. For instance, Sopaka, a seven year old
child, while tied in the cemetery, hearing a stanza uttered by the Buddha, became
stream-enterer (Tha-A II 201).50 And again it further says that through seeing the
Buddha one gains path of stream-enterer (AN-A I 118). 51 Often, on hearing the
words of the Buddha, one gains the path of stream-entry (AN-A I 118).52 Such
stories are innumerable in the Nikāya and commentarial literature. The way these
stories are told, it is quite difficult to precisely conclude how they attained the stage
of stream-entry within such a short time. What role meditation plays in their
(Cousins, 1994-96: 56). Some stories such as hired killers cited above, makes it
difficult to postulate the role of meditation in the attainment of the stage of stream-
entry. Thus, all available references slant to the conclusion that some stream-
enterers might have gained the stream-entry through meditation or jhānic experience,
49
sā yadā bhagavā bhaddiyanagaraṃ agamāsi tadā pañcahi dārikāsatehi saddhiṃ bhagavato
paccuggamanaṃ gatā paṭhama dassanamhi yeva sotāpannā ahosi.
50
dārako buddhānubhāvena chinna-bandhano gāthā pariyosāne sotāpanno hutvā gandhakuṭi
pamukho aṭṭhāsi.
51
aparo pana puthujjanakalyāṇako ānandatthero viya dasabalaṃ dassanāya labhitvā taṃ dassanaṃ
vaḍḍhetvā sotāpattimaggaṃ pāpeti.
52
aparo pana puthujjanakalyāṇako ānandatthero viya tathāgatassa vacanaṃ sotuṃ labhitvā taṃ
savanaṃ vaḍḍhetvā sotāpattimaggaṃ pāpeti.
79
but it is not a necessary requirement for the stage of stream entry and the stage of
once-return.
The ethical alignment within the developed scheme of the four factors of stream-
observation of lay followers. The SN records an instance where the notion of seven
true dhammas is used to define the stage of stream-entry. The seven true dhammas
include ethical observations like the purity of body—not killing, not stealing, abstain
from unethical sexual relationship, abstain from falsehood, abstain from slandering,
abstain from harsh speech, and abstain from useless gossip. In another discourse, the
Buddha asserts that any lay followers whose actions are restrained by five precepts
and who possess the ability to attain four pleasant visible dwelling if they so wish
can declare as stream-enterers (AN III 211). In the Ratana sutta of Sn, it is stated that
parents, killing an arahat, causing a schism in the Saṅgha, wounding a Buddha and
holding wrong views. Further more, whatever evil a stream-enterer commits either
passage reveals that a stream-enterer can commit certain crimes, but he is honest to
Furthermore, oh! Monks, a noble disciple dwells at home with a mind free from
stain of selfishness, generous, give with open-hand, delighting in
relinquishment, practice charity, rejoices in giving and sharing (SN V 391).
80
In the AN, it is recorded that there are five types of miserliness—miserliness with
gains, miserliness with regards to praise and miserliness with regards to dhamma.
do not have malice towards the Buddhas (MN III 284),53 which implies stream-
enterers may still have malice towards others. Another passage in the Pāli
commentaries further says, noble disciples do not have fraudulence and deceitfulness
stream-enterer is not satisfied with his own achievement, but he persuades and
encourages others to take up insight meditation and to attain the stage of stream-
55
entry (DN-A II 589). In some passages, it is mentioned that stream-enterers
and misery (DN-A III 785). The last two in the list seem to have been inserted in
53
sotāpannassa ca nāma tathāgataṃ ārabbha āghāto natthi.
54
ariyasāvakassa pana saṭho māyāviti nāmaṃ natthi.
55
sammā vihareyyunti ettha sotāpanno attano adhigataṭṭhānaṃ aññassa kathetvā taṃ sotāpannaṃ
karonto sammā viharati nāma. esa nayo sakadāgāmiādīsu. sotāpattimaggaṭṭho aññampi
sotāpattimaggaṭṭhaṃ karonto sammā viharati nāma. esa nayo sesamaggaṭṭhesu.
sotāpattimaggatthāya āraddhavipassako attano paguṇaṃ kammaṭṭhānaṃ kathetvā aññampi
sotāpattimaggatthāya āraddhavipassakaṃ karonto sammā viharati nāma. Esa nayo
sesamaggatthāya āraddhavipassakesu.
56
yaṃ kho pana kiñci kule deyyadhammaṃ sabbaṃ taṃ appaṭivibhattaṃ sīlavantehi
kalyāṇadhammehi.
81
three-fold training with the four stages, explained that stream-enterers and once-
returners have perfected morality (Path of Purification 14). But there are evidences
in the Nikāyas that stream-enterers can breach some minor precepts. For instance, the
story of Sakaraṇi which I have cited in (§2.2) suggests moral perfection is not a
scheme of the ten fetters as having abandoned only first three fetters, which means
stream-enterer does not weaken the greed and hatred which are 4th and 5th the list of
ten fetters. So stream enterers continue to enjoy sensual pleasure; however, a stream-
enterer is incapable of commiting any gross crimes that would lead to rebirth in the
state of misery. Bhikkhu Thanissaro has summarized that stream-enterer has deep
faith in the doctrine of kamma, sympathy and compassion for others arise from that
faith in the karma. Hence, though stream-enterers may breach minor moral
The Sarvāstivāda tradition maintains that stream-enterers are free from all
the other hand, the Mahāsaṃghikas and Mahīśāsakas maintain the view that stream-
enterer are still subject to commit all types of evils except five gravest offences
Sāmaññaphala sutta, where it is reported that king Ajātasattu was unable to gain
dhammacakkhuṃ beacause he killed his father. “If not for killing his father, the
righteous king, he (Ajātasattu) would have gained vision of dhamma while seated in
this very seat.” (DN I 86).58 The commentary further states that one who commits
one or more of the five gravest crimes is not able to gain the vision of dhamma (DN-
A I 237).
The Nikāya evidence supports the hypothesis that stream-enterers are not morally
perfect. They continue to enjoy all mundane pleasures. At certain times, they can slip
away from moral standard, but they maintian honesty and do not hide their moral
imperfection to claim they are morally perfect. However, they would never commit
any gruesome acts such as killing parents etc., the ethical standard outlined in the
lay Buddhist followers can easily meet the standard. Pāli commentarial in general,
58
atha kho bhagavā acirapakkantassa rañño māgadhassa ajātasattussa vedehiputtassa bhikkhū
āmantesi –‘‘khatāyaṃ, bhikkhave, rājā. upahatāyaṃ, bhikkhave, rājā. sacāyaṃ, bhikkhave, rājā
pitaraṃ dhammikaṃ dhammarājānaṃ jīvitā na voropessatha, imasmiññeva āsane virajaṃ
vītamalaṃ dhammacakkhuṃ uppajjissathā’’ti
83
except Paṭisambhidāmagga and Visuddhimagga, also agree with the Nikāyas, with
The juxtaposition of ethics with stream-entry is parallel within the scheme of the
four factors, with the inclusion of the element of faith in the morality dear to noble
between these factors of stream-enterer and lay Buddhist practices is evident, and
could parallel few other delineations of stream enterer where such material and social
pursuits and fruits, apart from religious elements, came to be associated with, as in
the Nandaka Sutta where it is stated that an individual who is endowed with four
factors of stream-enterer can enjoy long life, either in human world or divine world,
endowed with beauty, happiness, fame and sovereigty, whether celestial or human
(SN V 390). Yet in another passage it is stated he is endowed with great wealth and
great fame (AN III 402). The linkage between attainment of stage of stream-entry
and more mundane ethical and worldly gains would indicate that, given this
requirement, the early saṅgha seems not to have safeguarded the spiritual attainment
as the unique prerogative of monastics. The dissonance of this definition with the
ideal of renunciant would likely suggest the probability of the relative lateness of the
listed.
attempt of union of these two lines as the scheme of fetters was developing within
84
the early saṅgha in the spiritual checklist of entanglements that a practitioner should
enterer is abandoning the first three fetters of a list of ten fetters. In a numerous
passages, both in Pāli Nikāyas literature, stream-enterer is described as one who has
Dhs is in agreement with the Nikāyas. The four paths are distinguished in terms of
abandonment of the fetters. The path of stream-enterer is for the sake of abandoning
the path of non-returner is for the sake of abandoning sensual desire and aversion
(kāma-rāga vyāpādānaṃ anavasesa pahanāya) and path of arahatta is for the sake
of abandoning desire for form and formless realms, as well as conceit, restlessness
(Dhs I 74-5) Here, four factors conducive to stream-entry and four factors of stream-
A striking parallel could be drawn between the first three factors and the factors
of stream-entry, where the contrasting side of the confirmed confidence in the three
jewels evinces this removal of spiritual doubts that obstructs one along the path
merging of duality into a unfied scheme of fetter that embraces both the religious as
well as the insight dimension of the concept of stream-entry among the early
85
Buddhists. As such, combined with Hirakawa and Hwang’s proposal of the late
origin of the theory of fetters as an explanation of the Four Noble Persons, it would
not be unreasonable to conclude that fetters is a later attempt at theorizing the stage
of stream-entry, and as such, the vestiges of the previous theoretical schemes could
The drawing up of the list of three fetters each represents a distinct dimension of
fetter, the self-identity-view; this is one of the most central doctrines of Buddhism. It
intertwined with the doctrine of the non-soul (anattā). The doctrine of the non-soul is
in turn directly linked to the doctrine of the dependent co-arising. The doctrine of
Buddhism can be distinguished from all other religious and philosophical systems
through the theory of non-soul (anattā). Steven Collins very appropriately asserts
that the doctrine of non-soul separated Buddhism from Brahmanism and provides
Buddhists their own distinct identity and integrity in Indian religious milieu (Collins
possess, lie in self-view. Buddhism views the attachment to self-view as the primary
cause of suffering and the reason for wandering in the saṃsāra. The self-view is
dispelling this ignorance whereby self-view is rooted out. The total elimination of
this view leads one to the state of spiritual perfection. The true realization of non-
86
individual. When an individual realizes the doctrine of non-soul, i.e all five
aggregates that constitute the whole cosmos and its beings are impermanent,
suffering and without essence, he cannot have any attachment, hatred and delusion,
cannot be even attachment to form and formless world. The form and formless world
are also constituted by the combination of one or more factors of the five aggregates.
world, because he has a concept of self; because of self view, one wants to identify
one’s existence in higher forms, and wants to continue to hold them. When one truly
realizes the doctrine of non-soul, there cannot be any such subjective emotion.
ontological statement; it does not make any change on the followers (Gombrich
2006:65). When one looks at the description of stream-enterers given in the Pāli
Nikāyas, they did not seem to have experienced such spiritual transformation. There
are many passages that suggest stream-enterers might not have experienced non-self
at all. For instance, Anathapiṇḍika, a wealthy householder and great supporter of the
Buddha was said to have attained stage of stream-entry at the first meeting with the
Buddha (Vin II 157). Later on, on his deathbed when Sariputta, taught him the
and non-soul, he regretted that that despite being close to the Buddha and his
87
disciples, he had never heard such a doctrine. To this, Sariputta replied that such
doctrines are not taught to lay followers (MN I 143). This is strong evidence which
shows the realization of the doctrine of anatta was not a prequisite for stream-
fetters, stream-enterers are yet to abandon sensual desire, aversion and delusion. As I
have discussed above many of the early stream-enterers may not necessarily have
transformation might not have been expected at the level of stream-enterer. I think,
conviction that five aggregates are without self or soul, rather than the true
The abandonment of the second fetter reaffirms the faith in the Buddha, the
Dhamma and Saṅgha. The second fetter is repetition of the four factors of stream-
enterers. The repetition suggests that four factors of stream-entry and the list of three
and later they are put together. The repetition also shows an emphasis was put on the
faith in the Buddha, the Dhamma and the Saṅgha without any reservation. It is
the Dhamma, and the monastic Saṅgha members which constitutive of Buddhism as
religion.
88
Buddhist path. The abandoning of attachment rituals and vows does not imply that a
Buddhist does not engage in any religious ceremonies or rituals. The religious vows
and ceremonies are externalization of one’s insight devotion, and faith towards the
religious tradition, which is essential on a spiritual journey. Faith has been repeatedly
has to be understood in its proper historical context. This does not discourage
Buddhist followers from engaging in religious rituals and ceremonies, rather this
might have been directed to non-Buddhist rituals and vows that were practiced by
other religious groups at the time of the Buddha. This might have been developed
and practice of a Buddhist follower. The eradication of the first fetter (sakkāyadiṭṭhi)
which refers to non-Buddhist rituals and vows. The removal of the third fetter
attitude towards Buddhist teachings and making up one’s mind to accept the
Buddha, the Dhamma, and the Saṅgha; and commit oneself to it wholeheartedly.
This leads to the conclusion that the version of stream-enterer with four factors of
case histories that we have cited above show that most of the stream-enterers did not
89
have insight into Buddhist doctrine or nature of reality, there might have been some
stream-enterers who had some theoretical insight into Buddhist doctrine, but not true
realization. Stream-enterers were rather those who accepted Buddhist doctrines and
had established faith in the Buddha, the Dhamma and the Saṅgha, in other words,
clustered with the concepts. Finally, the standard version emerged with three fetters
Āgama Buddhism, promises that one would attain enlightenment with a maximum of
definition determining seven births. The AKB attempts to answer this question. It
says that it is in the nature of the path that in the course of seven births, a stream-
Dhammajoti 2009: 458). There is controversy as to whether seven births occur only
in human realms, or across human realm and a realm of deities. Or seven times in the
two realms, i.e. fourteen births. In the AK, and AKB different views regarding this
human realm and seven in the realm of deities.This is attributed to Mahīśāsaka in the
Pāli commentaries (Pug-A 196, AKB III 2107, note 394). They interpreted the sutta
statement ‘maximum seven lives among human beings and among gods’ as
90
maximum seven lives in both realms respectively (Bingenheimer 2010: 26). The
Sarvāstivāda holds the view, one is reborn seven times in the human existence, seven
seven times in each of two realms of gods—i.e., 28 existences (Kv 5). But Theravāda
gods. If the rebirths in the pure-abode by non-returner are taken into consideration,
then definitely Theravāda calculation has some problem. When they are counting
seven, they seem not to have considered the births of the non-returners, but birth
Despite the controversy on the actual numbers of births one may have to go
through before final liberation among different Buddhist schools, the numerical
naturally arises. However, neither Pāli Literature, nor Sanskrit Buddhist Literature
could enlighten us on this point. Richard Gombrich has pointed out that the number
seven is sacred to Brahmanism. He has pointed out a number of lists with number
seven in Brahaminism in the Rg-veda, such as seven heavens, seven suns, seven
horses etc. (Gombrich 1975: 118). In the absence of any clear textual evidence,
The stream-enterer is defined as one who will take maximum seven lives before
the finally awakening. The term maximum seven lives leaves open-space to develop
the concept further. Introducing to two sub-divisions namely; kolaṃkola and ekabījī,
within the Pāli Nikāyas, quickly filled up the space. Thus, within the Pāli Nikāya, the
91
concept of stream-enterer has been classified into three. All of these three are said to
have abandoned three fetters, and possess four factors of stream-enterer. Then the
question arises, what is the mechanism to classify the concept into three. In the Pāli
Nikāyas, the mechanism is the number of rebirths each has to undergo before final
liberation. It is stated that kolaṃkola has to undergo either two or three, or sometimes
maximum six rebirths before attainment of arahatta, while ekabījī has just one more
number of births for three classes of stream-enterers are not clearly spelt out within
the Nikāyas. Furthermore Nikāyas do not provide any explanation for selecting such
unusual terminologies. The commentaries tried to explain the terminologies, the term
‘kūla’ usually referred to family, or rather good family as in the case of term
‘kūlaputta’ sons of good families, which usually applied to Buddhist monks. In this
context, ‘kūla’ referred to existence (SN-A III 238).59 But another passage defined
this term exactly in terms of rebirth rather than existence, it says ‘since the
realization of the stage of stream-entry, one does not born among the low family, but
in high and wealthy family, hence the term kulamkola is used (Ekabīji sutta vaṇṇanā,
Kūlaṃkola: term kūla here referred to high family or lineage. Going from
family to family is known as kūlaṃkola. Staring from the point of realization of
the fruit of stream-entry, there is no possibility to reborn among the low or
indignified families, but among great wealthy familes. Here, term kula is only
59
kūlānīti bhavā veditabbā.
60
sotāpattiphalasacchikiriyato paṭṭhāya hi nīcakule uppatti nāma natthi, mahābhogesu kulesu eva
nibbattatīti attho. kevalopi hi kūla-saddo mahābhogakulameva vadati.
92
term for several reasons; first of all, in that case, starting from the path of stream-
enterer, all should be known as kulaṃkola, not only one class of stream-enterer.
Secondly, the so-called low family was a socially perjorative term referring to a
themselves claiming to high or noble family. The Buddha was against this
perjorative division of human kind, but here, this shows it was creeping back into
Buddhism, during the time of ṭīka-period, which could be after five century A. D.
Another interpretation is “born in great wealthy family,” the Buddhists in the early
period never judged people in terms of material possessions, only spiritual and moral
achievement.
The etymological definition of the term ‘ekabījī’ is also quite confusing. Bījī is
enterer, he who has just one seed of agreegate, one self-existence, he is known as
khanda usually refers to the building blocks of material and mental phenomena. They
are basically five (pañcakkhandā). A single aggregate does not signify one birth.
61
uḷārakulavacano vā ettha kulasaddo, kulato kulaṃ gacchatīti kolaṃkolo.
sotāpattiphalasacchikiriyato paṭṭhāya hi nīcakule uppatti nāma natthi, mahābhogakulesu eva
nibbattatīti attho. kevalo hi kulasaddo mahākulameva vadati ‘‘kulaputto’’tiādīsu viya.
62
ekabīji etha khandha bījaṃ nāma kathitaṃ, yassa hi sotapannassa ekaṃ khandabījaṃ atthi, ekaṃ
attabhavaggahanaṃ so ekabījī nāma.
63
ekabījī etha khanadhabījaṃ nāma kathitaṃ khandhabījanti ca paṭisandhiviññāṇaṃ vuccati.
93
understanding of the sub-commentators may not fully convey the meaning of these
resolve was what the implicit mechanism is behind the division of these three classes
of stream-enterers, for all of them are said to have abandonded an equal number of
fetters and possess the same four factors of stream-entry. In the absence of any
In whom, the insight for the three higher paths is strong, is known as ekabīji, in
whom, they are still weaker than that is a kolaṃkola, and in whom they are still
weaker is a sattakkhattuparamo (SN-A III 237).
In the Milinda pañha, a post-canonical text, ekabījī is defined as a sharp intellect
interpretation, for this explanation is meant to say the sattakkhattuparama does not
have direct realization, but only inference knowledge. It is difficult to trace the
precise reasons for such a classification; one probable explanation would be the
doctrine of karma. Masefield has rightly pointed out in the Buddhist texts, among the
64
ugghaṭitaññū ekabījī hoti, vipañcitaññu kolaṃkola hoti, neyyo sattakkhattuparamo hoti, idaṃ
nibbedhabhāgiyaṃ suttaṃ.
94
six benefits of gaining the stage of stream entry the last two are related to the
doctrine of karma. i.e guarantee that no fresh karma is generated that leads to births
in lower realms and the annihilation of the majority of the accumulated karma. A
accumulated karma and remaining karmic residue as a result of gaining the stage of
stream-entry. In one passage, it is related that in the moment one gains the right
vision (stream-entry path), greater parts of dukkha are completely destroyed, the
destroyed (SN II 134; V, 458). The remaining karmic fruit is further compared to
little dust on the tip of the Buddha’s fingernail, while what is destroyed is compared
to the whole earth. Or what is remained is compared to few drops of water from the
confluence of the rivers of Gaṅga, Yamunā, Acirvati, Sarabhū and Mahī, while what
enterer; however authors of commentaries and sub-commentaries did not take this
point into consideration. What was the original motive behind the development of
might give hint to how social factors were influencing Buddhists to redefine spiritual
appropiate to classify it under the second stage than the first stage. In the Sanskrit
sub-commentaries. The Pāli Nikāyas recognize two gates to the path of stream-entry;
faith nature, can pursue Buddhist teachings based on faith. At the moment of stream-
is a follower, who has not yet abandoned any defilement, but has sufficient faith in
the Buddha, thus he faithfully accepts the Buddha’s teachings as true. It is said he is
sure to gain stage of stream-entry before passing away. When a faith follower
hand, those of intellectual type by nature, start the path through understanding. At
the moment of path of stream-entry they are known as dhamma-followers, and at the
moment of stage of stream-entry, they are known as ‘one endowed with view’
as an arahat. I think this is a textual corruption, for it appears just once, and no other
classified into four in accordance with their practice. Thus, in the commentaries and
enterers, those who do not come back to the human world anymore after becoming
stream-enterers. They have a maximum of seven births in the heavens and one
rebirth in the pure abode and can attain Nibbāna from there. The classification of
When a man practising insight has become possessed of this knowledge, he has
found comfort in the Buddha’s dispensation, he has found a foothold, he is
certain of his destiny, he is called a ‘Lesser stream-enterer. (The Path of
Purification 703).
Buddhaghosa has not given any further explanation to this new concept. He has not
any of the four factors of stream-enterer etc. And also there is no assurance as to how
long one takes to become stream-enterer or attain full awakening after being a lesser
sevenfold purification, the lesser stream enterer arrives at the fourth stage, i.e
purification of doubts. The commentary to the Visuddhimagga did not give adequate
explanation for us to understand why such a new concept was developed. The
commentary tries to explain several terminologies associated with this concept, for
example, what is the meaning of finding comfort in the Buddhist dispensation etc.
The one who has purified doubts, an insight practitioner without retrogression
being endowed with mundane moralities, concentration and wisdom, but has
not understood the higher paths yet. He is bending towards good existences,
which means his existences are certain. He is known as ‘Lesser-stream-
97
enterer’, freed from unfortunate existence, and lower existences. And through
the purification of doubts, through the seeing of names and forms (aggregates)
with their causes, having destroyed the views, abandoning theories of non-
causality and wrong causalities, having known dhammas with their causes,
established in the dispensation. By analyzing names and forms, knows truth of
suffering, he knows truth of cause of suffering through the knowledge of nature
of phenomena, later on through mental application (meditation) on
impermanence, he comprehends truth of cessation and truth of path. Thus
through mundane knowledge, he understood four noble truths, not subjected to
unfortunate existences, and sure to attain the stage of stream-entry. Thus, he is
a lesser stream enterer (Vism-mahāṭīkā, CSCD, 4).
As such the sub-commentaries elaborated the concept in much greater depth than in
the Visuddhimagga, but still the lesser stream-enterer is a worldling. He has not
reached the stage of noble person. And he has neither abandoned any fetter nor
possessed any of the four factors of stream-enterer. The authors of other sub-
commentaries seemed to have ignored this perhaps because they did not find it
agreeable.
also classified as one who is on the path of stream-entry (DN-ṭīka CSCD 4).65 Both
commentarial texts and sub-commentarial texts confirm that this person has yet to
two terms usually refer to one who has gained at least the path of stream-enterer.
While in early Buddhist texts, spiritually advanced people are not usually divided
into two— worldlings, those who do not practise Buddhist path, nor have any
regards for spiritual people, particularly, the Buddha, the dhamma and the saṅgha,
and noble persons who are of complete opposite nature, and very often they are
65
puthujjanakalyāṇopi hi heṭṭhā vuttalakkhaṇo sotāpattiphalasacchikiyāya pāṭipanno nāma.
66
puthujjanakalyāṇako va ariyo vā.
67
kalyāṇaputhujjano bhikkhu sekho vā bhikkhu.
98
(kalyāṇeko puthujjano).
The Pāli Nikāyas defined the stream-enterer as one whose destiny is fixed and he is
awakening within a maximum of seven life times (AN I 233). Another passage in
the same Nikāya includes a list of benefits of stream-enterer, one of which is not
subject to retrogression (AN III 438)68. Most of the Indian Buddhist schools of
thought agreed that stream-enterers are not subject to retrogress. Kathāvatthu, which
records several sectarian views, shows that many schools such as Sarvāstivāda held
the views that certain types of arahats were subject to retrogression, but not stream-
to Theravāda tradition, all the four stages are non-retrogressible, but according to
Sarvāstivāda, one can retrogress from other the three higher stages, but not from the
first stage (AKB 374 cited in Dhammajoti 2009: 460). However, Mahāsaṃghika and
retrogression (vinivartana) because they have not yet abandoned all passions and
they have not cultivated all virtues (Masuda 1978: 26-27). But arahats are not
68
sotāpanno aparihāna dhammo.
99
also subject to retrogression (Masuda 1978: 26-27). Below table summarizes the
and Theravāda did not give any counter arugment to this view. It is difficult to
Buddhist schools. It is believed that Buddhist saṅgha first split into two,
was an important school, for it is believed that many of the late Mahāyāna doctrines
were originally initiated by Mahāsaṃghika. The absence of this point could have two
69
Table is copied from Masuda (1967: 27) with little modification, the View of Theravāda is absent in
Masuda’s table, I have added it.
100
possibilities, either the present Kathāvatthu is not a complete one, part of it might
have been lost, or the then Theravādins agreed to their views, hence they did not
refute it.
This controversy is dealt with in great length in the Sarvāstivāda sources. They
while the other three can. The same kind of treatment is not seen in the Theravāda
commentators were faithful to early Buddhist texts or they have deviated from it and
In the Kathāvatthu, it is recorded that Sarvāstivāda and some other schools held
the view that samayavimutta is a kind of arahant, and are subject to retrogression,
while another class of arahat is known as asamayavimutta and they are not subject to
irrelevant for the realization of enlightenment. All arahats are completely liberated
from all cankers; hence there is no scope of retrogression (Kv 88-93). In the
not new to Abhidhamma. And they defined samayavimutta is one who has gained
eight-fold liberations from time to time, having seen through wisdom, some of the
outflowing (āsavas) are destroyed (Pug 11). However he is still a worldling, for it is
Kathāvatthu, it is asserted that one can retrogress only from the mundane meditative
attainments; there is no retrogression from state of the arahatta or from the fruits of
are also subject to retrogression. On the other hand, according to Theravāda doctrinal
views, worldlings are capable of eliminating out-flowings, they can only suppress
Hence, many commentators could not accept the interpretation that samaya-
vimutta is not a noble individual, but one who has mastered the jhānas. According to
the commentary, all noble individuals are asamaya-vimuttas (Kv-A 39).72 However,
the commentary does not answer the question as to how he destroys defilements,
Kathāvatthu held the view that certain defilements can be abandoned through
tradition, certain defilements can be destroyed through worldly path; hence one
bypasses the first two stages and directly attains the stage of non-returner (AKB III
1947). But Theravāda tradition in general does not accept such an interpretation;
anuṭīka CSCD 4).73 It further explains that the out-flowings refer to out-flowings
interpretion of the term ‘destruction of some fetters’ has no footing either in the Pāli
diṭṭhipatta and kāyasakkhī can also be worldlings, which is not acceptable to Pāli
rūpajjhānas and four arūpajjhānas. But he does not get into them as he desires
without difficulties, and he is not able to get out from them as he desires without
73
so ti [samayavimutto] jhānalābhī putthujjano.
74
tato eva sātisayena, ekaccehi kāmāsavehi vimutto vikkhambhanavasenāti attho. so eva
ekaccasamayavimokkhalābhī yathāvutto samayavimutto asamayavimokkhavisesassa vasena
samayavimokkhapaññattiyā adhippetattā.
103
difficulties, and not able to stay in them as long as he wishes to stay. And it is
possible for indolence to overcome him, thus there is the possibility of retrogression
who gains rūpajjhānas and arūpajjhānas, and he is able to get into them and get out
noble disciples are of akuppa nature (Designation of human types 17-18). However,
the reason for their retrogression, the commentary explains that their concentration,
insight are not well established. When meditative attainment is absent, there is
retrogression. He has not overcome five grave offences, and is subject to five
the akuppadhamma is defined as non-returners and arahats who are endowed with
eight meditative attainments. Their concentration and insight are complete and well
75
kuppadhammo idaṃ pana aṭṭha-samāpattilabhino puthujjanassa sotāpannass sakadāgāmino ti
tiṇṇaṃ puggalānaṃ nāmaṃ.
76
etesaṃ hi samādhipāripanthikā vipassanā paripanthikā ca dhammā na suvikkhaṃbhitā na
suvikkhālitā tena tesaṃ samāpatti nassati parihāyati.
77
akuppadhammo ti idaṃ pana aṭṭhasamāpattibhino anāgāmino c’eva khīṇāsavassa cāti dvinnaṃ
puggalānaṃ nāmaṃ. tesaṃ hi samādhipanthikā vipassāparipanthika ca dhammā suvikkhālitā
suvikkhambhitā. tena tesaṃ bhassa saṅgiṇi kiccena vā aññena vā yena kenaci attano anurūpena
pamādena vītināmento nam samāpatti na kuppati, na nassati.
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(Pug-A 182).79 One attains either four rūpajjhānas or four arūpaajjhānas. One is
neither able to get into them or get out of them, nor able to abide in them as desired.
Those without retrogressible nature are exactly the opposite, it is said all noble ones
imply stream-enterer and once-returner are of the nature of retrogression, while non-
returners and arahats are of the nature of non-retrogression. The commentary to the
commentary. Thus, despite the Theravāda refutation of retrogression from the stage
retrogress while non-returners and arahats do not retrogress. Another point is that in
78
avasibhāvā aṭṭhasamāpattilābhī pana puthujjana, sotāpannasakadāgāmino dve sekhā,
aṭṭhasamāpattiṃ sandhaya kuppadhammo nāma.
79
parihānadhamma-aparihānadhamma-niddesāpi-kuppadhammākuppadhamma-niddesa-vasen’ eva
veditabbā.
109
one attained fruit of once-returner among the celestial beings, he would realize
arahatta having been born among human beings. If he is unable to make it, he
would definitely realize it after having returned to realm of celestial beings
(DN-A II 543).88
The interpretation of the Pāli exegetical literature in some sense is arbitrary and to
some extent contradictory. The first problem is, according to Pāli exegetical
their interpretation, by interpreting it as one birth in human realm and one birth in the
realm of celestial beings. But this is a contradictory statement for the phrase ‘idaṃ
lokaṃ’ is defined as sensual realm. The sensual realm does not refer to only human
realm, it includes celestial realms as well, so two births in two different realms do
not the justify interpretation of the term once-returner. In Pāli Buddhist literature,
this discrepancy has never been resolved satisfactorily. Sanskrit Buddhist literature
seems more rational and consistent in this regard because they classify one-seeder as
abandoning the list of ten fetters, there seems no distinction between stream-enterer
and once-returner. Both have abandoned the first three fetters, but once-returner
further attenuated greed, hatred and delusion. The greed, hatred and delusion are
recognized as the basic obstacles to liberation, from which all negative emotions
spring forth; hence they are defined as three roots of all unwholesome actions. From
these three, defilements like anger, hostility, envy, selfishness, arrogance, pride etc.,
88
sace hi manussesu sakadāgāmi-phalaṃ patto devesu nibbattitvā arahattaṃ sacchikaroti, ice etaṃ
kusalaṃ asakkanto puna avassaṃ manussalokaṃ āgantvā sakkhikaroti, devesu sakadāgāmiphalaṃ
patto pi sace manussesu nibbattitvā arahattaṃ sacchikaroti, iccetam kusalaṃ asakkonto puna
avassaṃ devaloaṃ gantvā sacchikaroti.
110
stream-enterer also attenuates greed, hatred and delusion. If one looks at the three
great extent delusion as well as greed and hatred. The greed and hatred are also
closely connected with self-identity view. The other two fetters are connected to
This inconsistency seems to suggest that originally gap the between the stage of
of the stage of stream-entry. There are some passages in Pāli Nikāyas which seem to
postulate this possibility, for instance in AN, the once-returner is presented as one of
the sub-stage of the stream-enterer. In this particular passage, instead of three sub-
stages, four sub-stages of stream-enterers are mentioned, and the last is a once-
returner:
Having destroyed three fetters, he will become one who has a maximum seven
times; having wandered maximum seven times among humans and celestial
beings, makes end of suffering. Having destroyed three fetters , one becomes
one who travels from clan to clan; having wandered two or three clans, makes
end of suffering. Having destroyed three fetters , one becomes one-seeder;
having born just once in the human state, makes end suffering. Having
destroyed three fetters, attenuated greed, hatred and delusion, becomes once-
111
returner, having come to this world only once, makes end of suffering (AN I
233)
By pointing out this passage, Joy Manne opined “this passage points to a time when
these two attainments were not yet clearly differentiated into separate discrete stage
of attainment.”(Manne 1995a: 49). Her opinion seems to make good sense. There
are many other passages that show the difference between the stage of stream-entry
and the stage of once return is almost not distinguishable. For instance, in a number
of passages in the Nikāyas, when four stages are explained with relation to three-fold
training, the stream-enterers and once-returners are classified under the same
category. They are explained as those who have completed training in morality
supreme, the Buddha is said to have stated that one of them would be on the path to
arahatta, while the other two would be either non-returner or once-returner. The
not mentioned because they wanted to show the best of them only. This
commentarial passage also indicates that stream-enterer and once-returner has no big
This is further supported by the fact that none of the canonical passages has shown
any particular interest in the stage of once-return. This stage has no sub-division, and
apart from being listed in the standard version of four stages, there are no further
details of this stage recorded. Then the question naturally appears, why this stage
maximum seven times rebirths, other sub-stages naturally are desideratum. So once-
returner might have developed to fill this gap. But this leads to another question, why
is this particular sub-stage taken out and made into a distinct stage. It is not easy to
give any definte answer to this question. It may be because Buddhism was influenced
by four stages of life in the Brahmanism. The question is further dealt with in chapter
4.
2.10 Conclusion
dependent co-arising. The texts are sufficiently clear that the arising of the
stage of stream-entry. Perhaps, at the earliest period, the concept of stage stream-
entry did not evolve to replace the concept of dhammacakkhuṃ. The two words
the doctrine of the dependent origination and the stage stream-entry might have been
entry represent the same stage or different stages. The commentaries chronicle
different views.
113
through several stages of development in the Pāli Nikāyas themselves, later on in the
Abhidhamma and Pāli commentarial literature. In this discussion, I have cast down
the views of some modern scholars who claimed that jhānas as pre-conditions for the
Nikāyas are concerned, neither the practice of meditation nor the attainment of
the stage of stream-entry as a meditative attainment. I have further argued that the
ethical standard postulated for the stream-enterer in the Pāli Nikāyas seems to be
simple and easily attainable even by a lay Buddhist follower. Stream-enterers can
breach minor moral precepts, as long as they display honesty to reveal their
wrongdoing, and they do not commit any of the five grave crimes (garuka-kamma).
The important pre-requirement for the attainment of the stage of stream-entry is the
faith in the Buddha, the Dhamma and the Saṅgha. Furthermore, in this chapter, I
have argued that experiential insight seems not to be a necessary pre-requirement for
the four noble truths. However, as far as the Pāli Nikāyas are concerned, this is also
not a necessary pre-condition for the attainment of the stage of stream-entry. But in
the Abhidhamma and subsequently in the Pāli commentarial literature, many more
And according to the Abhidhamma and the Pāli commentarial literature, a stream-
doctrines.
Theravāda tradition along with the Sarvāstivāda, and the Sautrāntika schools of
Buddhist thought held the view that there is no retrogression from the stage of
thought held the opposite view. However, a careful examination of the concept in the
retrogression. The discussion also reveals that stage of once return might have been a
sub-stage of stream-entry in the early period. The distinction between the two stages
is very subtle. In many passages, they are classified as one category. But later, it
might have been singled out as a distinct stage to form the theory of the four stages
to arahatta.
115
Chapter 3:
The Evolution of the Stage of Non-return
The concept of the non-returner has undergone transformation from its original
cosmology that anticipates the later Mahāyana development. This chapter traces the
original formation of the concept to its development in the Nikāyas, Abhidhamma and
3.1 The Theory of the Two Stages of Nibbāna and the Stage of
Non-return
A number of discourses, using very similar terms, mention that if one takes up
Buddhist practice, he would gain one of the two stages, either realization of the goal in
this very life or if there remains upādi then the state of non-return (DN II 314; MN I
62, 63, 481; SN V 129, 181, 236, 313, AN III 82, 142; V 108; Iti 39,40,41).1 The
earliest distinction between the two stages is based on exhaustion and remnant of
upādi. He who has completely exhausted upādi is an arahat and in whom there is
Now the question is, what is this upādi? The term upādi is quite an ambiguous
term in Buddhist literature. In the early discourses, there is no clear definition of the
1
Dvinnaṃ phalānaṃ aññataraṃ pātikaṅkhaṃ, diṭṭhe va dhamme aṇṇā, sati vā upādise anāgāmitā.
116
term. Pāli Abhidhamma also does not shed any light on this ambiguity. The later
Buddhaghosa explained, citing the life of the Buddha, that the Buddha attained the
first stage of Nibbāna with his enlightenment and he attained the second stage of
Nibbāna when he passed away at the age of eighty (Vism 438). If one reads the early
passages in the Nikāyas dealing with the state of arahatta and the state of non-return
through the lens of the commentarial interpretation of upādi, then one has to admit
both arahats and non-returners are liberated. The distinction between them is the non-
returners have the five aggregates the arahat do not possess the five aggregates. The
Nettippakaraṇa and the Peṭakopadesa2 explains the two stages of Nibbāna in terms of
When ends the craving, this is sphere of Nibbāna with upādi, and the breaking of
body (death) is called sphere of Nibbāna without upādi. (Nett 38).3
The Peṭakopadesa explains the two stages of Nibbāna as follows:
Here, a monk has done his duties. This is the sphere of Nibbāna with upādi.
With the end of lifespan and end of life vitality, his suffering ceases. No further
suffering arises. When there is cessation of these aggregates, elements and
2
These two texts considered as canonical texts by the Burmese tradition, but Sril Lankan tradition
considers them as independent text. Scholars generally agree that these two texts were composed
before the Pāli commentaries.
3
yā nittaṇhātā ayaṃ saupādisesānibbānadhātu, bhedā kāyassa ayam anupādisesānibbānadhātu.
117
Oh! Monks, what is the sphere of Nibbāna with upādi? Here a monk, who one is
an arahat, destroyed the outflowing, lived [the spiritual life], done what has to
be done, laid down the burden, attained the highest goal, destroyed the fetters of
existence, truly liberated. He has five faculties, on account of which he feels
pleasant and unpleasant, and experiences pain and sorrow. But his greed, hatred
and delusion have been destroyed. This is element of Nibbāna with upādi. And
what is Nibbāna without upādi? Here, oh! Monks, a monk who is arahat, he has
destroyed the outflowing, lived [spiritual life] done what has to be done, laid
down the burden, attained the highest goal, his fetter for existence has been
destroyed. Here, all his feelings are not rejoicing [do not rejoice in feeling], will
become cold. Oh! Monks, this is called sphere of Nibbāna without upādi.( Iti
38).5
A number of scholars have challenged the commentarial interpretation of the term
upādi and convincingly argue with sufficient textual evidence that there is textual
Hermann oldenberg (1882), Lovejoy (1898), Masefiled (1979) Huzita Kaudazu (1988)
and Hwang (2006) have discussed several aspects and argue that upādi refers to
attachment. Lovejoy in the article ‘The Buddhistic technical terms upādāna and
upādisesa’ demonstrate that upādi, upādhi and upādāna are often used synonymously
in the Nikāyas (Lovejoy 1898:126-136). He has very convincingly argued that as far
as the Nikāyas literature is concerned, there is no scope to take upādi as aggregate, but
4
ettāvatā bhiikhu katakicco bhavati, esā sopādisesānibbānātu. tassa āyupariyādānā jīvitindryassa
uparodhā idañca dukkhaṃ nirujjhati, aññañca dukkhaṃ na uppajati, tattha so imesaṃ khandhānaṃ
dhātu-āyatanānaṃ nirodho vūoasamo añesaṇca khandhadhātu-āyatanānaṃ appaṭisandhi
apātubhāvo ayaṃ anupādisesanibbānadhātu.
5
katamā bhikkhave saupādisesa nibbānadhātu? idha bhikkhu arahaṃ hoti khīṇāsavo vusitavā
katakaraṇīya ohitabhāra anuppattasadattho parikhīṇabhavasaṃyojano sammadaññāvimutto. tassa
tiṭṭhento pañcindriyāni yesaṃ avighātattā manāpāmanāpaṃ pacanubhoti sukhadukkhaṃ
paṭisaṃvediyati. tassa yo rāgakkhayo dosakkhayo mohakkhāyo ayaṃ vuccati bhikkhave saupādisesa
nibbānadhātu. katamā ca bhikkhave anupādisesā nibbānadhātu? idha bhikkhave bhikkhuṃ arahaṃ
hoti khīṇāsavo vusitavā katakaraṇīya ohitabhāra anuppattasadattho parikhīṇabhavasaṃyojano
sammadaññāvimutto. tassa idheva bhikkhave sabba vediyitāni anabhinanditāni sītibhavissati, ayaṃ
vuccati bhikkhave anupādisesā nibbānadhātu.
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support the view that upādi refers to aggregates (Huzita 1988: 8). Hwang takes more
careful notes on the term upādi. He argues that the term upādi has two different
dimensions,on the one hand it means grasping, attachment, clinging, etc. (Hwang
2006:16). on the other hand fit refers to fuel, supply, i.e. remnant of karmic residuum:
not clarify why upādi cannot be understood from objective sense in regards to non-
returners. His argument seems to be based on later passages that describe non-
concludes that there is no gap between the stage of arahatta and the stage of non-
return. Both have perfected in terms of the path, but non-returners have some karmic
Nor is it suggested in such passages that the fruit of the state of non-return was
thought inferior to, or a stage on the way to the attainment of the fruit of aññā in
these conditions. Rather they are both said to be fruits of the Brāhmacariya,
implying that in either case the goal was thought to have been won; and that
some attained aññā in these conditions whilst others attained parinibbāna in a
subsequent birth in the Brāhmaloka would seem to depend solely upon the
presence of this remnant of upādi, this residue (of kamma) requiring further birth
for its expiation. (Masefield 1979: 221).
His view seems to have some support in the Visuddhimagga. In the Visuddhimagga
119
The Buddhas’ goal is one and has no plurality. But this [single goal, nibbāna,] is
firstly called with result of past clinging left since it is made known together with
the [aggregates resulting from past] clinging still remaining [during the
Arahant’s life], being thus made known in terms of stilling of defilements and
remaining [result of past] clinging that are present in one who has reached it by
means of development. But [secondly, it is called without result of past clinging
left ] since after the last consciousness of the arahant, who has abandoned
arousing [future aggregates] and so prevented kamma from giving result in
future [existence], there is no further arising of aggregates of existence, and those
already arisen have disappeared. So the [result of past] clinging that remained is
non-existent; and it is in terms of this non-existence, in the sense that there is no
[result of past] clinging here, that [same goal is called] without result of past
clinging left. (Vism 432, translated by Ñāṇamoli in The Path of Purification 580-
81).
Buddhaghosa also seems to understand upādi as remnant of past clinging, and it is a
remarks that upādi refers to residue of the clinging left. He goes on to say originally
the term was used in Indian medical science referring to residue of poison left after the
treatment of a person pierced by a poisoned arrow. Later Buddhist adopted the term to
refer to residue of defilements left after even becoming an arahat. But this will fade
poisoned arrow, a person pierced by a poisoned arrow goes to a doctor, and the doctor
removes the poison from the wound. Even though the poison is removed, there is
possibility of some residue of poison left him. Therefore, the doctor may prescribe
certain suitable food, cleaning the wound and not exposing the wound to wind. If the
patient follows the prescription, he would be cured, otherwise it may get worse (The
120
important aspect. While Buddhaghosa says the residue will pass away automatically
with death, Ñāṇamoli’s interpretation suggests that after attaining Nibbāna with upādi,
still he may need to make some effort to remove the upādi. Masefield’s view seems to
be very close to Buddhaghosa’s. The difference is only that Buddhaghosa says the
residuum will disappear with death, while Masefield believes one may take birth in the
Brāhmaloka to exhaust this past kammic residuum. Whatever minor differences there
may be, if Pāli commentarial interpretation of upādi is accepted, then, logically one
life, Hwang points out that a passage in the Ekottarāgama contains such view. He
There are two nirvana elements. What are two? They are nirvana with a
remainder of clinging and nirvana without a remainder of clinging. How is it
called nirvana with a remainder of clinging? A monk, by destroying the five
lower fetters, that is to say one who has attained nirvana in the intermediate state
(antarāparinirvāyin) does not return to that world [of desire]. That is why it is
called nirvana with a remainder of clinging. How is it called nirvana without a
remainder of clinging? A monk, by destroying impurity and accomplishing
purity, witness himself [in this very life] the liberation through mind
(cetovimukti) and liberation through wisdom (prajñāvimukti) and himself
delighted. He really knows ‘birth is destroyed, the holy life is fulfilled, and there
is no more birth [in this world]. That is why it is called nirvana without a
remainder of clinging. (EA, TD259a, cited and translated by Hwang 2006:31).
Here are no parallel of this passage in the Pāli Aṅguttaranikāya, nor there is any
thinks this interpretation belongs to Mahāsaṃghika school (Hwang 2006: 32). So with
this single passage, it is not possible to establish the idea that sopādisesanibbāna is
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that in the early part of Buddhism, the stage of non-returner equivalent to the to stage
of non-return because in later tradition the distinction between two stages of Nibbāna
is in upādi, similar to early Buddhist discourses, the yardstick to distinguish the stage
of arahatta and state of non-returner (anāgāmitā) is upādi. The Abhidhamma and Pāli
commentarial literature do not shed much light in solving the dilemma, whether
The issue becomes more complicated when one observes that in a number of
discourses, the demarcation between the stage of arahatta and the stage of non-return
is based on the extinction of attachment to desires. The arahat is one who has made
complete extinction of all desire and lust; non-returner is in whom certain attachment
to desire still remains. However, the non-returner is also defined as one who has
attachment to the dhamma, one who rejoices in the dhamma (MN I 437). And a non-
returner has desire for the dhamma (dhamma-rāga). The discourses say certain
Now the question is whether the chanda and dhamma-rāga are equal to upādi
sense. The term is mostly associated with sensual desire, desire desire for existence
almost always negative. The term chanda-rāga is defined as greed, hatred, and
aversion (DN I 25, rāga, dosa and paṭigha. But sometimes the term is used to refer to
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desire for spiritual striving, or zeal for wholesome dhamma (AN I 229; III 441), or as
seems to suggest that non-returner possesses some kind of greed, hatred and delusion.
The concept of non-returner went through transformation within the Nikāyas. While
in early discourses the concept seems to be very close to an arahat, gradually the
concept starts to recedes and forms the as penultimate stage to arahatta. Finally the
concept was standardized with abandoning of five fetters pertaining to lower sphere.
Before, the standardized version was developed, the stage of non-return has been
of the development of the five spiritual faculties. In some instances, all four stages of
liberation are defined in terms of the development of the five spiritual faculties. In the
faculties are perfected, he is an arahat. In whom they are weaker than that, he is a non-
returner. Still weaker is a once-returner, and continues until the faith-follower (SN V
6
kusalānam dhammānaṃ uppādāya chandaṃ janeti vāyamati viriyaṃ ārabhati.
123
200). In the same section, the five types of non-returners are also included (SN V 2001,
215, 216, 217).7 In the Aṅguttara Nikāya, the four stages are described in relation to
the threefold training (tisso sikkhā)— training with regard to morality (adhisīla),
training with regard to mind (adhicitta) and training with regard to wisdom
(adhipaññā); the stream enterer and once returner are only perfected in training
regarding morality, the non-returners are perfected in training regarding the morality
and training regarding the mind, the arahats are perfected in all threefold training (AN
I 233). In another discourse, non-returners are defined as those who do not fully know
the Buddhist dispensation (DN II 255).8 Yet in the Saṅkhāruppatti sutta of MN, pre-
conditions for the non-returners are the development of faith, morality, learning (suta),
generosity and wisdom. In the Khandha-saṃyutta, the path to realization of the stage
passages in the Nikāyas, stream-enterers and once-returners are also defined as non-
124
A similar interpretation is also given with regard to the development of the four
Venerable Sāriputta explained to a group of lay followers that if one gives a gift, with
expectations, with a bound mind, looking for rewards, although that person will be
reborn among the gods after his death, after the exhaustion of that karma, psychic
potency, glory, he would come back to the state of human beings. On the other hand,
one who practices generosity without expectations, without a bound mind, without
looking for rewards, after death he is reborn among the gods of Brahmā’s company.
Having exhausted that karma, psychic potency, glory and authority, he does not return
back to the state of human beings anymore (AN IV 62-63). This divergent
interpretation of non-returner would suggest that until that time, there was no standard
sainthood was established, but standard description of the concept was not yet
available.
Gradually, towards the second stage of the development of the descriptive qualities
According to the standard version, the four stages are distinguished in relation to the
stereotypical list of ten fetters. The stream-enterers abandon the first three fetters;
once-returners abandon none but weaken the fourth 4th and the fifth 5th. The non-
125
When this standardized version of non-returner in relation to the list of ten higher and
lower fetters developed is not clear within Buddhist literature. Hwang opines that this
development took place in the Abhidhamma and he further states that the four stages
are explained only in relation to fetters first in the Dhammasaṅganī, and later it was
Abhidharma text, now available in Chinese translation only (Hwang 2006: 27). In the
Pāli Nikāyas, non-returner is defined as one who abandons the five lower fetters, while
the Dhammasaṅgaṇī presents non-returner as one who has abandoned the sensual
The five lower fetters include these two, hence there is no substantial difference in
them.
The juxtaposition of the scheme of fetters and the notion of noble persons
coincides with a doctrinal development of the concept of fetter reflected in the early
discourses. The concept of fetters is a very archaic religious concept shared by most
Pan-Indian ancient religions. The concept is seen in the early Buddhist texts, such as
synonymously with bondage (gantha), craving (taṇhā), etc. The implication is what
Suttanipāta, delight is taken as fetter of the world. When Udaya questions the Buddha,
as to how the world is fetter (kiṃsu saṃyojano loko), the Buddha responded that joy is
in world is fetter (nandīsaṃyojano loko, Sn 215). There are several versions of fetters.
There is a version of fetters with seven fetters; here the listing is also slightly different
126
from the standard version (AN IV 7).9 In another list of sevenfold fetter, the list is
slightly different from the above lists; here envy and miserliness are included (AN IV
9). Sometimes, in the list of ten, some factors are different. Even in the
Dhammasaṅganī the ten fetters in the list are slightly different from the standard list
(Dhs 197).10
This divergence in the numbers of fetters in different lists would imply a gradual
development of the list of fetters. The list of factors seems to have developed
independent of the four stages. In later period, two lines of thought are mingled
that this standard version of the four stages with tenfold fetter might have developed
towards the late Pāli Nikāya period or early Abhidhamma period. With this
lower fetters. Somaratne has noted that there are some flaws in the standard version
also. He points out that once-returner is defined as one who has abandoned the first
three fetters and has weakened greed (rāga), hatred (dosa) and delusion (moha), hence
logically the fourth, fifth and sixth should be greed, hatred and delusion, but in the
standard list the fourth and the fifth are sensual pleasure and ill will respectively. The
Therefore, non-returners may have weakened ignorance and all other fetters, but in the
minor issue, though theoretically there seems to be some discrepancy, but there is not
9
Fetter of greed, the fetter of aversion, the fetter of views, the fetter of doubt, the fetter of conceit, the
fetter of lust for existence and fetter of ignorance.
10
Ten fetters are: kāmarāgasaññojanaṃ, paṭighasaññojanaṃ, mānasaññojanaṃ, diṭṭhisaññojanaṃ,
vicikicchā sīlabbata, bhavasaññojanaṃ, issasaññojanaṃ, macchariyasaññojanaṃ and
avijjāsaññojanaṃ.
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While in the earliest phase of Buddhism, meditation is part of the daily experiences of
the early disciples, theoretical discussion on the nature and function of meditative
absorptions soon gained importance in the early discussions on Buddhism. This sub-
chapter aims to investigate the pre-requirements for the stage of non-return. My main
The Pāli Nikāyas do not specify the requirement of jhānas and samāpattis for the
attainment of the stage of non-return. Hence, one has to examine several concepts
related to it. One of the reasoning adopted by Venerable Analayo to argue that non-
returner requires jhānas was based on the fact that non-returners are reborn in the
those who do not return to the realm of sensuality (kāmāvacara). The Pāli Nikāyas
explicitly state that non-returners are individuals who are unable to reach arahatta in
the human life, after death they are reborn in the pure-abode (suddhāvāsa) which is
located in the realm of form; and they attain final liberation in that realm without
128
returning to the sensual realm. The Indian cosmologists constructed the realm of form
and formless according to meditative attainment. The Nikāyas seem to have inherited
this tradition. Thus jhānas are classified into four jhānas relating to realm of form
(rūpajjhāna) and four jhānas relating to formless realm (arūpajjhāna). In the Nikāyas
rūpa and arūpa do not necessarily refer to actual cosmological realms, but state of
meditative attainment. One can experience them in meditation without being born into
those realms. Sometimes they are known together as eight samāpatti and can be
attained through concentration. The question whether actual cosmological realms were
formed before meditative attainments or meditative attainment was formed in line with
cosmological realm, is a big question, which requires an extensive study that I cannot
afford to give here. They might have been originally meditative attainments; and
question as to what happens when meditators passed away without attaining final
liberation. But with the complexity of the question, it is not easy to make any precise
statement on this. Suffice to say that the two sets of jhānas and two sets of
so named because jhānas are prior requirements for birth in these realms. In several
jhānas may be reborn in Brāhmaloka after death, if they fail to achieve arahatta
Oh! monks, a person having transcended the signs of form, transcends the sign
of aversion, not paying attentions different signs, he attains the state of infinity
129
of space. He desires it, relishes it, and finds satisfaction in it. If he is resolute in
it, he often dwells in it and if not lost when he is dying, he is reborn among
companionship with the deities of the base of the infinity of space. Oh! Monks,
lifespan in the realm of infinite of span is twenty hundred thousand kappa. A
worlding would remain there all his life and when he has completed the entire
life span of those devas, he goes to hell, to animal realm or to sphere of afflicted
spirits. But a disciple of the blessed one remains there all his life, and when he
has completed the entire life span, he attains final Nibbāna in that very same
existence. (AN I 267).
The passage states that requirement for rebirth in Brāhmaloka is skill in attaining
jhānas, and not anything to do with abandonment of fetters. The only distinction
who have abandoned fetters do not retrogress from Brāhmaloka, while worldlings who
have not abandoned defilements, will retrogress after the end of life span in
Brāhmaloka. This postulates all non-returners have attained at least the first four
jhānas. This is in accordance with the etymological definition of non-returners ‘as one
who does not return to human conditions again from Brāhmaloka’. As I have shown
above, one does not define non-returner simply by virtue of abandonment of five
lowers fetters, but as one who does not return to human conditions from Brāhmaloka.
The above captioned passage shows that even stream-enterers and once-returners are
also non-returners if they are skilled in attaining the jhānas. Thus, jhānas play an
meditative prerequisite for the attainment of the stage of non-return as the concept
developed.
11
sīlesu paripūkāri and samādhism paripūkāri.
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Nikāyas, samādhi is interpreted as four jhānas (SN V 198, 219). In some passages
samādhi includes both rūpajjhānas and four arūpajjhānas (DN I 73).12 The Pāli
commentarial literature is also in agreement with this interpretation (AN-A III 236).
Thus, the four arūpajjhānas might be optional, but four rūpajjhāna seem mandatory
form after death. There are passages in the Nikāyas, which imply that a worldling can
be reborn in the realm of form if one cultivates jhānas. It is further supported by the
Nikāya references that the stage of non-return and arahatta is predicted for those
practices Satipaṭṭhāna, would gain either arahatta in this very life, and if he fails to
attain arahatta before death, he would become non-returner (SN V 314). Similar
assurance is given to those who practice meditation in breathing in and out. There are
several passages in the Nikāyas that mention non-returners attaining jhānas. For
instance, in the Mahāmāluṅkyaputta sutta, the path to the stage of arahatta and the
explained as insight into each of jhānic attainment including the attainment of four
the Buddha, 899). Several passages in the Nikāyas and Pāli commentarial literature
infer that non-returners not only attain four rūpajjhāna, but also attain four
arūpajjhānas (SN IV 293). One of the important points to note is that non-returner
and arahats are capable of attaining cessation of ideation and sensation (saññavedita-
12
Karunaratne Upali in his article on “Jhāna” in the Encyclopaedia of Buddhism Vol. II 50-55, has
given a succinct account of jhānas in the Pāli Nikāyas. Therefore, I avoid giving details account of it
here.
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of this stage requires mandatory skill to attain four jhānas relating to the form realm
and four jhānas relating to the formless realm. A passage in the AN describes non-
returner as ‘one who dwells attaining liberation of mind which is calm’ (AN I 64).13
The term cetovimuttiṃ is synonymous with nirodhasamāpatti (AN II 87, 89-91). The
Visuddhimagga also maintains that only non-returners and arahats who have skill in
eight samāpatti are capable of attaining this state. Why other meditators cannot attain
this state is not clear, perhaps because it is self-explanatory that by the time one
comes to this attainment, they have abandoned fetters which arahats and non-
path to abandon five lower fetters is clearly enumerated. The path is explained as
presentation, the implication is quite clear that the nature of the jhānas is the same.
The only difference is through mundane jhānas one suppresses the defilements, but
literature explain that while four jhānas relate to realm of form and four jhānas relate
13
so aññataraṃ santaṃ cetovimuttiṃ upasampajja viharati.
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(vipassanā bhāvanā). The question would be whether the supra-mundane jhānas are
capable of producing rebirths in the form and formless realms. The answer seems to be
similar form with rūpajjhānas and arūpajjhānas. Since it is accepted those who attains
after death, Ābhidhammikas might have tried to convey similar consequence that those
i. e. Nibbāna. Then the question would arise, if one attains one of the first three stages,
but fails to attain arahatta, then where would he be reborn after death? This point is
not very clear in the canonical Abhidhamma, we have to investigate the Pāli exegetical
the Pāli exegetical literature, both vehicles are recognized as valid paths to
concentration, i.e. jhānas and samāpatti (Vism-mahāṭīkā II 350),14 while the vehicle of
sukkhavipassaka as:
14
Samathova yānam samathayānaṃ, taṃ etassa atthīti samathayāniko, jhāne,jhāna-upācare vā
paṭṭhāya vipassanaṃ anuyuñjantassa etam nāmaṃ.
133
The one whose insight is dry, rough or inmost because of the lack of the moisture
of serenity meditation is a dry-insight practitioner. (DN-ṭīkā II 152; I 345).15
who does not gain jhānas.” (The Visuddhimagga-mahāṭīkā 474.)16 Such commentarial
vigorously promoted ‘the vehicle of only insight’. He defines the pure-insight vehicle
63).17 From this, the implication is quite clear that dry-insight practitioners do not
attain jhānas. This commentarial emphasis on dry insight would beg the question as to
whether a dry-insight practitioner needs to pass through the stage of non-return. The
answer seems quite explicit that according to the Pāli exegetical literature, one passes
through all four stages (see chapter 5 for more details). Then the question arises, how
that with non-returner path thought (anāgāmimaggacitta), one can abandon fetters, but
the realm of form (AN-A III 132). Secondly, discourses emphatically state non-
returners are perfected in morality and concentration, but according to the Pāli
15
sukkhavipassako ti samathabhāvanāsinehābhāva sukkha lūkhā asinidhā vā vipassanā etasāti
sukkhavipassako;
16
ajhānalābhi suddhavipassanāyānikova sukkhavipassako.
17
suddhaṃ vipassanāyānaṃ yesam te suddhavipassanāyānikā suddham iti samathajjhānena
asammissaṃ.
134
perfect in concentration. Some Pāli commentators notice these problems, but they tried
any jhānas. The obvious conclusion is, it is not equivalent to jhānas, for jhānas require
deep level of concentration practices. This only means that sukkhavipassaka attains
some form of samādhi, which cannot be the samādhi mentioned in the discourses. By
this, the passage might have tried to give an explanation how a non-returner in the
scheme of sukkhavipassaka fulfills samādhi. But the question still remains, where this
non-returner will be reborn. Another passage in the Manuratapūraṇi tries to solve this
dilemma. It says that if a dry-insight practitioner attains the stage of non-return, but
yet could not attain arahatta before death, he would necessarily obtain jhānas related
to realm of form at least for a moment before death. This momentary jhānas would
enable him to be reborn in the realm of form (AN-A III 132). The passage further says
that dry-insight vehicle as “having practiced insight first, cultivates equipoise of mind.
18
ye pana khaṇika-samādhi-matte ṭhatvā vipassanaṃ paṭṭhapetvā adhigata agga-maggā, te ādito
antarantarā ca samādhijena jhānāṅgena vipassanābhantara paṭisandhānam abhāvā sukkah
vipassanā etesan ti sukkhavipassakā nāma.
135
It means originally attains insight, having stood on insight, develops samādhi”. (AN-A
III 143)19
The Papañcasūdanī further clarify that there are two alternative paths to arahatta.
It says some can develop the path of insight preceded by samādhi, while some other
can practice samādhi preceded by insight. Thus, the commentarial tradition in general
agrees that the path consists of both samādhi and vipassanā, it is a matter of which
practitioners gain the highest fruit with prior practice of jhānas, but it does not say
that he does not attain jhānas at the moment of supra-mundane paths (AN-ṭīkā II 98-
99).20 Thus, it seems that jhānas are recognized as a necessary condition for the stage
of non-return. But the Pāli exegetical literature is highly inconsistent when it comes to
completely without jhānas, However, the majority agrees that sukkhavipassaka attains
preceded by vipassanā.
With the establishment of non-returner as one of the four types of noble persons, the
next doctrinal development of the stage of non-return would later come to a stage
where the stage is further subdivided into five taxonomical categories, as specification
of the stage itself underwent more theorization. Such increased division among the
19
vipassanaṃ pubbaṅgamaṃ purecārikaṃ katvā samathaṃ bhāveti, pakatīyā vipassanālabhī
vipassanāya ṭhatvā samādhi uppadeti attho.
20
pubbabhāge jhānasinehābhāvena kevalāya vipassanāya ṭhatvā aggaphalappattā sukkhavipassakā
nāma, maggakkhaṇe pana jhānasineha natthīti na vattabba.
136
stage of non-return is also reflected in Sanskrit Buddhist texts, and seems to be a pan-
to the subdivisions, however, there is a paucity of precise definition of such terms, and
there are also doctrinal inconsistencies, despite attempts to define these subdivisions to
abandonment of the five lower fetters, as stated in the previous sections, the
incoherence of meanings of the terms shows a lack of consensus as to how the stage of
non-return is developed, and the lack of doctrinal consistency may suggest the initial
stages of the theorization of the concept did not go through rigorous standardization.
The diversity of non-returners may testify to the fact that as the stage is developed,
attributed to this newly developed concept, and the condensation into one single
definition of non-returner would have oversimplified the spiritual picture that Buddhist
i. Antarāparinibbāyī,
ii. Upahaccaparinibbāyī,
iii. Sasankhāraparinibbāyī,
iv. Asankhāraparinibbāyī,
v. Uddhaṃsotākiniṭṭhāgāmī, (DN III 237; SN V 201, 202; AN I 233; IV. 13, 145,
380).
137
explanation for the classification is discernible within the Nikāyas. In terms of spiritual
returners. In the stereotypical description, it is said that all five types of non-returners
have abandoned the five lower fetters, but they are yet to abandon the five higher
Saṃyuttanikāya, where non-returner is defined with achievements other than the five
lower fetters. For instance, in the Bojjhaṅga Saṃyutta, the five types of non-returners
are defined by the development of the five spiritual faculties (SN V 205). In such a
given situation, it is a legitimate question to ask how the five categories of the non-
returners are distinguished. The stereotypical description of the five lower and the five
higher fetters cannot resolve this question. In other words, the doctrine of
classification is incompatible with the schemes of five higher and lower fetters. If all
non-returners have abandoned the five lower fetters, there is no point to make this
distinction. However, this apparent dilemma escaped the attention of both Pāli
commentarial passages shows that not a single passage in the commentaries tries to
bridge this gap in terms of the coherency of the doctrine of the five categories of the
non-returners and the schemes of five lower and higher fetters. An isolated passage in
the Aṅguttaranikāya attempts to explain the reasons behind the differences among the
five categories of non-returners. This passage mentions there are four types of persons;
138
the first category, are those who have not yet abandoned the lower fetters
saṃyojanāni), (AN II 133-34). The second category is, those who have abandoned the
five lower fetters, but have not yet abandoned the fetters for birth and the fetters for
existence. The third category is, those who have abandoned the lower fetters, the
fetters for births, but not the fetters for existence. The last category is, those who have
abandoned all three categories of fetters. The discourse goes on to explain these four
categories of persons; the first category is identified with once-returner. The second
category is those bound for upstream, heading towards the highest realm
Nibbāna in the interval. The last category is arahats (AN II 133-34). A commentarial
intermediate (AN-A III 130-31). In another passage of SN, the distinction among the
five categories of the non-returner is in the development of the five spiritual faculties.
2, seem not to be compatible with the scheme of tenfold fetters. Hence, some early
139
Pāli redactors have tried to find a solution outside the scheme of tenfold fetters. They
put forward the five spiritual faculties, which make more precise. Some tried to
classify fetters into three rather than the stereotypical two. However, this is not the
classification of non-returner. In AKB, this point is raised and three points were
proposed to make the distinction among the categories of non-returner. They are
are accumulated in the form of potential seeds that are to be manifested either in the
defilements, there are three categories, weak, medium and strong. The development of
faculties is also in three levels, namely, weak, medium and strong (AKB III 1954).
The distinction in terms of remnants of karmic residuum seems more logical. But it
would imply that non-returners are perfect in abandoning defilements; they have only
got to wait a few more births to exhaust remnant karmic residuum. However, such
occasions in the Aṅguttaranikāya, they are just defined with a simile. In one discourse
140
seven types non-returners instead of usual five. And this discourse describes the seven
i. When an iron bowl has been heated all day and is struck, a chip may fly off
and would extinguish. In similar manner, a monk who is practicing as it may
not be, and it may not be mine. It will not, it will not be mine. I am
abandoning what exists, and what has come to be. So he attains equipoise. He
rejoices neither in existence nor in birth. He perceives the higher peaceful
state through proper vision, but yet has not realized in all aspects (not realized
completely). His latent conceit has not been rooted out completely, his latent
attachment to existence has not been rooted out completely, and his ignorance
has not been abandoned completely. With complete abandonment of five
fetters pertain to lower sphere, he becomes an antarāparinibbāyī.
ii. when an iron bowl is heated all day and is struck, a chip may fly off, rise up,
and would extinguish. In similar manner a monk who is practicing as it may
not be …with complete abandonment of the five fetters pertain to lower
sphere, becomes an antarāparinibbāyī.
iii. When an iron bowl is heated all day and is stuck, a chip may fly off, rise up,
and be extinguished just before it lands on the ground.” In similar manner, a
monk who is practicing…. with complete abandonment of the five fetters
pertaining to lower sphere, becomes an antarāparinibbāyī.
iv. when an iron bowl is heated all the day and is stuck, a chip may be produced
and fly up, landing on the ground it may extinguish. In similar manner a
monk who is practicing …. With complete abandonment of the five fetters
pertaining to lower sphere, becomes an upahaccaparinibbāyī.
v. when an iron bowl is heated whole day and is stuck a chip may fly off, rise up,
and fall on either small pile of straw or small pile of woods. There it may
produce a fire and smoke. Having produced fire and smoke when that small
pile of straw or pile of woods exhausted, and if it gets no more fuel, it may
extinguish. In the similar manner, a monk who is practicing… with complete
abandonment of the five fetters pertaining to lower sphere, becomes an
asasaṅkhāraparinibbāyī..
vi. when an iron bowl is heated whole day and is stuck a chip may fly off, rise
up, and fall on either large pile straw or large pile of woods. There it may
produce a fire and smoke. Having produced fire and smoke when that small
pile of straw or pile of woods exhausted, and if it gets no more fuel, it may
extinguish. In the similar manner, a monk who is practicing… with complete
abandonment of the five fetters pertaining to lower sphere, becomes a
sasaṅkhāraparinibbāyī.
vii. when an iron bowl is heated whole day and is stuck a chip may fly off, rise
up, and fall on either huge pile straw or huge pile of woods. There it may
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produce a fire and smoke. Having produced fire and smoke when that huge
pile of straw or pile of woods exhausted, it would burn up a woods or forest
until it reaches the edge of a field, the edge of a stone mountain, the edge of a
water, or some garden, and then if it get no more fuel, it may extinguish.
(AN IV 70).
What the similes are meant to convey is not clear in the Nikāyas. The Nikāyas simply
explain these classifications. The literalism of the simile seems to convey the sense
that the antarāparinibbāyī does not have further existences. This is also confirmed by
The Pāli Nikāyas has not clarified the terms like upahaccaparinibbāyī, sasaṅkhāra and
into two broader categories; one category is mentioned in accordance with the location
uddhaṃsota-akaniṭṭhāgāmi. The other category is the way they will attain liberation—
the second category of non-returner will attain arahatta. The Nikāyas do not disclose
anything about what is meant by these two terms. The term is multivalent in Pan-
The word and conception saṃskāra performs a conspicuous part in all Indian
philosophical systems. It usually means some latent mysterious power, which
later on reveals itself in some potent fact. (Stcherbatsky 1923:18)
Horner, in her comments on the term says “this is one of the most difficult terms in
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world and of happening, peculiar to the East.” (The Collection of the Middle Length
Sayings I XXIV). She further identifies four different applications of the concept in
the Nikāyas—i. as one of the five aggregates, ii. as one of the links of the twelvefold
dependent arising, iii. as a sort of activity associated with body, speech and mind, iv.
as properties associated with life span. (The Collection of the Middle Length Sayings I
xxiv-xxv). She has missed out the association with Nibbāna which has been pointed
out by and Mathieu Boisvert. He has pointed the five applications, which are very
Nibbāna as sasaṅkhāra and asaṅkhāra (Mathieu 1995: 91-103). My interest lies in the
In several passages in the Nikāyas the term saṅkhāra is associated with volition,
defined as volition (SN III 60). In the Aṅguttaranikāya, volition (cetanā) is defined as
kamma (AN III 415).21 In another passage it is clarified that saṅkhāra is a karmic
impulse that keeps the life in the saṃsāra moving (AN I 111). In this context, the term
saṅkhāra and abhisaṅkhāra are used interchangeably (DN I 18; SN III 87). Padmasiri
de Silva has pointed out that saṅkhāra is often used as in the Nikāyas to imply volition
for volition and refers to the dynamism and momentum of aspect of kamma (Mathieu
1995: 96). Even in early Abhidhamma texts like the Vibhaṅga the term is associated
with the doctrine of kamma. It is stated that saṅkhāras are threefold, meritorious, non-
21
cetanāhaṃbhikkhave kammaṃvadām icetayitvā kammaṃ karoti kāyena vācāya manasā.
143
is defined as wholesome volition relating to sensual sphere and form sphere deriving
wholesome volition relating to formless sphere (Vbh 135). It says that saṅkhāra is
responsible for saṃsāric existence. Here the term bhavasaṅkhāra is used (AN IV 312).
I believe these are sufficient to show that saṅkhāra is closely related to karmic
residues. The canonical Abhidhamma also supports this. The Puggalapaññātti defines
pursues the noble path with saṅkhāra in order to abandon fetters relating to higher
paths (Pug, 17). The text has not spelt out what exactly saṅkhāra refers to. If saṅkhāra
referred to karmic residuum. The two states of Nibbāna described in the late Pāli
However, Nikāyas also contains divergent interpretations of the two terms. For
Oh! Monks, how person becomes sasaṅkhāraparinibbāyī in this very life? Here,
a monk dwells contemplating on the impurities of the body. [He] perceives the
repulsiveness of food. [He] non-delighting in the entire world, contemplates on
the impermanence in all conditioned phenomena. He has well established the
perception of death internally. He dwells relaying upon these five trainee
powers—the power of faith, the power of moral shame, the power of moral
dread, the power of energy, and the power of wisdom. The five [spiritual]
faculties manifest in him dominantly—the faculties of faith, energy, mindfulness,
concentration and wisdom. Due to the dominance of this five faculties, he
144
passage suggests that some non-returners do not attain jhānas. This is an unusual
The Pāli commentarial literature defines saṅkhāra as effort. For instance, the
1030; AN-A II 350) and sasaṅkhāraparinibbāyī as attaining Nibbāna with effort, with
wearisome, and with difficulty. Most of the Pāli commentators are univocal on this
point. There is not much deviation from this point. Even the
Nibbāna without conscious striving. Hence he quotes the story of the Bāhiya
striving” (Mathieu 1995: 101). The explanation seems not convincing, for how can
gained through practice and effort and with full mindfulness. If one attains Nibbāna
without effort and practice, the abandoning of the five higher fetters is spurious. On
the one hand the commentaries maintain that a non-returner has to abandon the five
Nibbāna without effort, which implies without practices. This is contradictory. These
two polar opposite views are hard to reconcile. However, commentators have not
interpret saṅkhāra as exertion is not clear. The classification of the non-returners into
further categories thus testifies to the attempt, with varied degree of success, of later
stage. The doctrinal inconsistencies reveal that such doctrine may not have gone
146
in this subsection. The Nikāyas have not clearly defined the concept of
scattered facts in the Nikāyas and reconstruct a logical explanation of this concept,
schools (Kv, 361-66; AKB, III, 1948-1956). A number of early Indian Buddhist
thoughts. This sub-section will argue that despite Theravādin official denial of the
concept, the Pāli Nikāyas infer some form of intermediate existence. This section will
further show that Theravādin repudiation of the theory is not cogent because there
are many discrepancies relating to this concept which were neither addressed by the
(antarābhava-satta) are not traceable in the Pāli Nikāyas. The word intermediate
(antarā) has been used on several occasions in different contexts. The Pāli Nikāyas do
not mention this concept. The silence itself is conspicuous and the reason behind such
intermediate existence has not yet been developed in the pan-Indian religious
147
philosophy. Alex Wayman and Bryan Jare Cuevas assert that the term “intermediate
being” or “intermediate state” does not appear in old Vedic literature. However Alex
Wayman has pointed out , “My investigation indicates that the old Upaniṣad and the
old Buddhist scriptures both present the rival theories of “intermediate state” and
“intermediate being” (Wayman 1974: 236). Bryan Jare Cuevas also draws a similar
conclusion that although the term itself was not in the old Vedic literature, an implicit
the Buddhists, who might have drawn their materials from the Vedic and Upaniṣadic
theory of postmortem transition (Cuevas 1996: 291). The concept of attaining Nibbāna
antarāparinibbāyī refers to. This term appears in the stereotypical description of types
of non-returners, it does not stand alone in the Nikāyas. It is intriguing to observe that
despite the term appearing several times in the Nikāyas, its exact meaning is never
spelt out. The absence of its interpretation could be for the following reasons: early
Buddhists were familiar with the concept, hence there was no need to spell out its
development, and it crept into Nikayas in the process of recension of the Buddhist
implausible that early Buddhists were familiar with the implication of this concept. In
the Nikāyas, only one attempt is made to explain the five types of non-returners, also
148
through the simile of ‘heated iron chip’. According to the simile, the
i. When an iron bowl has been heated all day and is struck, a chip may fly off
and would extinguish. In similar manner, a monk who is practicing as’ it may
not be, and it may not be mine. It will not, it will not be mine. I am
abandoning what exists, and what has come to be. So he attains equipoise. He
rejoices neither in existence nor in birth. He perceives the higher peaceful
state through proper vision, but yet has not realized in all aspects (not realized
completely). His latent conceit has not been rooted out completely, his latent
attachment to existence has not been rooted out completely, and his ignorance
has not been abandoned completely. With complete abandonment of five
fetters pertain to lower sphere, he becomes an antarāparinibbāyī.
ii. When an iron bowl is heated all day and is struck, a chip may fly off, rise up,
and would extinguish. In similar manner a monk who is practicing, as it may
not be with complete abandonment of the five fetters pertain to lower sphere,
becomes an antarāparinibbāyī.
iii. When an iron bowl is heated all day and is stuck, a chip may fly off, rise up,
and be extinguished just before it lands on the ground.” In similar manner, a
monk who is practicing…. with complete abandonment of the five fetters
pertaining to lower sphere, becomes an antarāparinibbāyī. (AN IV 70).
The similes are always open to divergent interpretations. The same is true for the
history of Buddhist thought. During the Abhidhamma period, this simile has led
existence between death and new birth (The Point of Controversy, 212-13). The
and Sammitīya (Kv-A, 105). Sanskrit Buddhist literature records that Sarvāstivāda,
149
do a lot of good karma and those who do a lot of unwholesome karma, have no
intermediate existence, the rests go through intermediate existence (Masuda 1978: 32).
was on the basis that Nikāyas mentioned threefold sphere of the cosmos—the sphere
of sensuality, the sphere of form and the sphere of formless. There is no space for
intermediate existence (Kv 212-13). The author of the Kathāvatthu might have
understood the word antarā very literarily, stated if there is an intermediate existence,
it should be intermediate between two of the three existences, and it has raised the
question that between which two existences the intermediate existence exists (The
Points of Controversy, 212). Another point raised by the Theravādins was, which
kamma leads to birth in the intermediate existence. In line of this argument, the
attains Nibbāna before exhaustion of half of the life span in the Brahma world (The
immediately after his birth, or before reaching the middle of this span of life, brings
forth the noble path in order to abandon fetters for higher paths.” (Pug, 16).
This has been taken up by the commentarial literature. The Pug-A defines
before reaching middle of life span, attains arahatta; and antarāparinibbāyī are
threefold” (Pug-A, 198).22 The Pāli commentators have raised several objections to
repudiate the concept of intermediate existence. And the author of the Kathavatthu-
22
antarāparinibbāyiniddese upannaṃ vā samantarā ti upapannasamantarā vā hutvā appattaṃ vā
vemajjhaṃ āyuppamāṇaṃ ti āyuppamāṇavemajjhaṃ appattaṃ vā hutvā ariyamaggaṃ sañjanetīti pi
attho veditabbo. evaṃ tayo antarāparinibbāyino siddhā honti.
150
Aṭṭhakathā states that some Buddhist schools such as Pubbaseliya and Sammitiya
105).23 The Pāli commentators have argued that the Pāli Nikāyas mention only three
existence, it should be included within these three existences. They therefore raised
that question under which realms the intermediate existence is included. They asked if
was an intermediate existence, it should be between the boundaries of any of the two
beings were born in the intermediate existence, they should go through birth, decay
and death and following the death there is rebirth. Thus, there is a univocal protest
against the concept of intermediate existence in the Pāli commentaries as well as sub-
But those who held the theory of intermediate existence, held the view that there is
no particular karma to appear in the intermediate existence; they are born in the
schools that accepted intermediate existence, the Sarvāstivāda took the strongest
23
suttapadaṃ ayonigahetvā antarābhanāma atthi.
24
yadi te antarābhavo nāma koci bhavo atthi. imesaṃ bhavānaṃ antarā dvinnaṃ sīmānaṃ sīmantarikā
viya bhaveyyā it codetum āraddhaṃ.
151
insists that there is an intermediate existence between death and new birth. Beings do
not take a new birth as soon as they die. They spend a certain period of time in the
2. The reference to the term gandharva as one of the three conditions for
conceiving a child.26
between the three realms and the intermediate existence. For this argument they have
cited in the Nikāyas/Āgamas, very often the five existences (gati) are subsumed within
rebirth state, not a realm. It has further cited saptabhāvasūtra, which mentions seven
planes of existence. They are the five gatis plus the state of action (karmabhava) and
intermediate being (AKB II 946). As to the mode of births, intermediate beings are
differentiates between birth and arising. According to it, intermediate beings are not
25
This discourse is not found in the Pāli version of the Canon.
26
This concept is also found in the Āśvalāyanasūtra of the Madhyamāgama and in corresponding Pāli
version of the Āssalāyana sutta, MN II 157.
27
Five gatis—hell destiny, animal destiny, ghost (preta) destiny , human destiny, and destiny of gods.
148
through the simile of ‘heated iron chip’. According to the simile, the
i. When an iron bowl has been heated all day and is struck, a chip may fly off
and would extinguish. In similar manner, a monk who is practicing as’ it may
not be, and it may not be mine. It will not, it will not be mine. I am
abandoning what exists, and what has come to be. So he attains equipoise. He
rejoices neither in existence nor in birth. He perceives the higher peaceful
state through proper vision, but yet has not realized in all aspects (not realized
completely). His latent conceit has not been rooted out completely, his latent
attachment to existence has not been rooted out completely, and his ignorance
has not been abandoned completely. With complete abandonment of five
fetters pertain to lower sphere, he becomes an antarāparinibbāyī.
ii. When an iron bowl is heated all day and is struck, a chip may fly off, rise up,
and would extinguish. In similar manner a monk who is practicing, as it may
not be with complete abandonment of the five fetters pertain to lower sphere,
becomes an antarāparinibbāyī.
iii. When an iron bowl is heated all day and is stuck, a chip may fly off, rise up,
and be extinguished just before it lands on the ground.” In similar manner, a
monk who is practicing…. with complete abandonment of the five fetters
pertaining to lower sphere, becomes an antarāparinibbāyī. (AN IV 70).
The similes are always open to divergent interpretations. The same is true for the
history of Buddhist thought. During the Abhidhamma period, this simile has led
existence between death and new birth (The Point of Controversy, 212-13). The
and Sammitīya (Kv-A, 105). Sanskrit Buddhist literature records that Sarvāstivāda,
149
do a lot of good karma and those who do a lot of unwholesome karma, have no
intermediate existence, the rests go through intermediate existence (Masuda 1978: 32).
was on the basis that Nikāyas mentioned threefold sphere of the cosmos—the sphere
of sensuality, the sphere of form and the sphere of formless. There is no space for
intermediate existence (Kv 212-13). The author of the Kathāvatthu might have
understood the word antarā very literarily, stated if there is an intermediate existence,
it should be intermediate between two of the three existences, and it has raised the
question that between which two existences the intermediate existence exists (The
Points of Controversy, 212). Another point raised by the Theravādins was, which
kamma leads to birth in the intermediate existence. In line of this argument, the
attains Nibbāna before exhaustion of half of the life span in the Brahma world (The
immediately after his birth, or before reaching the middle of this span of life, brings
forth the noble path in order to abandon fetters for higher paths.” (Pug, 16).
This has been taken up by the commentarial literature. The Pug-A defines
before reaching middle of life span, attains arahatta; and antarāparinibbāyī are
threefold” (Pug-A, 198).22 The Pāli commentators have raised several objections to
repudiate the concept of intermediate existence. And the author of the Kathavatthu-
22
antarāparinibbāyiniddese upannaṃ vā samantarā ti upapannasamantarā vā hutvā appattaṃ vā
vemajjhaṃ āyuppamāṇaṃ ti āyuppamāṇavemajjhaṃ appattaṃ vā hutvā ariyamaggaṃ sañjanetīti pi
attho veditabbo. evaṃ tayo antarāparinibbāyino siddhā honti.
150
Aṭṭhakathā states that some Buddhist schools such as Pubbaseliya and Sammitiya
105).23 The Pāli commentators have argued that the Pāli Nikāyas mention only three
existence, it should be included within these three existences. They therefore raised
that question under which realms the intermediate existence is included. They asked if
was an intermediate existence, it should be between the boundaries of any of the two
beings were born in the intermediate existence, they should go through birth, decay
and death and following the death there is rebirth. Thus, there is a univocal protest
against the concept of intermediate existence in the Pāli commentaries as well as sub-
But those who held the theory of intermediate existence, held the view that there is
no particular karma to appear in the intermediate existence; they are born in the
schools that accepted intermediate existence, the Sarvāstivāda took the strongest
23
suttapadaṃ ayonigahetvā antarābhanāma atthi.
24
yadi te antarābhavo nāma koci bhavo atthi. imesaṃ bhavānaṃ antarā dvinnaṃ sīmānaṃ sīmantarikā
viya bhaveyyā it codetum āraddhaṃ.
151
insists that there is an intermediate existence between death and new birth. Beings do
not take a new birth as soon as they die. They spend a certain period of time in the
2. The reference to the term gandharva as one of the three conditions for
conceiving a child.26
between the three realms and the intermediate existence. For this argument they have
cited in the Nikāyas/Āgamas, very often the five existences (gati) are subsumed within
rebirth state, not a realm. It has further cited saptabhāvasūtra, which mentions seven
planes of existence. They are the five gatis plus the state of action (karmabhava) and
intermediate being (AKB II 946). As to the mode of births, intermediate beings are
differentiates between birth and arising. According to it, intermediate beings are not
25
This discourse is not found in the Pāli version of the Canon.
26
This concept is also found in the Āśvalāyanasūtra of the Madhyamāgama and in corresponding Pāli
version of the Āssalāyana sutta, MN II 157.
27
Five gatis—hell destiny, animal destiny, ghost (preta) destiny , human destiny, and destiny of gods.
156
gandhabba was not used, instead yaka-piṇḍa was used. Again Wijesekera in another
well-written research article on the Philosophical import of the Vedic Yakṣa and Pāli
Yakkha, has pointed out that the term yakṣa in Vedic literatures refers to a
macrocosmic soul (ātman) (Wijesekera 1994: 134). Perhaps for this reason, it was
rejected in Buddhist literature. Perhaps for the same purpose Pāli commentators have
shown reticent attitude towards the concept of gandhabba. This reticence is quite
Although the text deals with conception, life after death, it maintains a discreet silence
on the term gandhabba. Wijesekera has rightly observed that Buddhaghosa’s motive
for silence in this text is patent. It is because obviously that Buddhaghosa was of the
view that this term would imply a sense of soul in Brahmanism (Wijesekera 1994:
192). The Milindapañha discusses the concept of gandhabba, but provides no new
information about the concept except reinstating the Nikāya position that some divine
Then this begs the question of how the Pāli Nikāyas and the Pāli commentaries
interpret conception and life process without gandhabba? In some discourses, the
stated that if consciousness does not enter into the mother’s womb or if having entered
and again leaves the mother’s womb, conception will not be successful (DN I 63).
Thus, despite the change of terms, there seems to be no substantial change in the
saṃvattanikavaññāṇa consciousness that evolves in next (into next life.) (MN II 262).
152
born, as they have not arrived at the destinations they are supposed to arrive. It is a
state between death and birth (AKB II 957). It disagrees with the interpretation of
28
antarāparinirvāyin as one who attains Nirvāṇa upon being born. The
intermediate existence, but are caused by arising (upapadyamāna) (AKB II 964). The
upon being born, then what is the difference between the first and second categories of
intermediate existence, it says that they get forms in accordance with the destinies of
existence they are supposed to be born in the future (pūrvakālabhava). In other words
they possess the form of future existence. They possess complete sense faculties. They
also possess certain psychic powers such as divine eyes, by which they are capable of
seeing their own class of beings, they can move in the space freely. Nothing obstructs
there are fixed rules; they can stay as long as they cannot find necessary conditions to
be reborn. According to Venerable Vasumitra, they can exist only for seven days. If
they are unable to find necessary conditions for rebirth after seven days, they have to
die and re-arise there again (AKB II 969). Some other masters say they can live there
for seven weeks. The Vaibhāṣikas state that intermediate beings are beings looking for
birth (saṃbhava), which last for a short period of time. If they do not find necessary
153
Buddhist schools. The proponents of the concept of intermediate being think that
be explained satisfactorily and furthermore, there are discourses that mention of beings
looking for birth (sambhavesi) and the concept of gandhabba, these concepts cannot
be explained without the concept of intermediate being. On the other hand, those
who repudiate the concept might have thought that the concept of intermediate being
would produce some form of soul theory. This is equally dangerous for Buddhist
concept of gandharva or gandhabba in Pāli. The term is popular in the Nikāyas but it
interplays with several ideas. Popularly the term referred to a class of celestial beings.
In the Mahānidāna sutta of the Dīghanikāya, gandhabba appears in the list of beings
The discourse assures that those who go for refuge in the Buddha, the Dhamma and
the Saṅgha, after death they will appear either among the company of gods of
yāma, if not at least among the gandhabbas (DN II 212). In the Saṃyuttanikāya, a
class of gods is named gandhabbakāyikā, who sustain on the fragrance of roots, sap
and flowers (SN III 250). In the Pañcasika sutta, gandhabbas are defined as celestial
29
The list includes deva, yakkha, bhūta, manussa and gandhabba.
154
musicians (DN II 264). In the Aṅguttaranikāya, they are a type of gods that can travel
The second usage of gandhabba is one of the three necessary conditions for
conceiving a child. This occurs only twice in the Nikāyas, but it is interesting for our
The discourse asserts that three conditions are necessary for successful conception.
They are; union of parents, the mother should be in the right period, and presence of
gandhabba. If any of the three conditions is not met, then conceiving will be
unsuccessful (MN I 265). The second occurrence is in the Āssalāyana sutta of the
same Nikāya. Here, in order to refute the validity of the caste system, the Buddha
argued that it is impossible to determine the caste of gandhabba (MN II 157). These
two occurrences are sufficiently explicit that gandhabba is a necessary condition for a
woman to conceive. However, the Nikāyas do not give any further details about this
concept. Quite unexpectedly, the Pāli Abhidhamma while repudiating the concept of
intermediate existence has not made any comment on the concept of gandhabba.
Instead of responding to the points raised by the proponents of the concept, the Pāli
about to enter into a womb (paccuppatthito hoti) driven by kamma. He does not keep
standing by to observe the union of parents. It moves through space in that time (MN-
155
A III 310).30 With regard to the second occurrence, the commentary kept silent (MN-
A III 412).31 The conscious silence postulates that it has not repeated the concept as it
has been done above with regard to the Taṇhāsaṅkhaya sutta. The concept of
gandhabba remained convoluted in both the Pāli Abhidhamma and the Pāli
of the concept between how it was used in Vedic texts and early Buddhist texts
(Wijesekera 1994: 175-212). Bryan Jare Cuevas cites evidence to show that the
Buddhists borrowed the concept from them (Cuevas 1996: 263-302). However, it
seems that the concept is normative since the early period of Buddhism. This trend is
observable in the Nikāyas. In the Pāli Nikāyas, the concept only has a marginal value.
It has been mentioned only twice, and without any detailed explanation. And the
concept is superseded by other concepts, which I will discuss below. Later Buddhist
The Abhidhamma or its commentaries have not clarified the concept eloquently.
The concept is also imprecise in the Pāli commentaries. There is a passage in the
Sāratthapakāsinī that shows that the concept was not accepted by Pāli redactors. The
Puggalavādins proposed such theory. It argues that if such a being enters into the
womb of a mother, it would eat and drink and expand in one night, but discourses
teaches the gradual growth of fetus (kalala) (SN-A I 300). However, here the term
30
gandhabbo ti tatrūpakasatto paccupaṭṭhito hoti na mātāpitunnaṃ sannipātaṃ olokayamāno samīpe
ṭhito nāma hoti, kammayantayantito pana eko satto tasmiṃ okāse nibbattanako hoti ti ayaṃ ettha
adhippāyo.
31
imaṃ gandhabbapañhaṃ puṭṭhā na sampāyissanti.
156
gandhabba was not used, instead yaka-piṇḍa was used. Again Wijesekera in another
well-written research article on the Philosophical import of the Vedic Yakṣa and Pāli
Yakkha, has pointed out that the term yakṣa in Vedic literatures refers to a
macrocosmic soul (ātman) (Wijesekera 1994: 134). Perhaps for this reason, it was
rejected in Buddhist literature. Perhaps for the same purpose Pāli commentators have
shown reticent attitude towards the concept of gandhabba. This reticence is quite
Although the text deals with conception, life after death, it maintains a discreet silence
on the term gandhabba. Wijesekera has rightly observed that Buddhaghosa’s motive
for silence in this text is patent. It is because obviously that Buddhaghosa was of the
view that this term would imply a sense of soul in Brahmanism (Wijesekera 1994:
192). The Milindapañha discusses the concept of gandhabba, but provides no new
information about the concept except reinstating the Nikāya position that some divine
Then this begs the question of how the Pāli Nikāyas and the Pāli commentaries
interpret conception and life process without gandhabba? In some discourses, the
stated that if consciousness does not enter into the mother’s womb or if having entered
and again leaves the mother’s womb, conception will not be successful (DN I 63).
Thus, despite the change of terms, there seems to be no substantial change in the
saṃvattanikavaññāṇa consciousness that evolves in next (into next life.) (MN II 262).
157
another discourse in SN, it is defined as seed (bīja) of birth (SN III 54). Wijesekera
has cogently stated that this consciousness was regarded as the surviving factors of
death, which enters into womb after womb (Wijesekera 1994: 193).
Visuddhimagga has given a fairly detailed account. Thus, though the term gandhabba
consciousness in the Abhidhamma and the Pāli commentaries, they postulate a similar
idea that there is some form of postmortem being that travels from one life to another
life. This does not equate the concept of soul (ātma) in Vedic philosophy. The Vedic
eternal and unchanging substances. Many modern scholars have pointed out this
distinction. The question is whether the new arising is the same as new birth or is it an
for they have not yet arrived at the destination they are bound to arrive (AKB II
intermediate existence on the first two types of non-returner. It asserts that the first
(antarāparinivāyin), the second type is defined as ‘one attains Nirvāṇa after being
32
mṛtyūpapattibhavayor antarābhava iha yaḥ/ gaṃyadeśanūpetatvān na opanno’ntarābhāva.
158
born’ (upapadyaparinirvāyin). The Pāli tradition defines the two types of non-
returners as those who attain Nibbāna either simultaneously with birth, or before
reaching the middle of the life span (Pug-A 198).33 And the second category is, those
who having passed the middle of life span and attain Nibbāna before death (Pug-A
understands the first category, as mere arising in the intermediate existence, and the
born and arising, but the Pāli tradition does not maintain such a distinction. However,
a careful reading of Pāli literature would postulate that the Pāli Nikāyas also concedes
passage in AN. This passage classifies fetters into three categories—the lower fetters,
the fetters for rebirth and the fetters for existence (orambhāgiya saṃyojana,
AN II 133-34), instead of two stereotypical classifications into the lower and higher.
This is a most instructive passage in the Nikāyas. According to this passage, the
antarāparinibbāyī has abandoned the lower fetters, which are fetters of obtaining
rebirth, but not the fetters of obtaining existence. The fifth group of non-returners has
abandoned the lower fetters, but not the fetters of rebirth and existence. The arahats
are free from all the three categories of fetters. The passage explicitly postulates that
antarāparinibbāyī has no rebirth but an existence. Hence, it agrees with the AKB
argument that intermediate existence is just existence, not a rebirth. This is supported
33
antarāparinibbāyiniddese upapannaṃ vā samanatarā ti upapanasamantarā vā hutvā appattaṃ vā
vemajjhaṃ āyuppamānaṃ ti āyuppamāṇavemajjhaṃ appattaṃ vā hutvā ariyamaggaṃ sañjanetīti pi
atho veditabbo.
34
upahacca-parinibbāyiniddese atikkamitvā vemajjhaṃ āyuppamāna vemajjhaṃ atikkamitvā upahacca
vā kālakiriyan ti upagantvā kālakiriyaṃ āyukkha āsanne ṭhatvā ti attho.
159
by the simile of “chip of hot iron” in the Aṅguttaranikāya. The simile is that the iron
chip that may fly off and extinguish, or the iron chip may fly off, rise up and
extinguish, or fly off, rise up and extinguish before falling on the ground. When this
simile is understood in the context of five kinds of non-returners, it is more likely that
is explained as the iron chip flies off, rises up, falls on the ground and extinguishes.
This seems to imply that he attains liberation just after rebirth. (AN IV 70). Peter
Five types of non-returners in order of listing them after one has become arahant
at the time of dying, clearly this implies that the order represents a decreasing
speed of the spiritual attainment. This certainly makes it likely that the first of
the five types of non-returners attains nibbāna in between death and rebirth.
(Harvey 1995:100).
Venerable Bhikkhu Bodhi comments on the discourse:
There seems no legitimate reason, based on a sutta, to deny the possibility that
certain non-returners, following their death in human form, enter an intermediate
state and attain final nibbāna in that state itself, thereby circumventing the need
to take another rebirth. (The Numerical Discourses of the Buddha: 1701 note
829).
Kalupahana and Koyu Tamura interpret gandhabba as death consciousness (cuti-citta)
of the dying person. And they further state that gandhabba serves as object of rebirth
Malalasekera I 731). However, they fail to substantiate their interpretation with any
evidence from early Buddhist discourses. Ānalayo argues that early Buddhist
discourses do not uphold the concept of gandhabba as necessary factors for birth. He
says the Buddha used this concept in the Āssalayāna sutta to refer to the concept in the
160
arguments is not very convincing because firstly, he bypassed the same concept, which
appears in the Mahātaṇhāsankhaya sutta. There, the Buddha was not discussing with
Brahmins, rather it was a dialogue between the Buddha and monks. In this passage, the
Oh! Monks, when three factors come together, the conception of embryo takes
place. Here, there is union of the mother and father, the mother is in season and
there is present of gandhabba. Through the coming together of these three
factors, the conception of embryo takes places. (MN I 266).
Ānalayo has also kept silent on the term sambhavesī, a being seeking for rebirth that
occurs in the Karaṇīyamatta sutta of Khuddakanikāya and few more passages in the
Nikāyas, a kind of being seeking for rebirth. In the Sammādiṭṭhi sutta, there are four
types of foods for beings that are born (bhūta) and beings seeking for rebirths
(sambhavesī) (MN I 48). It is repeated in several discourses in the Nikāya. The Pāli
commentarial literature interprets the difference as follows:
Seeking for rebirths means those who seek for, look for the birth to born. And
among four types of beings, the beings born through eggs, as long as they are
inside the egg shells, shells are not broken, so long they are known as looking for
rebirth. When they come out having broken the eggshells, they are called born
being (bhūta). With regards to moisture born beings and spontaneous born
beings, in the thought moment, they are called seeking for rebirths, starting from
second thought moments; they are known as born beings. Those who are born
through deportment (womb born beings), those who have yet not received
another womb, so long they are beings seeking for rebirths, and thereafter known
as born beings (SN-A II 23). 35
The commentarial interpretation of sambhavesi as first thought moment for the
spontaneous being is strange. It is difficult to accept that the Nikāyas passage was
concerned about foods for one thought moment beings. This strange and awkward
35
ye sambhavaṃ jātim nibbattiṃ esanti gavesanti. tattha catūsu yonīsu aṇḍajalābīja satta yāva
aṇḍakosaṃ vatthikosañca na bhindanti, tāva saṃbhavesino nāma aṇḍakosam vatthikosañca
bhinditvā bahi nikkatā bhūtā nāma. saṃsedajā opapātikā ca paṭhamacittakkhaṇe saṃbhavesino
nāma, dutiyacittakkhaṇato pabhuti bhūtā nāma. yena vā iriyāpathena jāyanti, yāva tato aññaṃ na
pāpuṇanti, tāva sambhavesino, tato paraṃ bhūtā nāma.
161
strong support for the existence of intermediate being. The passage states:
Vaccha, when this body is laid down, and yet the being has not been reborn in
another body. I call it is fuelled by craving. Because at that time, craving is its
fuel. (SN IV 400).36
This passage itself refers to a person who has died but not yet reborn into another new
form. This is one of direct support for the acceptance of intermediate being. Thus,
beings, the Pāli Nikāyas, as Peter Harvey and Bhikkhu Bodhi argue, infer intermediate
existence.
Abhidhamma 29). And the Theravāda Abhidhamma further asserts that each of these
six types of consciousness has physical bases (vatthu ) as object. The physical bases
for the first five types of consciousness is obvious, but the question remains what is
proposed that mano-viññāṇa also has physical base as object, i.e. heart base (hadaya-
36
yasmiṃ kho vaccha samaye imañca kāyaṃ nikkhipati satto ca aññataraṃ kāyaṃ anuppanno hoti.
taṃ ahaṃ taṇhupādānaṃ vadāmi. taṇhā hissa vaccha tasmiṃ samaye upādānaṃ hoti tī
162
vatthu) (Karunadasa 2010: 79). But the problem is at the moment of death; all the
physical bases cease to exist. If Buddhist tradition maintains that there is a gap
between death and new life, one needs to explain how the consciousness exists in that
period without physical bases, and what is the nature of that consciousness, as it
cannot be classified under the six types of consciousness. And if the tradition fails to
maintain that consciousness exists in that interval period, then the continuity of the
samasaric process cannot be established, then one cannot maintain the doctrine of
concerned with the doctrine of non-soul. They seem to have a fear that the acceptance
of the intermediate existence would concede to the existence of soul. In later Buddhist
history, the soul and non-soul doctrines became hotly debated doctrines even within
Buddhist schools. The Pāli Nikāyas repudiated the metaphysical absolute unchanging
soul theory of Vedic religious philosophy, but later Buddhist redactors over
emphasized the concepts of soul and non-soul. So it is more likely in order to avoid
this problem, Theravāda commentators denied an existence between death and birth
find a solution to this dilemma. For instance, the Pudgalavādins introduced the concept
saṃsāric fare (Kv VIII). Most of other Buddhist schools repudiate this concept as in
their view it would imply some form of soul theory. Some Buddhist schools are very
rigorous in repudiating this theory. The Yogācāra School has developed the concept of
163
Trimśikāvijñptibhāṣyaṃ, 112-20 ).
The Theravāda doctrinal standard point is that there is no gap between death and
new birth (Vism 604).37 According to the Theravāda tradition, the last moment of the
consciousness of a dying person is known as ‘cuti’ falling (cavana), the next moment
of the consciousness is known as rebirth linking (paṭisandhi), and it links with the new
bases does not arise. In some discourses in the Nikāyas, the nature of this
explained that this consciousness consists of six elements, and during its entrance to
the mother’s womb, there is nāma-rūpa (AN I 196; SN II 298; III 231; DN III
247). 38 All these six elements are marked by three hallmarks of impermanence,
unchanging soul of the Upaniṣad (The Bṛhadayak Upaniṣad 3.5.1, 9.26, The
Chāndayoga Upaniṣad. 8.1.5. 1-3; cited by Wijesekara 1994: 200). Thomas says the
104). The consciousness is one of the five aggregates marked by three hallmarks.
37
tesaṃ antarikā natthi.
38
channaṃ bhikkhave dhātūnaṃ upādāya gabbhassāvakkhanti hoti, okkantiyā sati nāma rūpa
164
Despite rejection of the the intermediate existence by the Pāli Ābhidhammikas and the
Pāli commentators, the Pāli Nikāyas lend strong support to the intermediate being.
And in repudiating the concept of intermediate being, the Pāli Ābhidhammikas and the
Pāli commentators are not coherent in their arguments. There is therefore discrepancy
Theravāda Buddhists. Rita Langer has observed that there is apparent discrepancy
between Theravāda doctrines of instant rebirth, and popular practices and belief that
there is a liminal period of seven days after death (Langer 2007: 82). She says her
interviews with people in Sri Lanka, who include Buddhist monks; many of them
believe the consciousness of the departed ones wander in the space for a period of
antarābhava, yet some define it as bhūta or preta (Langer 2007: 83). Based on this
belief there is religious practice of offering alms and other requirements to members of
Buddhist monastic orders on the seventh day after the death of a person. This is widely
3.5 Conclusion
My discussion leads to the conclusion that the stage of non-return was very close to
the stage of arahatta. The yardstick to distinguish the two stages was based on the
exhaustion and remaining of upādi. When one observes these two stages through the
Pāli commentarial interpretation of term upādi and two stages of Nibbāna, logically it
the concept of upādi reveals that the commentarial interpretation of upādi as the five
165
aggregates is untenable so far as Pāli Nikāyas are concerned, rather Nikāya evidence
support that upādi is a very subtle form of attachment, and it does not affect the
attainment of liberation.
Gradually, concept of non-return is receded from its original position and formed
as a penultimate stage to liberation. Before the concept was standardized, the concept
of the five spiritual faculties, which suggest the list of five fetters pertaining to lower
sphere and stage of non-returner developed independent of each other. Later on they
the attainment of the stage of non-return. Therefore, this chapter shows there is some
discrepancy in Pāli commentaries regarding the concept of dry-vision arahat path and
convincing. Further I argue the term saṅkhāra in this context may refer to karmic
residuum. This discussion further reveals that although the concept of intermediate
careful observation of the Nikāyas suggests that some form of intermediate existence
is discernible.
166
Chapter 4:
The Origins of the Theory of Four Stages to Arahatta
Buddhism is a term to denote the vast array of social and cultural phenomena
that have clustered in the course of time around the teaching of a figure called
the Buddha.
(Dutt 1924:3).
The origins of the theory of four stages has to be understood in its proper historical
context. The Buddhist thoughts and spiritual values, like all other religious values,
were developed in response to social and cultural demands in the locations Buddhism
grew and expanded. Lamotte recognized this when he said that ‘transformation
occurred in the Buddha’s teaching, largely as the result of lay pressure’ (Lamotte
This chapter aims to examine the development of the origins of the theory of four
stages to arahatta in specific social and religious contexts. This chapter investigates
and the chapter argues that the theory of four stages was developed in response to
different social and religious demands that arose in the process of this transformation.
Masefield hypothesizes that the four āśrama dharmas of Brahmanism might have
is difficult to make such assertive claim in the absence of any substantial textual
167
evidence, one cannot overlook the similarity between the four āśrama-dharmas of
Brahmanism and the four stages to arahatta in Buddhism. The four āśrama-dharmas
and renunciation (sannasi) (Sharma 1997:28).1 Some texts mention only three stages,
for instance, in the Baudhāyana, an Upaniṣadic text, the third stage is omitted (The
Baudhāyana II 6 28). In a similar manner, the Manusmṛti, another Vedic text, also
mentions only three stages (The Manusmṛti II 230). Benimadhab Barua opines that
originally, there were only the three stages, not four. He further argues that the three
stages were not developed either in the Baudhāyana nor the Manusmṛti, but they
were borrowed from some ancient sources (Barua 1998: 241). It is to be noted that
originally at least some Buddhists also held the view of the three stages, once-
recognized as a separate stage (see more in §2.6). In Brahmanism, the four āśrama
dharmas are structured in an ascending order, one starts with learning, then proceeds
Mathematician who told the Buddha that four āśrama dharmas were gradual training
1
There are differences in naming these stages, for instance, in the Vasiṣṭha, (VII, P. 2) they are named
as the celibacy (brahmacārī), the household life (gṛistha), entering into the forest (vānaprastha) and
the life of wandering (parivrājaka). The Yājñavalkya (The Bṛhadāraṇyaka Upaniṣad, II, 5.1)
names as the learning (pāṇḍitya), the younghood (bālya), the stage of sage (muni) and the stage of
Brahmin (brāhmaṇa). The Āpastamba (The Āpasthama, II, 9.21.1) names as the household life
(gārhasthyam), teacher of a family (ācārya-kulaṃ), one who observes silence (maunaṃ) and
entering into the forest (vānaprasthyaṃ). The Goautama (Baudhāyana, II, 6. II, p.12) names as the
celibacy (brahmanacārī), the household life (gṛihastha), the monk life (bhikṣu) and hermit
(vaikhāna)The Manu (The Manu. V.137) names as the celibacy (brahmanacārī), the household life
(gṛihastha) entering into forest (vānaprastha and ascetic (yati). Cited in B.M Barua (1921/1998),
p. 240 footnote.
168
Yājñavalkya, another Brahmin, explains that in the early stage of life, one engages
with Vedic scholarship, after accomplishing one starts family life and begets children
to serve family lineage and human race. Then at the third stage, one abandons
sensual desires, and starts to contemplate on the reality of phenomena, at the fourth
stage; one’s mind attaches to nothing, but itself, the inner realization, i.e. the soul.
Benimadhab Barua remarks that by this, it is possible for a man to enjoy all sensual
pleasures and perform all functions and duties in life (Barua 1921 reprinted 1998:
252). This was the set of ideal for the first three higher classes of Indian hierarchical
society. They are known as noble (ārya). They were not meant for the last class, i.e.
sudra, who were considered as outcastes (anārya). They were never in the history of
to mention Buddhism defines one who is at least on the path to first stage as noble
(āriya), and those who are outside the community of these four stages are known as
provides spiritual values to these terms and did not accept these terms according to a
Another religion that Buddhism has great similarity with was Jainism. These two
religions; Buddhism and Jainism were closely related and they borrowed from each
Two sects which have so much in common could not, it was thought, have been
independent from each other, but one sect must needs have grown out of, or
branched off from the other. (Jacobi 1884: X)
169
Many may not agree with his remark, but without doubt all would agree that the
two individual traditions share many things in common. In this paper, I have no
scope to trace their histories. What I want to highlight is that in the Kalpa sūtra of
content and even in wording. It is stated only when one reaches the stage of right
view, one can truly be called a Jaina. It is defined as only second to the Jaina concept
of perfection (jinatvā, or kevalañāṇa). Upon the attainment of the stage of right view,
karmas are very much limited in both quantity and intensity. Hence, with this
attainment one is free from births in lower realms and animal realms. Furthermore, it
is assured that one who attains right view would realize perfection (jinahood) either
in this life, or within a maximum of four lives (Jaini 2001:141-56). This implies that
some kind of borrowing might have taken place between Jainism and Buddhism, but
the question is who borrowed from whom. The precise answer to the question is
difficult for a number of reasons; first, the texts of Jainism were written down in the
5th century A.D.,2 long after the Buddhist texts were written down. In the long oral
tradition much later development might have been be added into the texts. Barth has
2
Scholars generally agree that the Jaina texts were written down either in 454 or in 467 A.D. during
the council of Valabhi See more Hermann Jacobi’s (1879) “Introduction”; and (1884) introduction
170
stated that Jaina tradition is formed of vague recollection in imitation of the Buddhist
tradition (Barth 1880: 90, cited and translated into English in Jacobi 1879: xxvi).
But Hermann Jacobi has argued that the Jainese texts were composed either towards
the 3rd century B.C. or beginning of the 4th century B.C., and they preserved texts
orally (Jacobi 1884:xliii). There are no reasons to believe that much later material
crept into their texts. Prediction that some attained perfection in this life, and others
years after the Jina Mahāvira’s death, by this time Buddhists might have already
developed this doctrine. Rupert Gethin has pointed out that the details of the stage of
right view are found only in Jaina exegetical literature. The significance is given to
the four stages in canonical texts of these two religions, it seems possible that Jaina
borrowed the concept from Buddhists. However, in the absence of solid evidence, it
The four stages are frequently presented in the Nikāyas in terms of development of
spiritual path is seen in the Patañjali sūtra of the Yoga tradition of India. Spiritual
practice in this sūtra consists of cultivation of five (spiritual) faculties, which are the
same in Buddhist texts.3 And practitioners are classified into three categories based
excessive (adhimātra.) 4 The sūtra further mentions that the five faculties are
question is who borrowed from whom. Several scholars believe that the Yoga-
tradition predates Buddhism. They assume that Yoga developed in around sixth
century to fifth century B.C, from śramaṇa movement (Ninian 1964: 27-32, 75;
Belvarkar & Sampradaya 927, Reprinted 1974: 81, 303-409). When it comes to
and Moore have hypothesized that it was composed in the 2nd century B.C.
(Dasgupta, 1924: 453) Philip A. Maas (Philip 2010:157-172) dates it 400 C.E.
(Philip 2010:157-172). Edwin Bryant observes the text cannot be placed before the
1st or the 2nd century A.D, neither can it be placed as late as the 4th century A.D.
(Bryant 2009: XXXIV). Michele Desmarais has examined all hypotheses on the
dating of the texts, and concluded that there is paucity of textual evidences, but later
datings are more acceptable to many scholars (Michele 2008: 16-17). I cannot
entertain discussions on the dating of Yoga sūtra further, considering the scope of my
study. Because of the paucity of the evidences, it is difficult to arrive at a precise date
of the texts, though it seems the text belongs to post Nikāyas. Several scholars have
pointed out that Buddhism and Jainism influenced Patañjali; Robert Thurman thinks
(Robert 1984: 34). His view is supported by Karel Werner who further states:
4
mṛdumadhyādhimātratvāttato’ pi viśeṣah/
172
Gordon White is also in agreement with the view above and states that the language
of the Yoga sūtra is closer to Buddhist Hybrid Sanskrit than classical Sanskrit of
other Hindu texts (White 2014: 10). He concludes that all historical evidence implies
that Yoga philosophy was influenced by early Buddhism and Jainism (White 2014:
19). But there are also scholars who are not in agreement with this view; they
highlighted some difference between Buddhism and the Yoga sūtra of Patañjali.
However, certain difference between the two systems does not disprove that one
influenced the other. There are no sufficient evidence to prove Buddhism was
influenced by the Yoga sūtra of Patañjali, but most scholars’ finding seems to
indicate the other way round. It is fair to say that, given the two systems, Yoga and
Buddhism grew in the same milieu and at the same time that they influence each
Another religion that existed side by side with Buddhism was Materialism or
Naturalism. It was one of the influential religious thoughts in the Pre-Buddhist and
recognized as one of those teachers who held such doctrine known as pariṇāmavāda.
liberated one day after completion of their given numbers of birth in saṃsāra. He
173
taught the eight stages that a person goes through before liberation. They are: tender
(paṇṇaka-bhūmi), (Dialogue of the Buddha II 72; Barua 1998: 314) . These eight
saṃsāra (samsāra-suddhi). And Barua believes that by passing through these stages
The view of Barua is not very convincing, for eight stages in Makkhali Ghosala’s
teaching and the four paths and the four stages in Buddhism seem to refer to different
concepts. While the former represents both biological and spiritual stages of an
individual, and together, they do not cover anything more than one lifetime, Buddhist
stages are purely spiritual transformation of an individual and it covers wider space
and time. Some similarity can however be observed, particularly, when one looks at
the statement like ‘not subject to fall retrogression to lower existence, destined to full
the term niyati, or prakrit form niyai (Sūyagaḍaṅga I.I.2.3, cited in Barua 1998: 316
fn) which indicates sense of destiny or fate, is quite peculiar, the term is employed by
174
(Barua 1998:317). He explains every being from the tiniest to the largest in size
would have gone through the eight stages in the course of samsāra a maximum of
enterer has never been satisfactorily explained in the Pāli Nikāyas. While on the one
hand, Buddhists were critical about the term in other religious thoughts; on the other
hand, they employ the same term with similar implications. This apparent
contradiction seems to have escaped even the eyes of Pāli Ābhidhammikas and Pāli
commentators. In the sub-commentary to SN, the question is raised, if one was pre-
make efforts for the three higher paths. He would attain them without effort and
assertion. If one were pre-destined due to past cause at the stage of stream-entry, he
would attain liberation without doing anything, just passing through seven births,
which would indicate that the fundamental defilements (mūlabhūta kilesā) are
already abandoned at the stage of stream-entry (SN-ṭika CSCD 4). 5 The sub-
5
yadi pubbahetuniyamato sotāpanno ca niyatoti sotāpattimaggato uddhaṃ tiṇṇaṃ maggānaṃ
upanissayabhāvato pubbahetukiccaṃ natthīti sotāpattimaggassa upanissayabhāvo āpajjati. Yadi
tassapi pubbahetu upanissaya siyā, tāva niyamato sotāpattimagguppattito pubbe eva niyamito,
yāvañca akaniṭṭham tassa pubbahetu nāma, ahetukatā āpanna, iccassa ahetu appaccayā nipphatti
pāpuṇāti. kiñca hetu ce? niyamato sotāpanna ca niyatoti paṭhamamaggādhigameneva anukkamena
upari tiṇṇaṃ maggānaṃ kiccāni nipphajjanti, evaṃ sattakkhattuparamatādi niyame sati
sattamabhavādito uddhaṃ pavattatāya dukkhassa mūlabhūtā kilesā paṭhamamagganeva khīṇāti
upari tayo maggā akicca siyuṃ. …
180
renunciant life in order to gain the spiritual ideal.8 The Buddha changed his mode of
instructions according to the receptivity of his audience. Since the earliest disciples
were already exposed to an ascetic way of life, he did not have to guide them
gradually, training them in the ascetic way of life. He had to only tune their
cognitive process in the right way. Hence, listening to a discourse was sufficient for
With people who had no prior training, but were only inspired to leave home and
join the order, the Buddhist community had to formulate a systematic path to
liberation known as the gradual path for them to follow. The path is well described in
the Sāmaññaphala sutta of DN. The Sāmaññaphala sutta is one of the early
discourses, which teaches the gradual path. This discourse is the most popular
discourse within the Nikāyas. It has been repeated with slight variation and
section of DN, almost every discourse contains this discourse except one. Bhikkhu
Bodhi observes that the gradual path first appears in the Sāmaññaphala sutta and the
same gradual path is reiterated again and again throughout the Nikāya with minor
Graeme Macqueen (1988) has done a very thorough study on the discourse in his
background settings of seven versions of the Sāmaññaphala sutta, and has shown
that the contents and background settings of all seven versions are quite similar,
8
Max Weber (1968: 58) has asserted that the charismatic personality of the saints was central to the
earliest Buddhist tradition.
181
Frauwallner asserts that the path scheme in the Sāmaññaphala sutta is the oldest and
Frauwallner and states: “the Sāmaññaphala sutta must have been spoken by the
Buddha during the very last years of his life.” (Bodhi 1998:5). However, it does not
imply that the discourse remained unchanged.10 An interesting point to note is that
despite editorial processes, the doctrine of the four stages is not mentioned in the
discourse. All the versions agree that it was delivered to Ajātasattu in response to his
question to reveal the fruit of ascetic life. Then the Buddha relates a number of
mundane fruits such as receiving respect and honour in society, culminating in the
agree that the path is listening to the dhamma, generating faith in the Buddha and the
dhamma, leaving household life, observing morality and restraint of the senses,
abandoning the five hindrances, attainment of the four jhānas, attainment of the six
higher knowledge, and finally realization of the Four Noble Truths and abandonment
of outflowing (Macqueen 1988: 169-82). In none of the seven extant versions there
is mention of attaining the four stages. One possible reason would be by the time this
9
All the seven versions of the discourse preserved one in Pāli, one in Sanskrit, four in Chinese
translation and one in Tibetan translation. Another one in the Gandhari version was discovered in
Afghanistan yet to be published, despite certain variation in content, are concordant that the
discourse was given to King Ajātasattu. See more (Macqeen, 1988: 12-19).
10
Pande (1995), Schmithausen (1981), Bronkhorst (1986), Macqueen (1988) have shown that the
discourse went through several editorial process.
182
discourse was compiled, the four stages had not yet come into existence. Govinda
Chandra Pande holds a similar this view. He asserts that the theory of four stages
may not belong to the earliest phase of Buddhism. He argues that if they were
doctrines of the earliest phase of Buddhism, there would have been some references
to them in the Sāmaññaphala sutta (Pande 1995: 539). His observation seems valid.
If the theory of four stages to the arahatta were developed by the time this discourse
was compiled, it would beg the question why the four stages were not included in
this discourse. The discourse further shows that until the compilation of the
Sāmaññaphala sutta, liberation was to be gained within one lifetime. There was no
subsequent lives. In this discourse, there is no trace of the list of ten fetters, which
became closely clustered, with the theory of four stages in subsequent time.
Liberation is solely concerned with freeing the mind from outflowing of sensuality
is possible to argue that these two are subsumed under bhavāsava. This gradual path
requires total cut off from social affairs and requires renunciation of family life. And
the gradual path is not extended beyond this life, but complete liberation is to be
attained within this life. Bhikkhu Bodhi has described the situation:
The Buddha insisted that ultimate goal of his teaching was the extinction of
suffering in this very life, and for this reason, he constantly urged the bhikkhus
not to remain satisfied with any partial achievement, but to pass on towards the
final goal. (The Numerical Discourses of the Buddha 52).
183
The earliest Buddhists looked upon family and social ties as bondage to spiritual path.
The household life and all social ties were incompatible with spiritual goals. The
Buddhist path for liberation is result-oriented, and requires full-time dedication to the
practices. Steven Collins has pointed out the earliest Buddhist attitude towards
social ties; “Life in house is treated as symbol for indulgence in the sensual pleasure,
are numerous occasions in the Pāli Canon that elucidate that sensual desire
Buddhist spiritual path was open to anyone who chose to meet the requirement,
leave mundane affairs, because what is central to the soteriological path was
meditation, which requires both psychological and physical separation from all
mundane affairs (Gombrich 2006: 75). This also requires a complete cut-off of
family and social ties both physically and psychologically. Thus, the earliest phase of
Buddhism was a religion for people who renounced social ties and mundane affairs.
Their mode of livelihood was basically wandering and survival through acceptance
of alms. There was no permanent residence for them. Their immediate goal was
liberation from saṃsāra, hence, they were not concerned about social and family
affairs. They relied on society only for their minimum needs, such as food and robes.
184
The earliest form of Buddhism was attractive to only a small section of people in
the society. It was not a religion for the general masses because few could meet the
requirements to follow the Buddhist path. Although the Buddhist path was open to
anyone, it is mainly for those who earnestly sought liberation and were able to meet
the requirements—to renounce family, wives, children, wealth and social interactions
and all mundane affairs. In other words, the earliest doctrine and practice were not
meant for everyone, it was not a religion of the common masses, but a religion for a
small group of people, mainly from elite class of the society who were born into
wealth and were educated, who were aware of the pitfalls of material comforts and
his book Nirvāṇa and other Buddhist Felicities, has made an excellent study of how
conflict between the ascetic quest and ongoing demands of ordinary people in society.
He contends:
Ascetic quest for Nirvaṇa could only ever be a matter of immediate concern for
a minority, it was quantitatively marginal, in the gamut of imagined felicities as
actual practice, but it was qualitatively central. (Collins 1998: 93).
Renunciation as principle was incompatible with the psychological expectation of
great majority of the people. There was a wide gap between the requirement of the
earliest Buddhist movement and the general aspiration of people. In other words,
they were two complete opposite lines of expectation. Collins puts it in the following
words:
The most immediate and important goal of the majority of people might have been
mundane success in this life or future existence, either in the human realm or in the
realm of gods, there seem more lucrative than the possibility of complete liberation
ascetic movements in India apart from Buddhists, and withdrawal from social ties for
spiritual quest was a common practice in societies where Buddhism emerged. Indian
society has always been upholding the value of generosity towards religious
people. The common masses were ready to give to ascetics who withdrew from
society, irrespective of their ‘religious beliefs, because they believed they could get
merits through offerings. Earliest Buddhist ascetics had to engage with society as
they depended on society for their minimum material support. In return for their
material support, ascetics often delivered some short discourses regarding rewards of
wholeheartedly. But this acceptance of discourse did not to mean they were affiliated
and nuns cannot accomplish this task alone. Propagation and sustainability of a
186
religion requires financial support and sufficient human resources. It requires the
support and strong involvement of the lay community. It was not easy to accomplish
this. Buddhism just like other soteriological religions faced big challenges in
attracting lay people because of the schism between aims of soteriological religions
and expectation of general people in the society. While Buddhism required the
withdrawal from society and mundane affairs, lay community’s expectation was
texts, in the story of the Buddha’s reticent attitude to propagate his dhamma after his
enlightenment. The Buddha described his dhamma as against the general expectation
of the people (paṭisoto mama dhammo). And this dhamma is to be understood by few
their ambition was incompatible with the psychological expectation of the majority
social, economic and political life of the people. In the hierarchical social structure,
Some scholars assert that Brahmanism was not a strong religion in the geographical
area where Buddhism developed. But several encounters of Buddhists and Brahmins
recorded in the Nikāyas suggest that Brahmanism had strong influence in the
geographical area where Buddhism emerged. Gombrich asserts that many Buddhist
teachings in the Nikāyas are presented in the model of the Vedic literature
The earliest form of Buddhism was attractive to only a small section of people in
the society. It was not a religion for the general masses because few could meet the
requirements to follow the Buddhist path. Although the Buddhist path was open to
anyone, it is mainly for those who earnestly sought liberation and were able to meet
the requirements—to renounce family, wives, children, wealth and social interactions
and all mundane affairs. In other words, the earliest doctrine and practice were not
meant for everyone, it was not a religion of the common masses, but a religion for a
small group of people, mainly from elite class of the society who were born into
wealth and were educated, who were aware of the pitfalls of material comforts and
his book Nirvāṇa and other Buddhist Felicities, has made an excellent study of how
conflict between the ascetic quest and ongoing demands of ordinary people in society.
He contends:
Ascetic quest for Nirvaṇa could only ever be a matter of immediate concern for
a minority, it was quantitatively marginal, in the gamut of imagined felicities as
actual practice, but it was qualitatively central. (Collins 1998: 93).
Renunciation as principle was incompatible with the psychological expectation of
great majority of the people. There was a wide gap between the requirement of the
earliest Buddhist movement and the general aspiration of people. In other words,
they were two complete opposite lines of expectation. Collins puts it in the following
words:
but I cannot afford to delve into this question here. Among them, Jainism deserves
study because Jainism still remains as a living tradition and a they have a distinct
Jaina texts record teachings for lay followers known as ‘practices of disciples’
he was unable to renounce worldly affairs to follow the path of Jaina monks. Rather
he declared that he would accept the twelve vows of laypersons, and further declared
that he would not practice any other religions except Jainism (Norman 1991: 33).
This passage suggests that for Jaina there was already a set of practice for lay
followers and a concept of being affiliated to their religion. Whether this passage
the nature of Jain literature. Their canon was composed much latter than Buddhism.
The twelve stages are found in much later Jaina text.. Norman asserts that these were
later insertions. He further argues that there are no discourses in the Jaina Canon
regarding layman. He writes; ‘we might guess that at an earlier date the Jain rules
for layman were not so stereotyped. That was certainly the case for Buddhist layman’
(Norman 1991: 33). However, we can safely assume there was competition for
The Buddha and his early disciples enjoyed support from the lay community, but
that support and requisites provision did not mean that they were followers of
religion could not be sustainable in the hands of individual without an institution, and
so there was a need to create a community. A community of monks and nuns was
institutionalized religion, but without a lay community it was not possible to sustain
lay Buddhists (upāsaka-upāsika), who would not only provide requisites and food
for monks, but also pledge their affiliation to Buddhist religion and actively involve
in Buddhist activities. In order to meet this aim, Buddhists were compelled to make
about their soteriological possibilities. As Etienne Lamotte points out, ‘we would
search in vain for the transcendent quality which would attract crowds to the support
Bailey et. all 2003:14). Buddhists had to compromise with the expectations of the
it was not an easy task to build a community in India amidst several prevailing
religions. Michael Carrithers and Caroline Humphrey list the following five
appealing to common people, who did not want to renounce mundane affairs, so
185
The most immediate and important goal of the majority of people might have been
mundane success in this life or future existence, either in the human realm or in the
realm of gods, there seem more lucrative than the possibility of complete liberation
ascetic movements in India apart from Buddhists, and withdrawal from social ties for
spiritual quest was a common practice in societies where Buddhism emerged. Indian
society has always been upholding the value of generosity towards religious
people. The common masses were ready to give to ascetics who withdrew from
society, irrespective of their ‘religious beliefs, because they believed they could get
merits through offerings. Earliest Buddhist ascetics had to engage with society as
they depended on society for their minimum material support. In return for their
material support, ascetics often delivered some short discourses regarding rewards of
wholeheartedly. But this acceptance of discourse did not to mean they were affiliated
and nuns cannot accomplish this task alone. Propagation and sustainability of a
191
liquor, wine, and intoxicants, which are cause for heedlessness, in that way, a
lay follower is virtuous. (AN IV 220).12
When one looks at the section of the Sotāpatti-saṃyutta of SN, which I argue in
chapter two that the section contains the original prototype of stream-enterer, the
requirement mentioned for one to be a lay follower in above quoted is not different
from the requirement mentioned for one to be a stream-enterer. For instance, Sakyan
Mahānāma approached Venerable Godha and asked by how many factors, one
becomes a stream-enterer, the latter answered only the first three factors. It is said; at
this juncture Mahānāma was puzzled because previously, he had learnt the four
factors. So he approached the Buddha to clarify, the Buddha did not give any explicit
answer, rather he praised the faith of Mahānāma (AN IV 372). This is further
declared a stream-enterer after his death. This raised some criticism from different
quarters of society, for in their views, Sarakāṇi was weak in abiding in morality. This
was reported to the Buddha, the Buddha declared that whosoever goes for refuge in
the Buddha, the Dhamma and the Saṅgha for a long time is undoubtedly a stream-
enterer (AN IV 375). (See more §2.2 and §2.5). The Sotāpatti-saṃyutta of SN
not go to lower existence (apāya), would not face misfortune (vinipāta), and are
requirement for attainment of the stage of stream-entry, while the second aspect the
12
yato kho Mahānāma upāsako pānātipātā paṭivirato hoti, adinnādānā paṭivirato hoti kāmesu
micchācārā paṭivirato hoti musāvādā paṭivirato hoti surāmerayamajjapamādaṭṭhānā paṭivirato hoti,
ettāvatā kho mahānāma upāsako sīlavā hoti.
186
religion requires financial support and sufficient human resources. It requires the
support and strong involvement of the lay community. It was not easy to accomplish
this. Buddhism just like other soteriological religions faced big challenges in
attracting lay people because of the schism between aims of soteriological religions
and expectation of general people in the society. While Buddhism required the
withdrawal from society and mundane affairs, lay community’s expectation was
texts, in the story of the Buddha’s reticent attitude to propagate his dhamma after his
enlightenment. The Buddha described his dhamma as against the general expectation
of the people (paṭisoto mama dhammo). And this dhamma is to be understood by few
their ambition was incompatible with the psychological expectation of the majority
social, economic and political life of the people. In the hierarchical social structure,
Some scholars assert that Brahmanism was not a strong religion in the geographical
area where Buddhism developed. But several encounters of Buddhists and Brahmins
recorded in the Nikāyas suggest that Brahmanism had strong influence in the
geographical area where Buddhism emerged. Gombrich asserts that many Buddhist
teachings in the Nikāyas are presented in the model of the Vedic literature
the stage of stream-entry (DN-tīka CSCD version 4).14 The commentary to the
defilements, but he practices morality (Pm-A II 506).15 Yet another passage records
‘a lay devotee, who has arrived at certainty regarding the Blessed one is a stream-
enterer (DN-A III 941),16 and his faith in the Buddha is not shaken by words of
others (DN-A III 1025).17 Yet another passage quite explicitly mentions, a wise lay
devotee is known as stream-enterer (SN-A III 291).18 These cited passages imply that
originally, the stage of stream-entry was developed exclusively for laities. Laities,
who have gone for refuge in the Buddha, the Dhamma and the Saṅgha
wholeheartedly, and developed receptive attitude towards the teaching of the Buddha,
would have been defined as stream-enterers. This stage might have not been taught
renunciation of mundane affairs, the other model allows one to be happy and
successful in mundane affairs. Reginald Ray has defined them as a two-tiered model
of Buddhism, i.e. Buddhism of renounced monks and nuns, and Buddhism of lay
male and female followers. The monks and nuns upheld the upper tier, having
renounced all social ties and mundane affairs, and were fully committed to liberation
from saṃsāra as soon as possible, while lay male and female followers upheld the
14
tadetam sammattaniyāmokkamanavasena nippariyāyato apāyavinimuttake sandhāya vuttaṃ,
tadanupapattivasena pana pariyāyato apāyavinimuttakam kālyāṇaputhujjanampi yathānusiṭṭhaṃ
paṭipjjamāne ti padena dassetīti daṭṭhabbaṃ. Tathā hesa dakkhiṇavibhaṅgasuttādisu
sotāpattiphalasacchikiriyāya paṭipannabhāvena vuttoti.
15
tattha puthujjano ca so kilesānaṃ asamucchinnattā, kalyāṇo ca sīladipaṭipatti puthujjanakalyāṇo.
16
so bhagavati niṭṭhaṅgato upāsako sotāpanno.
17
sotāpanno hi catūhi vātehi indakhīlo viya parappavādehi akampiyo.
18
sappañño upāsakoti sotāpanno adhippeto.
194
lower tier, continue to live in society with all mundane affairs, they established faith
in the Buddha, the Dhamma and the Saṅgha, and support Buddhist activities. These
two distinct forms of Buddhism seem to be very ancient, believed to have started in
the early part of Buddhist history. Ray attributes it to date in the lifetime of the
Buddha himself:
Both of these lifestyles, we are told, were instigated by the Buddha himself and
have provided primarily elements of the Buddhist community throughout its
Indian history. (Reginal 1994:15)
Melford Spiro has defined two forms of Buddhism as Nibbānic Buddhism and
followers. Two complete distinct forms of teachings were given to the two groups of
disciples; to the monks and nuns, abandonment of all mundane affairs is often
caused defilements (Sn 273, 1003, 207). On the other hand, for lay followers,
Buddhism taught the way to earn wealth, to enjoy wealth in a righteous manner, to
be successful in mundane affairs, and to enjoy heavenly bliss after death. These are
two contrasting paths. Manne Joy thinks the four stages were formed to prove
Buddhist teachings work for everybody (Manne 1995a:102). The Buddhists might
195
have wanted to prove that everyone who took up Buddhist practices gained
something, and there was nothing to lose. By this Buddhists wanted to provide
passages in the Nikāyas. There are numerous discourses in the Nikāyas that report
destinies of large numbers of people after their death in terms of four stages. In the
Janavasabha sutta, the intention for such declaration is documented. It states that
such declaration caused many good people and politicians to develop faith in
Buddhist teachings. In the Naḷakapāna sutta of MN, it is stated such declaration was
not employed to defraud, nor for the purpose of cajoling people, nor for the purpose
of material gain, honor or frame, but for the purpose of causing people to develop
enthusiasm and inspiration in Buddhist teachings (MN I 465). This suggests the stage
discussed above, the Buddhist path to liberation was too demanding, a great majority
of people could not meet the demands. This fact is acknowledged in the Nikāyas, for
instance, once lay follower Dhammadinna went to meet the Buddha, the Buddha
taught him about emptiness, immediately he said he dwelt at home with children and
wife, enjoying all mundane pleasures, hence he could not reflect on such profound
doctrine. The Buddha then taught him four factors of stream-entry (SN V 408). This
was not just a view of one particular person; rather it portrays the views of the
stream-entry might only have been meant for lay followers. In the dialogue between
196
the Buddha and the king, there was no mention of any of the four stages. The Pāli
version mentions that when the king left, the Buddha addressed the monk and said
that if the king had not killed his father, he would have gain dhammacakkhu on the
very seat that he was seated (DN I 86).19 In chapter 2, I have shown that the arising
king had not killed his father, he would have been a stream-enterer and members of
the four pairs of Noble Persons (Macqueen 1988: 89). This version suggests that
compiler of this discourse already knew the four paths and the four stages. These
four pairs of Noble Persons are absent in all other extant versions of the discourse.
These versions all agree about the attainment of dhammacakkhuṃ, one version in
Chinese translation asserts that the king in fact had attained dhammacakkhuṃ and
would not retrogress from it (Macqueen 1988: 68). Another version in Chinese
translation states that if the king had not killed his father, he would have realized the
Four Noble Truths (Macqueen 1988: 89). Here though dhammacakkhuṃ is not
stages was already developed by the time of the Sāmaññaphala sutta was compiled,
then why would the Buddha not mention it when he was explaining the fruits of
ascetic life in the discourse. The Sāmaññaphala sutta explains spiritual path from an
ordinary worldling to attainment of arahatta without any mention of the first three
stages. The absence of the first three stages is significant because the title of the
19
sacāyaṃ bhikkhave rājā pitaraṃ dhammikaṃ dhammarājānaṃ jīvitā na voropessatha imasmiṃ
yeva āsane virajaṃ vītamalaṃ dhammacakkhuṃ uppajjissathāti.
197
discourse is the fruit of asceticism (sāmaññaphala). Among the eight extant versions
of the discourse, six versions are entitled as the “fruit of ascetic life” (sāmaññaphala)
(Macqueen 1988: 12-18). It is more likely that at least the stage of stream-entry was
already in existence. One may argue that this part was later inserted, then there raises
a question why it is not inserted in between the dialogue of the Buddha and the king,
where the Buddha expounded the fruits of mendicant life. It is more likely that the
stage of stream-entry was meant only for lay followers, not monastic members. The
king questioned about fruits of life of monks and nuns under the Buddha, hence, it
might be out of scope to mention the first stage in the discourse. The first stage is
mentioned at the end of the discourse, it is mentioned in relation to the king, not
monks and nuns. The discourse shows, until the compilation of this discourse, there
were two distinct spiritual paths, one for mendicant monks and nuns, and the other
for lay Buddhists. Monks and nuns strived for liberation in this very life, while lay
followers aimed at attaining any of the first three stages and hoped for liberation in
catered for people’s psychological fear. While people might have strong emotional
attachments to mundane affairs and the world, they held even stronger fear of rebirth
into lower realms. Indian people for a long time were familiar with the concepts of
karma and its retribution, birth after death and about existence of hells beings, spirits,
ghosts and hungry ghosts. The Indian mentality and thinking were greatly influenced
by these concepts; these are concepts that have been prevailing in Indian society
since a very long time with Brahmanism as well as other religions belonging to
198
Śramaṇa groups. Psychological fear of rebirth into lower realms was based on the
concept of karma. The doctrine of karma was common vocabulary in Indian society
before the emergence of Buddhism. According to this doctrine, human beings have
been evolving in the cycle of saṃsāra since innumerable periods, and have
was recognized to be the hidden cause for suffering. It was because of karma that
one travelled from one existence to another. Buddhism also teaches that human
beings are production of their own karma. Hence, to remove the psychological fear, it
was necessary to assure them that by attainment of this stage of stream-entry the
the formula of the attainment of the stream-entry. With the attainment of this stage
one was assured of not going to unfortunate existences as hell beings, hungry ghost
(preta), and animal realm. Not only that, the Buddhist texts further mention stream-
enterers are ensured of enjoying many pleasures in the heavens and coming to human
existences, and in human world one would enjoy beauty, happiness, long life, wealth
passage in SN, the six benefits of attainment of the stage of stream-entry were
mentioned. Among the six benefits, two are: i. guarantee of the generation of no
fresh karma and ii. nullifying large portions of already accumulated karma. In
another passage, it is explained that when one attains dhammacakkhuṃ, his greater
part of suffering is exhausted, what remained is an infinitely small portion (SN II 134;
gaining the stage of stream-entry. In one passage, it is related that in the moment one
gains the right vision (the path of stream-entry), greater parts of dukkha are
completely destroyed, remaining is infinitely small, does not amount to one hundred
compared to little dust on the tip of the Buddha’s fingernail, while what is destroyed
water from the confluence of the rivers of Gaṅga, Yamunā, Aciravati, Sarabhū and
Mahī, while what is destroyed is compared to water in those rivers. Thus through the
stage of stream-entry the early Buddhists ensured people of mundane success and a
arahatta in this very life and the stage of stream-entry developed as spiritual goals
for two types of followers— monastics and laities respectively. The monastics were
taught to attain arahatta in this very life, while lay followers were given moral
teachings, and guide to mundane successes and hope of attaining liberation in future
lives. Thus, two communities upheld two distinct dimensions of the Buddhist path.
In the Mahāparinibbāna sutta of DN, when Ānanda asked the Buddha about
handling the Buddha’s cremation, the Buddha said that it was the affair of lay
followers, and that monks and nuns should not be involved in it. This shows the
immediate goal of the lay community was not attainment of Nibbāna which was
only attainable to monastic who had forsaken household life, but accumulating
200
merits, which was defined as source of happiness and success in this life and life
adhere to the Pātimokkha and follow the highest ideal of Buddhist life, while lay
community should follow the lesser ideal, but still a worthy life; they should
venerate monks and stūpa. Through the merits, lay devotees could gain their wish
for happiness and success in the present life and life after (Milindapañha 162-64;
The Question of Milinda 94). Thus two stages represent two different spiritual
which are conducive to wealth, long life, happiness and good future rebirths,
the end of saṃsāra. This is not to say that Buddhism as spiritual religion easily
moved from its main goal. The attainment of Nibbāna is the fundamental premise
of all Buddhist practices. The Buddhist teachings are either ethically or socially
valid insofar as they are subservient to attainment of Nibbāna. Laities are not to be
excluded from this goal. It might have been a big challenge to compromise between
the highest ideal of early Buddhism and mundane aspiration of the general masses.
The solution they came out was shifting the immediate goal to a distance goal for
the common masses, allowing some time for them to attend to their family
responsibilities enjoy other mundane felicities before the final goal. Thus, early
Buddhists had the same spiritual ideal for both monastics and laity, the difference
was only the time and space it would take to achieve it. This is reported in MN that
‘just as water in the river Ganga slopes and proceeds towards the ocean, the
followers of Gotama, either the monastics or laity slopes, slant and proceeds
201
towards Nibbāna’ (MN I 493; SN V 134-244). With the development of the stage
In chapter 3, I have argued that originally the attainment of the stage of non-return
was similar to the attainment of the stage of arahatta. Gradually, the stage of non-
investigates what led to such a development. This sub-chapter argues that the stage
Within the laities, there might have emerged a spiritually committed group,
who could not become monastic members for one reason or another. However, they
is reported that Brahmin Pukkusati met the Buddha and had listened to the Buddha,
and sought for higher ordination, which was not given, as he did not have bowl and
robes. When he went out to search for the bowl and robes, he met an unfortunate
death due to the attack of a cow. When the monks inquired about his fate after
Oh! Monks, the Brahmin Pukkusāti was wise. He practiced in accordance with
the dhamma. He did not trouble me with the explanation of dhamma. Oh!
monks, having abandoned the five fetters pertaining to lower sphere, he became
spontaneously born being. And he will attain final Nibbāna there, without
returning from that world. (MN III 247).
202
Another similar statement was made after the death of Brahmin Brahmāyu. He was
savant in the Vedic philosophy and history. He came in contact with the Buddha. The
Buddha exhorted him into dhamma through gradual talk followed by the doctrine of
the Four Noble Truths. He took refuge in the Buddha. When he passed away, monks
inquired about his destiny, the Buddha made a similar statement (MN II 146).
These stories suggest that there were lay practitioners who were serious in
practice but could not become monks or nuns as they could not meet the
requirements for ordination. Sometimes the impediment was due to family and social
responsibilities. The Ghaṭikara sutta of MN records that the Potter Ghaṭika, despite
responsibilities towards his parents. There were other householders who were quite
proficient in the dhamma, some could even instruct monks and nuns, but decided to
live at home; the stories of householder Citta and Ugga. It is recorded that
householder Citta was foremost lay male disciple amongst the preachers of dhamma.
Many discourses of his to monks and nuns are recorded in the Citta-saṃyutta (SN
to visit monastics, if monks did not preach him dhamma, he would preach dhamma
to monastics (AN IV 212). There might have been lay practitioners whose lifestyles
were identical to monks, but they preferred to stay home. One such instance is
he adopted the lifestyle of monks at home. In fact the commentary defined him as
ending suffering while living at home. These are a few recorded stories, which
203
suggest there could have been many more such committed lay followers. Buddhists
Lamotte opines that the first three stages in the theory of four stages developed
because of the demand of laity for equal rights in the religious practices (Lamotte
1988:75-80). He further goes on to say that that trend continues and the development
of Mahāyāna Buddhism was the final triumph of laity over monastics (Lamotte
1988:81). Even though his argument is not very convincing as number of recent
studies has refuted this theory, that there was any conflict between monastics
members and laity for equal right.20 And in my study, I have not noticed any passage
either in the early Buddhist canon or Pāli commentarial literature that suggests
conflict between laities and monastics for equal right. Rather most of the textual
evidences suggest that these three stages might have been developed by monastics to
make Buddhism appealing to the common masses in the society, who might not have
argument is creditable to the extent that the first stages originally might have been
developed for laities. Keith appropriately states that the classification of the four
stages was developed due to desire to win over converts who were not altogether
eager to attain Nirvāna, but desired for chances of better rebirths (Keith 1923:131).
With the development of the first three stages, early Buddhists might have wished to
20
Raginald Ray (1994) in his book Buddhist Saints India: A Study in Buddhist Values and Orientation
has refuted the theory that Mahāyāna developed as result of demand of laity for equal right rather
proposed that Mahāyāna started from Monastic members who were forest meditators. Jan Nattier
(2007) in her book The Bodhisattva Path—Based on the Ugraparipṛchā, a Mahāyāna Sūtra, also
refutes this theory and argues that early Mahāyāna laity were very respectful to monastics.
Dhammajoti KL (2011) in his article Remarks on the Early Abhidharma Doctrine of the Three
Yāna-s also refutes the theory and argues that Mahāyāna started within monastic community who
were inspired by the biographical account of the Buddha.
204
convey the message that laity while living at home could attain until the first three
stages.
However, controversy remains regarding the fourth stage for laity. The early
Buddhists might have been reluctant to assign the stage of arahatta for laities. The
stage of arahatta was the highest spiritual ideal in early Buddhism. Arahats have
always been highly venerated saints, hence monastic members might have thought
that it would breach the hierarchical structure of monks and nuns over lay followers
if lay people too could attain this highest goal without the sacrifice of leaving their
homes and all mundane comforts. And this would affect the interest of people to
become monks and nuns, if lay people could become arahats while living at home.
Theoretically, it would defeat the whole purpose for becoming monks and nuns.
Therefore, the stage of non-return as a penultimate stage to arahatta might have been
From the religious point of view, the attainment of arahatta while dwelling at
home seems almost impossible. Though doctrinally there was no barrier for laities to
attain arahatta because early Buddhist discourses reveal that attainment of arahatta
doe not depend on whether one is a member of monastics or laity but only how one
monastic community and lay community, who were more equipped to achieve the
spiritual goal, the Buddha refused to give a categorical answer. He said one who was
endowed with right view, right practice is better equipped for spiritual goal,
irrespective of the distinction in lay and monastic community (MN I 493; SN V 134,
244). But on a practical level, the attainment of arahatta by laity is not easy. Though
195
have wanted to prove that everyone who took up Buddhist practices gained
something, and there was nothing to lose. By this Buddhists wanted to provide
passages in the Nikāyas. There are numerous discourses in the Nikāyas that report
destinies of large numbers of people after their death in terms of four stages. In the
Janavasabha sutta, the intention for such declaration is documented. It states that
such declaration caused many good people and politicians to develop faith in
Buddhist teachings. In the Naḷakapāna sutta of MN, it is stated such declaration was
not employed to defraud, nor for the purpose of cajoling people, nor for the purpose
of material gain, honor or frame, but for the purpose of causing people to develop
enthusiasm and inspiration in Buddhist teachings (MN I 465). This suggests the stage
discussed above, the Buddhist path to liberation was too demanding, a great majority
of people could not meet the demands. This fact is acknowledged in the Nikāyas, for
instance, once lay follower Dhammadinna went to meet the Buddha, the Buddha
taught him about emptiness, immediately he said he dwelt at home with children and
wife, enjoying all mundane pleasures, hence he could not reflect on such profound
doctrine. The Buddha then taught him four factors of stream-entry (SN V 408). This
was not just a view of one particular person; rather it portrays the views of the
stream-entry might only have been meant for lay followers. In the dialogue between
206
attained the end (niṭṭha), the state of deathless (amata) (AN III 451). Another
passage in the Udāna recorded that a layperson by the name of Bāhiya Dāruciriya
requested for ordination after listening to a short discourse given by the Buddha. This
request was refused, as he did not have the requisites to become a monk. He went to
search for requisites, but met an unfortunate death on his way. When the monks
inquired from the Buddha about his destiny, the Buddha declared that he is liberated
(parinibbuto) from duality of the suffering and happiness, form and formless spheres
(Ud 35). Both these passages would imply that they became lay arahats. Lamotte
used the list in AN to argue that arahatta was an equally attainable goal for both
monastics and laities (Lamotte 1988:80). Somaratne also takes up the list in AN and
argues there might have been lay arahats in early Buddhism (Somaratne, 2009: 156;).
The controversy is quite complex because there are also references to lay arahats in
the Pāli post-canonical texts. The Milindapañha states that Buddha’s father,
Post-canonical Pāli texts and Pāli exegetical literature tried to draw some
distinction between the lay-community and monastic community by stating that lay
arahats should either depart from the world on the very day of their attainment or
justify the position by stating that there are no defects in attainment of arahatta by
layman but householder life is weak to sustain arahatta (The Questions of Milinda,
80-82).
Somaratne points out that this explanation that a laity after becoming an arahat
either should become monastic member or should pass on the same day of the
207
sufficient time for spiritual practice to attain the arahatta. If one could become an
arahat while at home, there would be no reason for him to become a monastic
psychological approach to resolve this paradox. It explains that when one attains
arahatta, he immediately transcends the status of layman because he loses all the
characteristics that make a layman. This explanation is creditable but the question is
whether he needs to become a monastic member. If one becomes an arahat, for him
suggests that post canonical Buddhists though agree that under some special
The question is whether the concept of lay-arahat was developed in the Pāli post-
canonical literature, or it was already there in early Buddhism. Somaratne argues that
there were lay arahats in early Buddhism, but later monastic members attempted to
remove the lay-arahat concept. However, this question is complex, and I cannot go
deep into the question considering the scope and the present study, rather I would
confine myself in my argument that since quite early time, the Pāli Buddhist tradition
developed the concept of non-return as the highest spiritual goal for laity and
and expansion of Buddhist community might have had an impact on the quality of
spiritual practices among the monastic members. The Buddhist monastic members
started to give more socially beneficial oriented doctrines instead of asking for
considered as later than the other three Nikāyas, portrays the beginning of this trend.
Kelly comments that AN shows more concern for the lay community than other three
texts (Kelly 2011: 19; The Numerical Discourses of the Buddha, 39). This sub-
chapter will discuss how, renounced monks and nuns degraded in term of spiritual
practice, and finally the wide gap between the twofold communities became narrow,
and gradually the four stages became equally applicable for monastic members and
lay followers.
It seems with the adoption of two tiers ideals, Buddhism became an attractive
religion for the people; on the one hand, it agrees with the psychological
expectations of the people, on the other hand, in ethical dimension, Buddhism was
better than many of the existed religions. Brahmanism was not very attractive to
many people for its discriminative social ethics. With the expansion of Buddhist
members changed substantially. The wandering life style gradually changed into a
settled form of monastic life. With this development, Buddhist monks and nuns
the Buddha and the king, there was no mention of any of the four stages. The Pāli
version mentions that when the king left, the Buddha addressed the monk and said
that if the king had not killed his father, he would have gain dhammacakkhu on the
very seat that he was seated (DN I 86).19 In chapter 2, I have shown that the arising
king had not killed his father, he would have been a stream-enterer and members of
the four pairs of Noble Persons (Macqueen 1988: 89). This version suggests that
compiler of this discourse already knew the four paths and the four stages. These
four pairs of Noble Persons are absent in all other extant versions of the discourse.
These versions all agree about the attainment of dhammacakkhuṃ, one version in
Chinese translation asserts that the king in fact had attained dhammacakkhuṃ and
would not retrogress from it (Macqueen 1988: 68). Another version in Chinese
translation states that if the king had not killed his father, he would have realized the
Four Noble Truths (Macqueen 1988: 89). Here though dhammacakkhuṃ is not
stages was already developed by the time of the Sāmaññaphala sutta was compiled,
then why would the Buddha not mention it when he was explaining the fruits of
ascetic life in the discourse. The Sāmaññaphala sutta explains spiritual path from an
ordinary worldling to attainment of arahatta without any mention of the first three
stages. The absence of the first three stages is significant because the title of the
19
sacāyaṃ bhikkhave rājā pitaraṃ dhammikaṃ dhammarājānaṃ jīvitā na voropessatha imasmiṃ
yeva āsane virajaṃ vītamalaṃ dhammacakkhuṃ uppajjissathāti.
210
canonical work. With this shift in the monastic values, the number of monks and
nuns increased drastically. This expansion of the lay Buddhist community and
monastic members, the emphasis of the monastic saṅgha shifted their prime goal
from liberation to learning the doctrines, interpreting them and teaching them to the
public, training young monks, and maintaining monasteries. The Vinaya Piṭaka
shows that monasteries became bureaucratic institutions. The records of the Vinaya
Piṭaka depict that Buddhists were enthusiastic in recruiting young people to the
Saṅgha (Vin I 9). To create a strong religious movement, there was a need to expand
the number of Buddhist monastic members and lay supporters to support Buddhist
recorded in the Vinaya Piṭaka suggest that there were monastic members who were
not truly committed to spiritual quests, but they were tolerated within the Buddhist
Saṅgha. In order to win lay followers, Buddhist monastic members emphasized more
on the external purity of monastic members, and learning and interpreting the
external purity and scriptural erudition (Milindapañha, 21; The Question of King
Milinda, 94; Reginald 1994: 15). Those monks who failed to exhibit external purity
and textual erudition, were castigated by the lay community (Bareau 1970-71: vol. 1,
Gombrich observes that the prime duty of the monastic members changed to
preserving the doctrine and preserving Buddhism, which means preserving scriptures
and commentaries (Gombrich 1984: 77). With their priority shifted to engagement of
and secluded atmosphere from social ties and with responsibilities cut off, but settled
monasteries did not always meet this requirement. This fact is recorded in the late
monasteries was not conducive for meditation, as they were too many inhabitants,
too much noise, and bounded by the duties of communal life, obligation to laity, the
arrival of visitors and other interruptions (Vism 118-22; Dhammaratana 1964: 46-7).
In the Path of Purification, it is stated that those who engaged in scholastic studies
could not afford time to practice meditation (The Path of Purification, 96-97).
Though it is too naïve to imagine the situation to be same in the period immediately
after the passing away of the Buddha as what is reported in the Visuddhimagga. On
the other hand this change did not occur all of a sudden. It was a gradual
development. It is plausible that this trend started in the early period of Buddhist
history. Some crude hints are seen within the Nikāyas. It is recorded that in one
instance, the Buddha was said to express his dissatisfaction stating that monks in the
past were diligent in practice; they did not trouble me, now it is the opposite. In
another instance, Venerable Mahākassapa was said to have lamented that formerly
there were many arahats, now only few. These are some of the few hints that portray
the beginning of the changing situation of the monastic saṅgha. It seems there was a
Conze who studied the Buddhist monastic history observes that ‘the scholars ousted
212
the saints, and erudition took the place of attainment’ (Conze 1959: 116; cited in
monastic members moved their priority from immediate goal of liberation to distant
goal of liberation. Bond rightly remarks that arahatta had become a remote norm
fairly early; this trend became more pronounced as time went on. It became virtually
unrealizable (Bond 1988: 164). This is also seen from records of the councils. In the
First Council, which was held soon after the passing away of the Buddha, it is
recorded that 500 arahats attended. In fact, all the participants were arahats, but the
Second and the Third Buddhist Councils the attainment of arathatta was not an
important yardstick to select the participants. In fact, the records of these two
As long as the suttanta exist, as long as the Vinaya flourishes, so long will the
light shine, as at sunrise. Whether or not there is a realization (paṭivedha) or
practice (paṭipatti), scholarship (pariyatti) is sufficient for the maintenance of
religion. The erudite man provided that he is learned in the Tipitaka, fulfills
both… that is why as long as scholarship remains, the religion
remains…whether there may be a hundred or a thousand monks adorned with
accurate vision, if scholarship is in default, no realization of the noble path is
possible. (AN-A I 93)
The Manurathapūraṇī further recorded the statement that there was a debate on the
mode of life emphasized that practice was more important than learning, another
213
argued for the opposite. Finally, the latter won the debate. It further justifies
through a substantial transformation within a few centuries after the Buddha; rather it
was an intentional shift for the purpose of institutionalizing Buddhism and making it
sustainable. Max Weber quite rightly states that followers of the Buddha had interest
in the continuation of their movement, and they wanted to make it stable and reliable
(Weber 1968: 54). This internal interest to expand Buddhism by adapting itself to lay
way for later Mahāsaṃghika, finally Mahāyāna. They marginalized the path to
arahatta and advocated the path of Bodhisattva. When one observes the path of
Bodhisattva, i.e. the six perfections (ten in Theravāda tradition), it is clear that that
path is more socially oriented than renouncing social ties.22 Liberation from saṃsāra
is an extremely distant goal, benefiting society and helping people became the top
priority instead.
21
āraddha-vipassakānaṃ-bhikkhūnaṃ-satepi-sahassepi-samvijjāne-pariyattiyā-asatiariya-magga-
paṭivedho-nāmanahoti,
22
However, some may argue the other way round, i.e. the emergence of Mahāsaṃghika has
influenced the whole Buddhist community. This study does not deny that possibility, in fact I think,
emergence of Mahāsaṃghika followed by Mahāyāna, indeed has asserted great influence among all
Buddhist community, including Theravāda. The influence is traceable in the Theravāda Buddhist
culture and Buddhist literature. But I think, Mahāsaṃghika is abrupt development. The trend of
making Buddhism more social oriental and include greater number of people into Buddhist
community, who fail to uphold arahatta ideal might have started every early in the Saṅgha, at least
among some members of Saṅgha. The emergence of Mahāsaṃghika is full-fledged outburst of this
tendency.
214
and MN recorded the statements that even if there is no realization through practice
gap between the monastic Saṅgha and the lay community became narrow in terms of
spiritual progress. The immediate goal of liberation of upper tier followers became a
distant goal, and the immediate goal became better rebirth instead. This became more
Buddhism across the world reveals that even many monastic members of today do
not desire for liberation in this very life. When emphasis in liberation in this life
shifted, there might have arisen a need to provide for a theoretical explanation for the
incorporate cosmology along the path to liberation might have contributed to the
development of the theory of four stages to liberation. Cosmology was a strong part
crept into the religion at some point in the history of Buddhism as a response to
popular community demands. Such shifts also coincided with the broader
Buddhists did not just borrow passively; they creatively incorporated non-Buddhist
Buddhists needed to work out a scheme of spiritual path that embodied all
cosmological realms. In the scheme of the four stages, one passes through almost all
The more one progresses along the spiritual path, the higher one ascends into
cosmological realms. However, all cosmological realms are still impermanent, and
finally one has to transcend all cosmological realms to attain liberation. Through the
theory of the four stages, Buddhists could harmonize Buddhist doctrine of liberation
with people’s psychological attachment to higher abodes where they are free of
mundane suffering.
The need for recognizing spiritual hierarchy among the Buddhist practitioners
might also have contributed to the development of the theory of the four stages to
liberation. When attainment of arahatta become a distant goal in terms of space and
time, the need to recognize the hierarchy of spiritual experience to determine how
much one has progressed along the path, how much yet he has to travel along the
path, might have been felt by the Buddhists, because this provides some incentives
for spiritual practices. This is explicit when one observes the large number of
Nikāya passages where either monks or lay followers approached to the Buddha to
away. These passages portray people’s curiosity to know whether his or her spiritual
practices bear any fruits and how much one progresses along the path. As arahatta
became gradually a distance goal and eventually became only an ideal, one needed a
for Buddhist practices. This would give assurance to those who were not practicing
vigorously enough to liberation that they would still pursue the paths and gain rebirth
One of the questions that baffle a student of Buddhist studies is to discern when
this shift took place. In the absence of any concrete historical evidence recorded
either in the Pāli Canon or the Pāli commentarial literature and considering the
archeological evidence that could shed any light on this question. Textual,
archeological and inscriptional evidence show that very early in the history,
liberation.23 So it can be safely hypothesized that this development took place within
23
Gregory Schopen in his article (2004) “Two Problems in the History of Indian Buddhism: The
Layman/Monk Distinction and the Doctrines of the Transference of merit” argues that the railing of
Bhārhut and Sāñci belong to the 120 to B.C. and he points out according to inscriptions in these two
sites regarding the donors, about 40 percepts of the donors were monastics members. And these
monastic members are titled as specialized in discourses (sutaṃtika), reciters (bhānaka), specialized
in one basket (piṭakin, specialized in the five Nikāyas (pananekāyika). He further points out
Kharoṣṭhī inscriptions edited by Konow also show that about 50 percent donors were monastics
members. They are described as ‘preacher of the dhamma (dharmakathika), meditation practitioners
(prāhaṇīka) etc., (Indian Monastics Buddhism: Collected Papers on Textual, Inscriptional and
Archaeological Evidence, 30-31). If his dating of the inscriptions is correct, then these evidences
imply that by these times, monastics members have already shifted their emphasis from immediate
liberation to other merit-making activities, and their expertise in learning was already highly valued
in the society.
217
4.5 Conclusion
All textual evidence implies the theory of stages to liberation went through several
as possible, so arahatta was the only goal to be attained in this very lifetime. There
seemed to have no stages to arahatta; some of them directly became arahats shortly
after listening to a short discourse given by the Buddha, sometimes long discourses,
individual’s spiritual background before meeting the Buddha. There were people
who had already renounced family, social ties and responsibilities, and had been
practicing meditation before they met the Buddha. The Buddha only had to only turn
their cognitive insight in the right direction. They did not require gradual path to
liberation. There were people, who had no previous training, but were inspired by the
and became monks and nuns. To them, the Buddha taught the gradual path, as
Buddhism was a religion for a small minority of monastic Saṅgha who renounced
home and social ties. It was not that Buddhism was not open to every person,
Buddhism from its inception was open to everybody, but on the precise condition
that they were capable of renouncing home and all mundane affairs. This
requirement was incompatible with the expectation of the great masses of people in
the society. People supported Buddhist monastic Saṅgha as a part of Indian culture
which supported ascetics with their basic needs in the hope of generating merits,
The second phase: gradually there arose an interest to bring Buddhism from a
make Buddhism compatible with the demands of common masses in society, certain
was put forward, the upper tier consisted of monastic members, and the lower tier
consisted of laities. The two categories of followers had two distinct priorities—the
immediate priority for monastic members was liberation from samsāra in this very
life; while the immediate priority for the lower tier followers was mundane success,
good rebirths and assurance of not going to unfortunate and lower existences. The
aim of early Buddhism was still maintained, but liberation was assured in some
future births. This goal for lay people to aspire to was named fruit of stream-entry.
The requirement for this stage was extremely low; basically it sufficed to become a
Third phase: among the lower tier followers, there emerged some spiritually
advanced followers, who could not become a monastic due to various reasons, and
practitioners. Originally, they might have been recognized as very close or similar to
monks, but later they were assigned a separate spiritual stage known as “non-return”.
This might have been done to maintain the hierarchical status of monastic saṅgha
over the lay community even when they led a quasi-monastic life. And also there
Fourth phase: applying the theory of four stages to both monastic Saṅgha and lay
followers. This might have happened because of the expansion of the lay Buddhist
community, and monastics members started to pay more attention in expanding the
lay community. In order to do so, those monks started to study and memorize
monasteries became religious and social institutions. They became busy centers for
studying and serving lay community; this might have resulted in the unfortunate
people who were recruited as the monastic members were not motivated by
liberation, and ordination of teenagers took place. Slowly liberation from the
saṃsāra in this very life became a distant goal even for monastic members. By this
time, these two distinct parallel soteriological goals merged together; and the four
Thus, as shown in this chapter, social and religious factors played a significant
role in the development of the theory of the four stages to arahatta. Monastics
it might have impacted spiritual attainments among monastic members. This new
change might have contributed to the recognition of the theory of four stages to
Chapter 5:
Exaltation of the Four Stages in the Pāli Abhidhamma and
Commentarial Literature
The previous chapter has shown that each of the four stages to enlightenment has
been developed in response to different social and religious demands that arose in the
history of Buddhist thought, and towards the end of Pāli Nikāya period, the theory of
the four stages to liberation was formed. At present the Theravāda tradition
perceives the theory of the four stages through the lens of Pāli commentators, and
hence the four stages are understood as peak spiritual stages one sequentially attains
during the course of liberation. This chapter aims to examine the Theravāda
Pāli commentarial literature. This would broadly map the manner in which the theory
of the four stages and the theory of sequential development from the Nikāyas to the
Abhidhamma and Pāli exegetical literature developed. This chapter attempts to locate
certain possible factors which might have contributed to this development, and
examines how the concept of stream-enterer which originally was used to refer to a
lay Buddhist who has taken refuge in the Buddha, the Dhamma, and the Saṅgha, is
elevated to the status of a highly exalted spiritual saint in the process of Buddhist
literary history.
The question of the sequential attainment of the four stages was not discussed in the
Nikāyas. This has created certain dilemma in Abhidhamma and Pāli commentarial
221
literature regarding whether the four stages are sequential attainment or one could
The Pāli Ābhidhammikas and Pāli commentators have interpreted the four stages
as sequential attainment. However, they have not constructed the theory without
basis. They derived some nucleus of this interpretation from the Pāli Nikāyas. There
are some passages in the Nikāyas that at outer appearance seem to imply the four
stages as sequential attainment. But a careful examination reveals they are not
individual who could not attain arahatta in this lifetime. But he will not return to
This section examines this dilemma from both a historical perspective and later
interpretative perspective. From a historical perspective, this section argues that the
four stages are not sequential attainment insofar as the Pāli Nikāyas are concerned.
From the later interpretative perspective, it argues that the Pāli Ābhidhammikas and
the Pāli commentators did not consider there is a contradiction because they have
interpreted the stage of non-return differently than the Pāli Nikāyas. However, this
section argues the new interpretation of the stage of non-return is a deviation from
attainment along the path of liberation. This new interpretation first appeared in the
necessarily passes through the four stages to attain arahatta. This point is further
superseded by bhūmi, (Dhs. 60). The four stages are interpreted as the first stage
stage (catuttha-bhūmi) respectively.1 The terms phala and bhūmi are never employed
synonymously in the Pāli Nikāyas; while the term phala has been used with the sense
of consequence, benefits and fruits etc., the term bhūmi has been used with the sense
of stage. By the change of term, Ābhidhammikas might have wanted to convey the
commentators often relied on the Abhidhamma to interpret the teachings of the Pāli
Nikāyas. Although their main task was to clarify the doctrines embodied in the
discourses, the authors of Pāli exegetical literature often employed the Abhidhamma
Pāli commentators also interpreted the four stages as sequential attainment. For
instance, Buddhaghosa in the path of the Purification, subsumed the four stages
which is the culminating stage of spiritual path presented in the path of purification.
four stages. He writes that immediately after the stage of gotrabhū, there appears the
1
yasmiṃ samaye lokuttaraṃ jhānam bhaveti…diṭṭhigatānaṃ pahānāya paṭhamāya bhummiyā
pattiyā,..kāmarāgavyāpādanaṃ patanūbhāvāya dutiyāya bhummiyā pattiyā..kāmarāgavyāpādānaṃ
anavasesappahānāya tatiyāya bhummiyāpattiyā…rūparāga arūparāgamāna-uddhacca-avijjāya
anavasesappahānāya catutthāya bhummiyāpattiyā.
223
practice for the sake of attenuating greed and aversion to attain the second stage. He
brings forwards the faculties, the power and factors of enlightenment, he cultivates
them, then the path of once-return arises. Then he reflects on the defilements
abandoned, yet to be abandoned, the path he has arrived unto this stage and the
sitting, or another occasion starts the practice for the sake of the completely
abandoning of sensual desire and aversion and attains the third stage. The non-
returner after a short reflection on the defilements that are already abandoned, that
are yet to be abandoned, he starts the practice for the sake of complete abandonment
of desire for form and form realms, conceit, agitation and ignorance. He brings
forwards the faculty, the power, and factors of enlightenment, then the path of
arahatta manifests. After the manifestation of the path of arahatta, after a short
According to Buddhaghosa, the four stages are sequential attainment. One can
either attain them in the same sitting or in a wider dimension of time and space. Even
though he employed the term spontaneous born being (opapātiko) for non-returner,
and he further goes on to describes non-returner as one who attains Nibbāna there,
not subject to return from that world, but he does not see contradiction between the
stage of non-return and the stage of arahatta in human realm. This is because he
attain the stage of non-returner while in the human condition, still continues to
Dabba, a young boy, went to the Buddha for ordination. He attained all the four
At the moment of shaving first blade of hair, he was established in the stage of
stream-entry, at the moment of shaving second blade of hair, he was
established in the stage of once-return, at the moment of shaving third blade of
hair, he was established on the stage of non-return, and at the moment of
shaving fourth blade of hair, he realized the stage of arahatta. (Tha-A I 43)2
A similar dramatic narration is recorded in the same text with regard to Venerable
Saṅkicca (Tha-A II 255), and Sīvali who also went through all the four stages
young monk attained all four stages while a tiger was swallowing him:
While he was in the mouth of the tiger, he having suppressed the sensation
(pain) developed insight. When up to his ankle was being eaten, he attained the
stage of stream-entry, by the time up to knees were being eaten, he attained the
state of once-return, when up to navel part of the body was being eaten, and he
attained stage of non-return. When the heart was being eaten, he became arahat
together with analytical knowledge and uttered the joyful utterance. (DN-A III
748).3
The question is whether this understanding reflects the original implication of the
defined as one who does not return to sensual realm (kāmadhātu). Therefore in the
Nikāyas the non-returner is defined as not subject to turn back from that world
(anāvatti-dhammo tasmā lokā) and he takes birth in some higher realm known as
2
paṭhama kesa vaṭṭhiyā varopanakkhaṇe sotāpattiphale patiṭṭhahi, dutiyāya kesa vaṭṭhiyā
varopanakkhaṇe sakadāgāmiphale, tatiyāya kesa vaṭṭhiyā varopanakkhaṇe anāgāmiphale, sabba
kesānam pana voropanañ ca arahattaphaphala sacchikiriyā apacchā apure ahosi.
3
so byagghamukhe nipannova taṃ vedanaṃ vikkhambhetvā vipassanaṃ vaḍḍhento yāva gopphakā
khāditasamaye sotāpanno hutvā, yāva jaṇṇukā khāditasamaye sakadāgāmī, yāva nābhiyā
khāditasamaye anāgāmī hutvā, hadayarūpe akhāditeyeva saha paṭisambhidāhi arahattaṃ patvā
imaṃ udānaṃ udānesi.
225
The term opapātika was popularly known among contemporary Indians religious
that were prevalent among religious philosophers of that time. Among them, one
relates to existence of spontaneously born beings (DN I 27).4 In the Pāyāsi sutta, in
the debate of birth after death, the term is used to refer to the world beyond. The term
is also used several times referring to classes of beings in the Buddhist discourse.
Buddhism recognizes four classes of beings in accordance to the ways they were
born—egg born, womb born, moisture born and spontaneously born (DN III 230;
MN I 73; SN III 240). The frequent occurrence of the term in several contexts
implies that the term opapātika was more archaic and was a common term in Indian
The origin of the term opapātika can be traced in the Upaniṣadic literature. In the
Upaniṣadic literature, the term is employed to describe the liberated sages who are
united with the Brāhman, and never return from there. But in Buddhism it is used in
the Buddhistic framework, and is used to describe beings who would have birth in
the heavenly realm known as pure-abode, and he would attain perfect liberation there
once for all, but would continue further existence in the heavenly realms until
Buddhist practitioner, who did not succeed in gaining full enlightenment while in
4
atthi sattā opapātikā? n’atthi sattā opapātikā? atthi ca n’atthi ca sattā opapātikā?
226
human conditions. This position has strong support in the Nikāyas. In a passage in
the Citta-saṃyutta, Citta, a householder, when talking with his old friend Kassapa
about their spiritual achievement, says he has mastered four jhānas, and further says
It seems quite clear that a non-returner is an individual who has abandoned the
five lower fetters, but failed to gain arahatta before passing away. My argument is
further supported by several passages that show that the stage of non-return was
declared upon the death of those practitioners. In the Dhātu-vibhaṅga sutta of the
Majjhimanikāya, it is reported that Brahmin Pukkusāti met the Buddha. He could not
recognize the Buddha. They had a conversation on the dhamma and at the end of the
conversation; he recognized the Buddha and sought for the higher ordination. But
this was not given, as he did not have a bowl and robes. He went out to search for a
bowl and robes, but met unfortunate death due to the attack of a cow. When the
monks inquired about his fate after death, the Buddha said:
A similar declaration was made after the death of Brahmin Brahmāyu. He was savant
in the Vedic philosophy and history. He came in contact with the Buddha. The
Buddha exhorted him into dhamma through gradual talk followed by the doctrine of
four noble truths. He took refuge in the Buddha. When he passed away, monks
All these references imply that ‘non-returner’ refers to a person who could not attain
enlightenment whilst in the human form, but one who would attain final Nibbāna
without returning to human world. In the Pāli Nikāyas, most of the non-returners
Then the question is how the Pāli Ābhidhammikas and Pāli commentators
developed the theory of sequential attainment of the four stages without reference to
early Buddhist discourses. The answer seems obvious that they derived some nucleus
of this interpretation from the Nikāyas. There are quite a lot of passages, which at a
glance seem to imply that the four stages are necessarily sequential attainment. For
instance, in a number of discourses, the four stages are explained in relation to the
Oh! Monks, when these five faculties are completely developed, one becomes
an arahat. If they are weaker than that one become non-returner, if they are still
weaker than that one becomes a once-returner, if they are still weaker than that
one is a stream-enterer. (SN V 200; 2002, 205)5
This is further supported by the passages that relate the four stages to the threefold
gradual trainings, which state that stream-enterers and once-returners are perfect in
stronger support for sequential development of the four stages is the eradication of
5
imesam kho bhikkhave pañcindriyānam samattā paripūrattā araham hoti, tato mudutarehi anāgāmi
hoti, tato mudutarehi sakadāgāmi hoti, tato mudutarehi sotāpanno hoti.
6
idha bhikkhave bhikkhu sīlesu paripūrakāri hoti, samādhism mattasokārī paññāya mattasokārī. So
tiṇṇam samyojanānam parikkhayā kolankolo… so tiṇṇam samyojānam parikkhayā
rāgadosamohānam tanuttā sakadāgāmī hoti… sīlesu paripūrakārī hoti, samādhism paripūrakārī
hoti, paññāya mattasokārī. so pañcannam orambhāgiyānam samyojanānam parikkhayā
uddhamsoto hoti… antarāparibbāyī hoti. … sīlesu paripūrakārī hoti, samādhism paripūrakārī hoti,
paññāya paripūrakārī hoti, so savānam khayā anāsavam cetovimuttiom paññāvimuttim diṭṭh’eva
dhamme sayam abhiññā sacchikatvā upasampajja viharati.
228
the defilement to attain the four stages. The standard explanation of the four stages
is in relation to abandoning the list of ten fetters, which are identified as basic
that stream-enterers abandon first three fetters, once-returners further reduce greed,
hatred and delusion, non-returners abandon five lower fetters, arahats abandon all
out-flowing.
At first glance these passages seem to imply that the four stages are sequential
attainment. But when one examines these passages carefully these passages are not
sufficient to establish the theory of sequential development. If one takes this listing
to be sequential attainment then one has to accept sequential attainment of the five
sub-stages of non-return because there are many passages listing the five kinds of
Oh! Monks, when these five faculties are fully cultivated, one becomes an
arahat. If they are weaker than that, then he is one who attains Nibbāna in
between. If they are further weaker then is one who attains Nibbāna upon
landing. If they are further weaker then he is one who attains Nibbāna without
exertion. If they are further weaker, then he is one who attains Nibbāna with
exertion. If they are further weaker he is one who is bound upstream, heading
towards the Akaniṭṭha realm.. (SN V 205)
If the listing of four stages in relation to development of the five faculties can be
taken argument for sequential attainment of the four stages, then one has to accept
229
the five sub-stages of non-return are also sequential attainment which implies the
antarāparinibbāyī goes through the rest of the four stages. But such implication is
untenable, for one who attains Nibbāna in between is one who attains Nibbāna either
in between death and new birth, or in the immediate next birth before crossing half of
life time. In either case, he cannot go through the other four stages.
There are many passages in the Nikāyas that imply the four stages are not
sequential attainment so far as the Pāli Nikāyas are concerned, rather the four stages
mentioned:
oh! Monks, when the mindfulness on breath in and out is developed and
cultivated, seven fruits, seven benefits may be expected. What are the seven
fruits, seven benefits? One attains perfect knowledge early in this very life. If
one does not attain the perfect knowledge early in this very life, then one
attains final knowledge at the time of death. If one does not attain final
knowledge early in this life, or at the time of death, then with complete
abandonment of the five fetters pertaining to lower existence, one becomes one
who attains Nibbāna in between. If one does not become one who attains
Nibbāna in between, then becomes one who attains of Nibbāna upon landing.
If one does not become one who attains Nibbāna upon landing, then one
becomes one who attains Nibbāna without exertion. If one does not become a
one who attains Nibbāna without exertion, then one becomes one who attains
Nibbāna with exertion. If one does not become one who attains Nibbāna with
exertion, then one becomes one bound upstream, heading towards the
Akaniṭṭha realm. (SN V 310).7
Buddhist path would attain either one of two fruits; either perfect knowledge in the
very life, or if there is remnant of upādi, would attain the stage of non-return
(dvinnaṃ phalānaṃ aññataraṃ phalaṃ pāṭikaṅkhaṃ, diṭṭhe ‘va dhamme aññā sati
vā upādisesa anāgāmitā : DN II 314; MN I 62, 63, 481’ SN V 129, 236; AN III 82,
7
evaṃ bhāvitāya kho bhikkhave ānāpānasatiya evam bahulīkatattā sattaphalā sattānisaṃsā
patikaṅkhā. Katame sattaphalā sattānisaṃsā? Diṭṭheva dhamme paṭihacca aññam ārādheti. No ce
diṭṭheva dhamme paṭihacca aññam ārādheti, atha maraṇakāle aññam ārādheti, no ce diṭṭheva
dhamme paṭihacca aññam ārādheti, no ce maraṇakāle aññam ārādheti, atha pañcannam
orambhāgiyānam saṃyojanānam parikkhayā anatarāparinibbāyi hoti. upahaccaparinibbāyī hoti.
asaṅkhāraparinibbāyī hoti. sasaṅkhāraparinibbāyī hoti. uddhamsoto hoti akaṇiṭṭhagāmī.
230
143, V 108, It 39). These passages indicate the two stages were mutually exclusive
stages rather than two successive stages as described in the Pāli commentarial
literature.
When it comes to the co-relation between the threefold training and the four
stages, firstly, it is not explicit whether the stage of stream-entry and the stage of
once return are sequential attainment. What is emphasized here is the perfection of
morality. Secondly, the passage does not clearly affirm that an arahat has to go
through the first three stages. It only elucidates the level of spiritual attainment in
each stage; it does not deny the possibility that one can gain all these achievements
and directly becomes an arahat. The same argument is applicable to the four stages
in relation to the abandoning of the list of ten fetters. Though theoretically certain
fetters are assigned to each stage, it has not been explicitly mentioned that one has to
go through all the four stages. The possibility of one abandoning the first five fetters
become arahat directly through bypassing other stages is not ruled out in the
Nikāyas. Careful observation of the Nikāyas passages that deal with enlightenment
would elucidate that this implication is more likely to be true than otherwise. In the
Nikāyas, not even one case story is recorded of anybody going through all the four
monastic saṅgha, many of the passages are ascribed to authors referring to their own
achievement of liberation. Blackstone has pointed out that in the Therīgathā, out of
achievement of liberation and in the Theragāthā, out of 269 stories, 97 stories are
231
ascribed to authors referring to their own attainment (Blackstone 1998: 108). Among
the recorded stories, there is not a single story that shows any of the early monastic
members going through the four stages in the path to liberation in the sequential
order.
On the other hand, there are many references of practitioners first gaining the
dhammacakkhuṃ, then directly becoming arahat. For instance, the story of the first
five disciples of the Buddha attained arahatta directly after hearing second discourse
given by the Buddha (SN III 68). The Dīghavu was declared as stream enterer, but
after his death he was declared as non-returner (SN V 344). In the Theragāthā, it is
recorded that a Brahmin by the name of Sañjaya having listened to Buddha attained
the first stage, and just after ordination, he was said to have attained arahatta
(Psalms of Brethren, 52). In the Theragāthā and the Therīgāthā, five such similar
instances are recorded (Psalms of Brethren 133, 141, 183, 222, 224; Psalms of
In all these texts there are no mention of the intermediate stages. Furthermore,
there are many references in the Nikāyas, where one directly becomes an arahat,
without any of the first three stages. One fine example is the story of Bāhiya
Dārucīriya, after first meeting with the Buddha, he requested for ordination. He was
refused because he did not have bowl and robe ready with him. He went out to
search for bowl and robe; a cow killed him. After his death, the Buddha declared him
as one who is liberated (Ud 35). According to the commentaries, he neither met the
Buddha nor his disciples nor followed any Buddhist practice prior to his first
meeting. So there was no possibility for him to have gone through the first three
stages. There are also quite a few references of one becoming non-returner directly
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after hearing a discourse. For instance, the story of Pukkusāti in the Dhātu-vibhaṅga
sutta of MN, and the story of Brahmāyu which have been cited above.
Another point to note is that the four stages are never referred to as four stages to
arahatta in the Pāli Nikāyas. The term bhūmi, which means stage, never appears with
the theory of the four stages in the Nikāyas. Rather, the term phala is employed to
define each stage in the Nikāyas. The term phala means fruit or benefit or
Ajātasattu inquired from the Buddha what the visible benefits of ascetic are, the term
used for benefits of ascetic life is sāmaññaphala, and the Buddha has enumerated a
list of benefits of ascetic life from mundane to supra-mundane. The discourse has not
mentioned stages to attainment of arahatta. In some passages, the term phala is also
(DN III 132). Sometimes phala is also combined with vipāka to denote consequence
of karma (DN I 27, 58; III 160). It is never employed in the Nikāyas with the sense of
stage. The four fruits are interpreted as stages only in the Abhidhamma and Pāli
exegetical literature. In the Nikāyas the theory of four fruits was intended to convey
the message to all practitioners and converts into Buddhism that they would enjoy
some benefits in accordance with the commitment and urgency they put into their
the benefits for anyone who practices the Buddhist teachings; either the fruit of
liberation here and now (diṭṭhe va dhamme nibbāna), i.e. fruit of arahatta, or fruit of
has been repeated either in the same format or with little variations in several other
whosoever practices the four-fold foundation of mindfulness at least for seven days
are bound to gain either the stage of arahatta in this life or the stage of non-return
(MN I 63).9 The omission of the first two stages in the passage quoted cannot be
overlooked. This omission did not occur once, and in many passages it is repeated
enlightenment, meditation in breathing in and out etc. (AN III 83, 143; SN V 129,
either attain Nibbāna in this very life, or if he fails, he will attain it at the time of
death, if he fails, he will attain one of the five types of non-returner (AN IV 70). In
SN, it is stated that one who cultivates the five spiritual faculties would gain
enlightenment in this very existence, or at the time of death, if not, at least he will
8
Maurice Walshe considers this discourse “as the most important sutta in the entire Pāli canon” (The
Long Discourses of the Buddha, 588). And Bhikkhu Nyanatiloka has asserted that this discourse is
the most important part of the whole Nikāya and the quintessence of the whole meditation practice
(The Path to Deliverance, 123). Today, in the Theravāda tradition, this is like a manual guide for
meditators. Anālayo in a comprehensive study of the discourse states that the path in the
Mahāsatipaṭṭhāna sutta in DN and Satipaṭṭhāna sutta in MN belongs to late period of Buddhist
history (Anālayo 2003: 16). Bhikkhu Sujato has a very good study on the historical development of
the Satipaṭṭhāna sutta. He has convincingly argued that the section of the Satipaṭṭhāna sutta
contents in the Samyuttanikāya is more archaic than schemes in two discourses (Bhikkhu Sujato
2012a: 118).
9
yo hi koci bhikkhave. ime cattāro satipaṭṭhāne evaṃ bhāveyya, sattavassānitassa dvinnaṃphalānaṃ
aññataraṃphalaṃpāṭikaṅkhaṃ diṭṭhevadhamme aññā, sati vāupādisese anāgāmitā.
234
gain one of the five types of non-returner (SN V 237).A close examination of these
i. In the early period of the Buddhism, only the stage of non-return and stage of
arahatta might have been considered as spiritual attainment. The stage of stream-
entry and once return were not yet considered as high spiritual attainment.
ii. These two were not necessarily sequential attainment, rather exclusive
attainment. Some would directly become arahats in this life, other would become
non-returners with some remnant of upādi, and they would attain final liberation
The first point accords with my argument in chapter 2 and chapter 4 that stream-
and developed receptivity towards Buddhist doctrine. The second point is further
Buddha, who established faith in the Buddha, the five categories would gain
returners and those who become arahats in this life (diṭṭh’ eva dhamme arahā) and
the other five categories would gain liberation hereafter (in other realms)— the five
envisage that the non-returners do not attain the arahatta in the human conditions.
Though the four stages are listed in sequential hierarchical order, it does not
imply that these have to be attained in sequential order. This is clear when one
10
ye keci bhikkhave mayi niṭṭhaṅgatā, sabbe te diṭṭhisampannā. tesaṃ diṭṭhisampannānaṃ
pañcannaṃ idha niṭṭhā pañcannaṃ idha vihāya niṭṭha.pañcannaṃ idha niṭṭhā—
sattakkhattuparamassa, kolaṃkolassa, ekabījissa sakadāgāmissa, yo ca diṭṭh’eva dhamme arahā.
Idha vihāya niṭṭhā—antarāparinibbāyī, upahaccaparinibbāyī, asaṅkhāraparinibbāyissa,
sasaṅkhāraparinibbāyissa, uddhaṃsotassa akaniṭṭhā-gamino
235
observes the listing of the Eight Noble Persons. In the stereotypical list, the four
stages precede the four respective paths. For instance the list appears as:
The stream-enterer, one who is practicing for realization of the stage of stream-
entry, the once-returner, and one who is practicing for the stage of once-return,
the non-returner and one who is practicing for the stage of non-return, the
arahat, and one who is practicing for the stage of arahatta. (AN IV 292; DN III
255).
If the four stages are considered as successive sequential attainment merely because
they are listed in sequential order, then one has to admit that one first becomes
stream-enterer, then practices for the attainment of the stage of stream-entry, etc.,
Oh! Monks, these ten persons are worthy of gifts, worthy of hospitality, worthy
of offerings, worthy of veneration, supreme field of merit for the world. What
ten? The Tathāgata, the Arahat, the fully Enlightened one, the solitary Buddha,
the one who has been liberated in both ways, the one who liberated through
wisdom, the body witness; the one attained view (right view), the one who
liberated through faith, the intellect pursuant practitioner, the faith pursuant
practitioner , and the one who has transcended the clan. (AN V 23)
If this hierarchical order is taken as sequential attainment, one has to admit that all
untenable. Hence, mere listing of the four stages in sequential order does not imply
that they are necessarily sequential stages to attainment of arahatta, rather they
Thus as far as the Pāli Nikāyas are concerned, the textual evidence shows that
the four stages were crystallized as a map of spiritual progress within the Nikāyas,
not rigid stages that everyone goes through in order to attain arahatta. Rather, it is
more plausible to assert that it is just a theoretical map, some may go through all
four, while some others can bypass either the first stage, or the second stage or all
236
first three stages and become arahats directly, depending on the individual’s spiritual
background. As Nathan Katz observes if the four stages are taken as sequential
attainment, there would be a theoretical discrepancy in the theory (Nathan 1986: 92).
If four stages are necessarily sequential development, then theoretically, there cannot
explicitly clear that non-returners are those who fail to attain arahatta in this very
life, but will attain it in his future lives in some heavenly realms.
The question is why the Pāli Ābhidhammikas and Pāli commentators interpreted
the four stages as sequential attainment. A possible reason may be because the
Ābhidhammikas tried to systematize the path to liberation. If the four stages are not
passages in the Nikāyas describing the four stages in relation to abandoning of the
list of ten fetters might have provided rationale for the Ābhidhammikas and Pāli
commentators to interpret the four stages as sequential attainment. But how did the
Ābhidhammikas and Pāli commentators have deal the discrepancy of the stage of
non-return and the stage of arahatta in this lifetime? Neither the Pāli Abhidhamma
nor the Pāli commentarial literature contain any discussion on this discrepancy. The
silence shows that the Pāli Ābhidhammikas and the Pāli commentators might have
understood these stages differently. One possible reason would be because in the
Abhidhamma the definition of the term “non-returner” has been changed from its
definition in the Nikāyas. According to Abhidhamma and the Pāli commentaries the
non-returner is one who abandons the five fetters. According to this interpretation,
one can attain the stage of non-return by abandoning the five lower fetters, and
continue to practice to attain the stage of arahatta. These stages were understood to
237
be meditative attainment and one could attain the four stages in the same sitting.
The Pāli Nikāyas show that in early Buddhism recognized very distinctively
different, path as yet valid paths to liberation. Bradley S. Clough in his book Early
convincingly argues that Early Buddhism prescribed diverse paths to arahatta, which
schemes was recognized as a valid path to liberation. The scheme of four paths and
four stages in relation to abandoning the list of ten fetters is just one of them. He
charges Buddhaghosa for superseding the diverse paths with a singular meditative
path that integrates several path schemes. However, a careful observation reveals that
schemes found in the Nikāyas, and the four stages together with four respective paths
constructed the peak of this monolithic path to arahatta. In generalizing the theory of
four stages, Ābhidhammikas might have encountered some problems, such as the
absence of the theory of four stages in the scheme of the path followed by the
11
This book basically deals with controversy on Samatha and Vipassanā meditations. He argues that
both were independently valid paths to liberation. But later tradition, i.e. Buddhaghosa constructed
singular path by combing Samatha and Vipassanā together.
238
Buddha as recorded in the Nikāyas. The Buddhist soteriological path schemes are
based on the fundamental assumption that the Buddha and his disciples attained
enlightenment through treading alone these path schemes. If one cannot establish this
assumption with Buddhist textual sources, then the authenticity of the scheme and
its capability of bringing forth liberation would be subject to doubt. Therefore, later
Buddhists always sought to find reference in early Buddhist sources for any new
Some Buddhist schools held the view the Bodhisatta also goes through the four
stages. The commentary to the Kathāvatthu ascribes this view to Andhaka and
Uttarapanthaka (Kv-A 178). The Theravāda tradition refutes this view and argues
that the theory of four stages is not applicable to the Buddhas. Their argument is that
the Buddhas follow a different path to liberation. They assert that there are three
distinct paths to liberation for the three categories of people: the path of the perfectly
interpreted the theory of the four stages as applicable only to the path of the
disciples, not the other two. The commentary to the Kathāvatthu states that the four
stages to liberation are not applicable to the Bodhisatta who strives for supreme
then there is no distinction between the state of Buddhahood and the state of stream-
enterer (Kv-A 174).12 Another commentarial passage further adds that the path of the
four stages. If one cultivates [other paths], the Bodhisatta would become a stream-
12
bhagavā sotāpanno ti buddhabhūtassa sotāpannabhāvo natthi paṭikkhipati.
239
However, Pāli commentarial literature is not unanimous on this point. Some Pāli
commentarial passages mention that the Buddha also undergoes the four stages. For
instance, in the commentary to the Aṅguttaranikāya the Buddha went through the
On the day of Vesak full moon, in the evening, having approached the root of
the great Bodhi tree, having discarded the forces of the evil ones, having
recollected past lives in the first watch of the night, in the second watch of the
night purified the divine vision (higher vision), and in the last watch of the
night having penetrated into the theory of twelvefold dependent arising,
realizes the path of stream-entry. This is known as arising. Thus, in the
moment of the stage of stream-entry, in the moment of the path of once-return,
in the moment of stage of once-return, in the moment of path of non-return, in
the moment of stage of the non-return is known as arising, in the moment of
path of arahat, it is called ‘arising, and at the moment of stage of arahatta, one
is known as arisen (awaken). Unlike disciples, knowledge of psychic powers
does not arise to Buddhas, but with the path of arahatta, the knowledge of
omniscience and all virtues appeared to him. (AN-A I 99).13
Having eaten the sweet porridge offered by Sujātā and having caused the
golden bowl to be carried away by the river, in the evening having gone to the
vicinity of the bodhi tree, looking around the element of world and being seated
dispelled the evil forces while the sun was up (before sun set). In the first watch
of the night, recollected the past lives of him, in the second watch of the night
purified the higher vision, in the last watch of the night, having penetrated into
the causes and conditions, penetrated the path to stream-entry, subsequently he
realized the stage of stream-entry, the path of once-return, the stage of the
once-return, path of the non-return, stage of the non-return, the path of
arahatta, until then it is known as arising of wheel of dhamma. In the moment
of arahatta it is called the wheel of dhamma has arisen. And for the Buddhas,
13
sāyaṇhasamaye visākhapuṇṇamāya mahābodhimaṇḍaṃ āruyha mārabalaṃ vidhametvā
paṭhamayāme pubbenivāsaṃ anusaritvā majjhimayāme dibbacakkhuṃ parisodhetvā
pacchimayāmasamantare dvādasaṅgaṃ paṭiccasamuppādaṃ anulomo-paṭilomato sammasitvā
sotāpattimaggaṃ paṭivijjhanto pi uppajjamāno vā nāma. sotāpattiphalakkhaṇe pi
sakadāgāmimaggakkhaṇe pi sakadāgāmiphalakkhaṇe pi anāgāmimaggakkhaṇe pi
anāgāmiphalakkhaṇe pi uppajjamāno va nāma. arahattamaggakhaṇe pana uppajjati nāma.
arahattaphalakkhaṇe uppanno nāma. Buddhānaṃ hi sāvakānaṃ viya na paṭipāṭiya
iddhavidhañāṇādīni uppajjanti sah’eva pana arahattamaggena sakalo pi
sabbaññutañāṇaguṇarāsi āgato nāma hoti.
240
with the attainment of arahatta all the virtues arise simultaneously. (AN-A I
122)14
The abandoning of the three fetters means the abandonment of the self-view,
doubt and attachment to vows and rituals. Here, the Bodhisattas who are on the
final existence (pacchimabhavikā bodhisattā) are also included in the
classification (follow this method). Those who are not in the final existence,
having attained insight into equanimity of formation, stop there. (Pm-A I
271).15
Having arrived at the vicinity of the Bodhi tree, dispelling the evil forces (of
mind) in the first watch of the night recollected former lives, in the second
watch of the night purified the higher vision, the last watch of the night, having
access to knowledge of dependent co-arising, and having realized all
conditioned phenomena from diverse prospective, penetrated the path of
stream-entry,… until realization of stage of non-return, it is known as ‘being
arising’ in the moment of the path to arahatta, it is known as ‘arising’ and at
the moment of the arahatta, it is known as ‘ has arisen’. Unlike disciples there
is no appearance of knowledge of psychic power of the practice to the
Buddhas. All the heap of virtues of the Buddha appears simultaneously
together with the path of arahatta. (Iti-A II 82).16
answer. This shows that the Pāli commentators were concerned about the
14
sujātāya dinnaṃ madhupāyāsaṃ bhuñjitvā suvaṇṇapātiṃ nadiyā pavahetvā sāyaṇhasamaye
bodhimaṇdavaragato puratthimaṃ lokadhātuṃ olokento pi nisīditvā suriye dharamāne
yeva mārabalaṃ vidhametvā paṭhamayāme pubbenivāsaṃ anussaranto pi majjhimayāme
dibbacakkhuṃ visodhento pi paccūsakalasamantare paccayākārānaṃ sammasitvā
sotāpattimaggaṃ pativijjhanto pi sotāpattiphalaṃ sacchikaranto pi sakadāgāmi maggaṃ
sakadāgāmi phalaṃ anāgāmimaggaṃ anāgāmiphalaṃ sacchikaronto pi arahattamaggaṃ
paṭivijjhanto pi dhammacakkaṃ uppādeti yeva nāma. arahattaphalakkhaṇe pana tena
dhammacakkaṃ uppāditaṃ nāma. Buddhānaṃ hi sakalaguṇarāsi arahattaphal’ eva saddhiṃ
ijjhati.
15
tiṇṇaṃ saññojanānaṃ pahānāyāti sakkāyadiṭṭhivicikicchāsīlabbataparāmāsānaṃ pahānatthaṃ.
pacchimabhavikāpi bodhisattā ettheva saṅgahaṃ gacchanti. Apacchimabhavikā pana vipassanaṃ
saṅkhārupekkhaṃ pāpetvā ṭhapenti.
16
bodhimaṇḍaṃ āruyha mārabalaṃ vidhamanto paṭhamayāme pubbenivāsaṃ anussaranto
majjhimayāme dibbacakkhuṃ visodhento, pacchimayāme paṭiccasamuppāde ñāṇaṃ otāretvā
anekākāraṃ sabbasaṅkhāre sammasitvā sotāpattimaggaṃ pativijjhanto yāva anāgāmiphalaṃ
sacchikaronto pi uppajjamāno eva nāma. arahattamaggakkhaṇe uppajjati nāma.
arahattaphalakkhaṇe pana uppano nāma. Buddhānaṃ hi sāvakānaṃ viya paṭipātiyā iddhividdha
ñāṇadīnaṃ uppādanakiccaṃ n’atthi. Sah’eva pana arahattamaggena sakalo pi buddhguṇarāsī
āgato nāma hoti.
241
authenticity of the theory of four stages. There might have been certain dilemma in
agree on the view that all disciples should go through the four stages. But when it
comes to the question whether the Buddha went through this experience, Pāli
Thus, the four stages ultimately superseded the rest of the path schemes of
liberation in the later part of the Abhidhamma and commentarial period, and the
members as depicted in the Abhidhamma and the Pāli commentarial literature, which
5.3 The Four Samaṇas and the Four Stages: The Four Stages
Domain of Monastics
the arahat are all defined as samaṇas (ascetic). In the Mahāparinibbāna sutta, the
Buddha on his death bed addressing Subhadda, stated that first ascetic
(tatiyasamaṇo) and the fourth ascetic (catuttasamaṇo) are found only in Buddhism
and the other religious systems are empty of these ascetics. The reason provided was
because the eightfold noble path is absent in other religious systems. This discourse
does not give further details of these four types of ascetics. The Cūllasīhanāda sutta
of MN also repeated the same, that four types of ascetics are found only in Buddhism
and other religious systems are empty of these ascetics. What is meant by four types
242
Aṅguttanikāya that these four types of ascetics are defined as stream-enterer, the
once-returner, the non-returner, and the arahat respectively. I have argued in chapter
two and chapter four that the stage of stream-entry and the stage of non-return were
originally developed for lay people who were mentally not prepared to or certain
circumstances prevented them from renouncing family life, social ties and
responsibilities. To resolve this contradiction samaṇas are ascetics and not lay
historically and how the stages which were originally meant for lay followers
evolved to become prerogatives for samaṇa as well. This section aims to trace how
such transition took place in the history of Buddhism from the Pāli Nikāyas to the
Pāli commentaries.
Brāhmaṇas and Samaṇas. Despite differences in their ideology and ways of life, both
respect and honour (DN I 5; II 150; AN I 110, 173; Iti 64; Sn 189; Vin II 295).
Brahmanism is usually united under certain common views and values, despite the
fact that divergent views and interpretation existed among different Brahmins. On
the other hand, Śramaṇism came under several religious teachers, holding very
and practices united them under the banner of Śramaṇism. Among the major
differences in these two religions, one was household life and anchorite.
considered married life as a necessary part of a social orders (Gautama III 3, 36,
cited in Barua 1998: 247). The Vedic literature held the view that men’s offspring is
the immortality of men (prajātih amṛtaṃ), and those seeking immortality outside
marriage would become dust and perishes at the death (rājo bhūtvā dhvaṃsate)
(Barua 1998: 247). But Śramaṇism recommended life of renunciation of family and
social ties, and exclusive devotion to spiritual practices. They were also known as
bhikṣu because they sustained their lives by begging for their food and other
requisites from society. The Buddha was a member of the samaṇas, he was well
known among the people as recluse Gotama (samaṇa Gotama) (DN I 4, 87; Sn 91,
99; Vin I 8 etc.) In the Brahmajāla sutta of DN, the Buddha said ordinary people
would appreciate and praise him with regard to trivial matters on morality. The term
is mentioned that one who transgresses any of the four Pārājikā rules become a non-
(Vin III 68). Furthermore, in the Sāmaññaphala sutta, king inquired from the
the king referred to people who renounced family lives and social ties and became a
recluse. All these references seem to prove that the term samaṇa refers to a recluse
who renounces family life, social duties and functions. The rational behind the
Such equation of the four samaṇas with the attainment of four stages indicates
subtle changes in Buddhist soteriology that have taken place in the history of
244
Buddhism. The Nikāyas show that even early Buddhists have certain difficulty in
understanding the exact meaning of the four samaṇas. For instance, the Pāli Nikāyas
contain two different interpretations of the four samaṇas. The Saṅgīti sutta of DN
This discourse does not give any further details of the four samaṇas apart from
naming. In the Aṅguttaranikāya the list appears again but with detailed explanation.
And oh! Monks, how does a person become an unshakable ascetic? Here, oh!
monks, a monk who is a trainee. He dwells aspiring and practicing for the
unsurpassed security from bondage… And how does a person become a white-
lotus ascetic? Oh! Monks, a monk with destruction of the outflowing, having
realized the liberation of mind and liberation of wisdom without are devoid of
outflowing with higher knowledge, in this very life, and having attained it, he
dwells in it. But yet he has not experienced the eight emancipations through
body. It is in this way, a person becomes a white-lotus ascetic. And how does a
person become a red-lotus ascetic? Here, oh! Monks, a monk with destruction
of outflowing and having realized the liberation of mind and liberation of
wisdom, which are devoid of outflowing with higher knowledge. Having
attained he dwells in it. He dwells having experienced the eight liberation
through body.
And how does a person become a dedicate ascetic among ascetics? Here, oh!
monks, a monk uses a robe which has been specifically offered to him; seldom
that has not been specifically offered to him. He eats alms food, which has been
specifically offered to him. Seldom that which has not offered him specifically.
He uses accommodation, which has been specifically offered to him, seldom
that has not been offered to him specifically. He uses medicine, which is
offered to him specifically, seldom which has not been offered to him
specifically. Fellow monks, who dwell with him, behave with him in a pleasant
manner through body, speech and mind, seldom in unpleasant manner. They
present him gifts in pleasant manner, seldom in unpleasant manner. The
discomfort feelings arising from bile, phlegm, wind or from combination of
these, or discomfort arise from change of climate, or arise from careless
behavior or discomfort arises from an attachment do not arise in him. He
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Chapter 5:
Exaltation of the Four Stages in the Pāli Abhidhamma and
Commentarial Literature
The previous chapter has shown that each of the four stages to enlightenment has
been developed in response to different social and religious demands that arose in the
history of Buddhist thought, and towards the end of Pāli Nikāya period, the theory of
the four stages to liberation was formed. At present the Theravāda tradition
perceives the theory of the four stages through the lens of Pāli commentators, and
hence the four stages are understood as peak spiritual stages one sequentially attains
during the course of liberation. This chapter aims to examine the Theravāda
Pāli commentarial literature. This would broadly map the manner in which the theory
of the four stages and the theory of sequential development from the Nikāyas to the
Abhidhamma and Pāli exegetical literature developed. This chapter attempts to locate
certain possible factors which might have contributed to this development, and
examines how the concept of stream-enterer which originally was used to refer to a
lay Buddhist who has taken refuge in the Buddha, the Dhamma, and the Saṅgha, is
elevated to the status of a highly exalted spiritual saint in the process of Buddhist
literary history.
The question of the sequential attainment of the four stages was not discussed in the
Nikāyas. This has created certain dilemma in Abhidhamma and Pāli commentarial
221
literature regarding whether the four stages are sequential attainment or one could
The Pāli Ābhidhammikas and Pāli commentators have interpreted the four stages
as sequential attainment. However, they have not constructed the theory without
basis. They derived some nucleus of this interpretation from the Pāli Nikāyas. There
are some passages in the Nikāyas that at outer appearance seem to imply the four
stages as sequential attainment. But a careful examination reveals they are not
individual who could not attain arahatta in this lifetime. But he will not return to
This section examines this dilemma from both a historical perspective and later
interpretative perspective. From a historical perspective, this section argues that the
four stages are not sequential attainment insofar as the Pāli Nikāyas are concerned.
From the later interpretative perspective, it argues that the Pāli Ābhidhammikas and
the Pāli commentators did not consider there is a contradiction because they have
interpreted the stage of non-return differently than the Pāli Nikāyas. However, this
section argues the new interpretation of the stage of non-return is a deviation from
attainment along the path of liberation. This new interpretation first appeared in the
necessarily passes through the four stages to attain arahatta. This point is further
superseded by bhūmi, (Dhs. 60). The four stages are interpreted as the first stage
stage (catuttha-bhūmi) respectively.1 The terms phala and bhūmi are never employed
synonymously in the Pāli Nikāyas; while the term phala has been used with the sense
of consequence, benefits and fruits etc., the term bhūmi has been used with the sense
of stage. By the change of term, Ābhidhammikas might have wanted to convey the
commentators often relied on the Abhidhamma to interpret the teachings of the Pāli
Nikāyas. Although their main task was to clarify the doctrines embodied in the
discourses, the authors of Pāli exegetical literature often employed the Abhidhamma
Pāli commentators also interpreted the four stages as sequential attainment. For
instance, Buddhaghosa in the path of the Purification, subsumed the four stages
which is the culminating stage of spiritual path presented in the path of purification.
four stages. He writes that immediately after the stage of gotrabhū, there appears the
1
yasmiṃ samaye lokuttaraṃ jhānam bhaveti…diṭṭhigatānaṃ pahānāya paṭhamāya bhummiyā
pattiyā,..kāmarāgavyāpādanaṃ patanūbhāvāya dutiyāya bhummiyā pattiyā..kāmarāgavyāpādānaṃ
anavasesappahānāya tatiyāya bhummiyāpattiyā…rūparāga arūparāgamāna-uddhacca-avijjāya
anavasesappahānāya catutthāya bhummiyāpattiyā.
223
practice for the sake of attenuating greed and aversion to attain the second stage. He
brings forwards the faculties, the power and factors of enlightenment, he cultivates
them, then the path of once-return arises. Then he reflects on the defilements
abandoned, yet to be abandoned, the path he has arrived unto this stage and the
sitting, or another occasion starts the practice for the sake of the completely
abandoning of sensual desire and aversion and attains the third stage. The non-
returner after a short reflection on the defilements that are already abandoned, that
are yet to be abandoned, he starts the practice for the sake of complete abandonment
of desire for form and form realms, conceit, agitation and ignorance. He brings
forwards the faculty, the power, and factors of enlightenment, then the path of
arahatta manifests. After the manifestation of the path of arahatta, after a short
According to Buddhaghosa, the four stages are sequential attainment. One can
either attain them in the same sitting or in a wider dimension of time and space. Even
though he employed the term spontaneous born being (opapātiko) for non-returner,
and he further goes on to describes non-returner as one who attains Nibbāna there,
not subject to return from that world, but he does not see contradiction between the
stage of non-return and the stage of arahatta in human realm. This is because he
attain the stage of non-returner while in the human condition, still continues to
Dabba, a young boy, went to the Buddha for ordination. He attained all the four
At the moment of shaving first blade of hair, he was established in the stage of
stream-entry, at the moment of shaving second blade of hair, he was
established in the stage of once-return, at the moment of shaving third blade of
hair, he was established on the stage of non-return, and at the moment of
shaving fourth blade of hair, he realized the stage of arahatta. (Tha-A I 43)2
A similar dramatic narration is recorded in the same text with regard to Venerable
Saṅkicca (Tha-A II 255), and Sīvali who also went through all the four stages
young monk attained all four stages while a tiger was swallowing him:
While he was in the mouth of the tiger, he having suppressed the sensation
(pain) developed insight. When up to his ankle was being eaten, he attained the
stage of stream-entry, by the time up to knees were being eaten, he attained the
state of once-return, when up to navel part of the body was being eaten, and he
attained stage of non-return. When the heart was being eaten, he became arahat
together with analytical knowledge and uttered the joyful utterance. (DN-A III
748).3
The question is whether this understanding reflects the original implication of the
defined as one who does not return to sensual realm (kāmadhātu). Therefore in the
Nikāyas the non-returner is defined as not subject to turn back from that world
(anāvatti-dhammo tasmā lokā) and he takes birth in some higher realm known as
2
paṭhama kesa vaṭṭhiyā varopanakkhaṇe sotāpattiphale patiṭṭhahi, dutiyāya kesa vaṭṭhiyā
varopanakkhaṇe sakadāgāmiphale, tatiyāya kesa vaṭṭhiyā varopanakkhaṇe anāgāmiphale, sabba
kesānam pana voropanañ ca arahattaphaphala sacchikiriyā apacchā apure ahosi.
3
so byagghamukhe nipannova taṃ vedanaṃ vikkhambhetvā vipassanaṃ vaḍḍhento yāva gopphakā
khāditasamaye sotāpanno hutvā, yāva jaṇṇukā khāditasamaye sakadāgāmī, yāva nābhiyā
khāditasamaye anāgāmī hutvā, hadayarūpe akhāditeyeva saha paṭisambhidāhi arahattaṃ patvā
imaṃ udānaṃ udānesi.
225
The term opapātika was popularly known among contemporary Indians religious
that were prevalent among religious philosophers of that time. Among them, one
relates to existence of spontaneously born beings (DN I 27).4 In the Pāyāsi sutta, in
the debate of birth after death, the term is used to refer to the world beyond. The term
is also used several times referring to classes of beings in the Buddhist discourse.
Buddhism recognizes four classes of beings in accordance to the ways they were
born—egg born, womb born, moisture born and spontaneously born (DN III 230;
MN I 73; SN III 240). The frequent occurrence of the term in several contexts
implies that the term opapātika was more archaic and was a common term in Indian
The origin of the term opapātika can be traced in the Upaniṣadic literature. In the
Upaniṣadic literature, the term is employed to describe the liberated sages who are
united with the Brāhman, and never return from there. But in Buddhism it is used in
the Buddhistic framework, and is used to describe beings who would have birth in
the heavenly realm known as pure-abode, and he would attain perfect liberation there
once for all, but would continue further existence in the heavenly realms until
Buddhist practitioner, who did not succeed in gaining full enlightenment while in
4
atthi sattā opapātikā? n’atthi sattā opapātikā? atthi ca n’atthi ca sattā opapātikā?
226
human conditions. This position has strong support in the Nikāyas. In a passage in
the Citta-saṃyutta, Citta, a householder, when talking with his old friend Kassapa
about their spiritual achievement, says he has mastered four jhānas, and further says
It seems quite clear that a non-returner is an individual who has abandoned the
five lower fetters, but failed to gain arahatta before passing away. My argument is
further supported by several passages that show that the stage of non-return was
declared upon the death of those practitioners. In the Dhātu-vibhaṅga sutta of the
Majjhimanikāya, it is reported that Brahmin Pukkusāti met the Buddha. He could not
recognize the Buddha. They had a conversation on the dhamma and at the end of the
conversation; he recognized the Buddha and sought for the higher ordination. But
this was not given, as he did not have a bowl and robes. He went out to search for a
bowl and robes, but met unfortunate death due to the attack of a cow. When the
monks inquired about his fate after death, the Buddha said:
A similar declaration was made after the death of Brahmin Brahmāyu. He was savant
in the Vedic philosophy and history. He came in contact with the Buddha. The
Buddha exhorted him into dhamma through gradual talk followed by the doctrine of
four noble truths. He took refuge in the Buddha. When he passed away, monks
All these references imply that ‘non-returner’ refers to a person who could not attain
enlightenment whilst in the human form, but one who would attain final Nibbāna
without returning to human world. In the Pāli Nikāyas, most of the non-returners
Then the question is how the Pāli Ābhidhammikas and Pāli commentators
developed the theory of sequential attainment of the four stages without reference to
early Buddhist discourses. The answer seems obvious that they derived some nucleus
of this interpretation from the Nikāyas. There are quite a lot of passages, which at a
glance seem to imply that the four stages are necessarily sequential attainment. For
instance, in a number of discourses, the four stages are explained in relation to the
Oh! Monks, when these five faculties are completely developed, one becomes
an arahat. If they are weaker than that one become non-returner, if they are still
weaker than that one becomes a once-returner, if they are still weaker than that
one is a stream-enterer. (SN V 200; 2002, 205)5
This is further supported by the passages that relate the four stages to the threefold
gradual trainings, which state that stream-enterers and once-returners are perfect in
stronger support for sequential development of the four stages is the eradication of
5
imesam kho bhikkhave pañcindriyānam samattā paripūrattā araham hoti, tato mudutarehi anāgāmi
hoti, tato mudutarehi sakadāgāmi hoti, tato mudutarehi sotāpanno hoti.
6
idha bhikkhave bhikkhu sīlesu paripūrakāri hoti, samādhism mattasokārī paññāya mattasokārī. So
tiṇṇam samyojanānam parikkhayā kolankolo… so tiṇṇam samyojānam parikkhayā
rāgadosamohānam tanuttā sakadāgāmī hoti… sīlesu paripūrakārī hoti, samādhism paripūrakārī
hoti, paññāya mattasokārī. so pañcannam orambhāgiyānam samyojanānam parikkhayā
uddhamsoto hoti… antarāparibbāyī hoti. … sīlesu paripūrakārī hoti, samādhism paripūrakārī hoti,
paññāya paripūrakārī hoti, so savānam khayā anāsavam cetovimuttiom paññāvimuttim diṭṭh’eva
dhamme sayam abhiññā sacchikatvā upasampajja viharati.
228
the defilement to attain the four stages. The standard explanation of the four stages
is in relation to abandoning the list of ten fetters, which are identified as basic
that stream-enterers abandon first three fetters, once-returners further reduce greed,
hatred and delusion, non-returners abandon five lower fetters, arahats abandon all
out-flowing.
At first glance these passages seem to imply that the four stages are sequential
attainment. But when one examines these passages carefully these passages are not
sufficient to establish the theory of sequential development. If one takes this listing
to be sequential attainment then one has to accept sequential attainment of the five
sub-stages of non-return because there are many passages listing the five kinds of
Oh! Monks, when these five faculties are fully cultivated, one becomes an
arahat. If they are weaker than that, then he is one who attains Nibbāna in
between. If they are further weaker then is one who attains Nibbāna upon
landing. If they are further weaker then he is one who attains Nibbāna without
exertion. If they are further weaker, then he is one who attains Nibbāna with
exertion. If they are further weaker he is one who is bound upstream, heading
towards the Akaniṭṭha realm.. (SN V 205)
If the listing of four stages in relation to development of the five faculties can be
taken argument for sequential attainment of the four stages, then one has to accept
229
the five sub-stages of non-return are also sequential attainment which implies the
antarāparinibbāyī goes through the rest of the four stages. But such implication is
untenable, for one who attains Nibbāna in between is one who attains Nibbāna either
in between death and new birth, or in the immediate next birth before crossing half of
life time. In either case, he cannot go through the other four stages.
There are many passages in the Nikāyas that imply the four stages are not
sequential attainment so far as the Pāli Nikāyas are concerned, rather the four stages
mentioned:
oh! Monks, when the mindfulness on breath in and out is developed and
cultivated, seven fruits, seven benefits may be expected. What are the seven
fruits, seven benefits? One attains perfect knowledge early in this very life. If
one does not attain the perfect knowledge early in this very life, then one
attains final knowledge at the time of death. If one does not attain final
knowledge early in this life, or at the time of death, then with complete
abandonment of the five fetters pertaining to lower existence, one becomes one
who attains Nibbāna in between. If one does not become one who attains
Nibbāna in between, then becomes one who attains of Nibbāna upon landing.
If one does not become one who attains Nibbāna upon landing, then one
becomes one who attains Nibbāna without exertion. If one does not become a
one who attains Nibbāna without exertion, then one becomes one who attains
Nibbāna with exertion. If one does not become one who attains Nibbāna with
exertion, then one becomes one bound upstream, heading towards the
Akaniṭṭha realm. (SN V 310).7
Buddhist path would attain either one of two fruits; either perfect knowledge in the
very life, or if there is remnant of upādi, would attain the stage of non-return
(dvinnaṃ phalānaṃ aññataraṃ phalaṃ pāṭikaṅkhaṃ, diṭṭhe ‘va dhamme aññā sati
vā upādisesa anāgāmitā : DN II 314; MN I 62, 63, 481’ SN V 129, 236; AN III 82,
7
evaṃ bhāvitāya kho bhikkhave ānāpānasatiya evam bahulīkatattā sattaphalā sattānisaṃsā
patikaṅkhā. Katame sattaphalā sattānisaṃsā? Diṭṭheva dhamme paṭihacca aññam ārādheti. No ce
diṭṭheva dhamme paṭihacca aññam ārādheti, atha maraṇakāle aññam ārādheti, no ce diṭṭheva
dhamme paṭihacca aññam ārādheti, no ce maraṇakāle aññam ārādheti, atha pañcannam
orambhāgiyānam saṃyojanānam parikkhayā anatarāparinibbāyi hoti. upahaccaparinibbāyī hoti.
asaṅkhāraparinibbāyī hoti. sasaṅkhāraparinibbāyī hoti. uddhamsoto hoti akaṇiṭṭhagāmī.
230
143, V 108, It 39). These passages indicate the two stages were mutually exclusive
stages rather than two successive stages as described in the Pāli commentarial
literature.
When it comes to the co-relation between the threefold training and the four
stages, firstly, it is not explicit whether the stage of stream-entry and the stage of
once return are sequential attainment. What is emphasized here is the perfection of
morality. Secondly, the passage does not clearly affirm that an arahat has to go
through the first three stages. It only elucidates the level of spiritual attainment in
each stage; it does not deny the possibility that one can gain all these achievements
and directly becomes an arahat. The same argument is applicable to the four stages
in relation to the abandoning of the list of ten fetters. Though theoretically certain
fetters are assigned to each stage, it has not been explicitly mentioned that one has to
go through all the four stages. The possibility of one abandoning the first five fetters
become arahat directly through bypassing other stages is not ruled out in the
Nikāyas. Careful observation of the Nikāyas passages that deal with enlightenment
would elucidate that this implication is more likely to be true than otherwise. In the
Nikāyas, not even one case story is recorded of anybody going through all the four
monastic saṅgha, many of the passages are ascribed to authors referring to their own
achievement of liberation. Blackstone has pointed out that in the Therīgathā, out of
achievement of liberation and in the Theragāthā, out of 269 stories, 97 stories are
231
ascribed to authors referring to their own attainment (Blackstone 1998: 108). Among
the recorded stories, there is not a single story that shows any of the early monastic
members going through the four stages in the path to liberation in the sequential
order.
On the other hand, there are many references of practitioners first gaining the
dhammacakkhuṃ, then directly becoming arahat. For instance, the story of the first
five disciples of the Buddha attained arahatta directly after hearing second discourse
given by the Buddha (SN III 68). The Dīghavu was declared as stream enterer, but
after his death he was declared as non-returner (SN V 344). In the Theragāthā, it is
recorded that a Brahmin by the name of Sañjaya having listened to Buddha attained
the first stage, and just after ordination, he was said to have attained arahatta
(Psalms of Brethren, 52). In the Theragāthā and the Therīgāthā, five such similar
instances are recorded (Psalms of Brethren 133, 141, 183, 222, 224; Psalms of
In all these texts there are no mention of the intermediate stages. Furthermore,
there are many references in the Nikāyas, where one directly becomes an arahat,
without any of the first three stages. One fine example is the story of Bāhiya
Dārucīriya, after first meeting with the Buddha, he requested for ordination. He was
refused because he did not have bowl and robe ready with him. He went out to
search for bowl and robe; a cow killed him. After his death, the Buddha declared him
as one who is liberated (Ud 35). According to the commentaries, he neither met the
Buddha nor his disciples nor followed any Buddhist practice prior to his first
meeting. So there was no possibility for him to have gone through the first three
stages. There are also quite a few references of one becoming non-returner directly
232
after hearing a discourse. For instance, the story of Pukkusāti in the Dhātu-vibhaṅga
sutta of MN, and the story of Brahmāyu which have been cited above.
Another point to note is that the four stages are never referred to as four stages to
arahatta in the Pāli Nikāyas. The term bhūmi, which means stage, never appears with
the theory of the four stages in the Nikāyas. Rather, the term phala is employed to
define each stage in the Nikāyas. The term phala means fruit or benefit or
Ajātasattu inquired from the Buddha what the visible benefits of ascetic are, the term
used for benefits of ascetic life is sāmaññaphala, and the Buddha has enumerated a
list of benefits of ascetic life from mundane to supra-mundane. The discourse has not
mentioned stages to attainment of arahatta. In some passages, the term phala is also
(DN III 132). Sometimes phala is also combined with vipāka to denote consequence
of karma (DN I 27, 58; III 160). It is never employed in the Nikāyas with the sense of
stage. The four fruits are interpreted as stages only in the Abhidhamma and Pāli
exegetical literature. In the Nikāyas the theory of four fruits was intended to convey
the message to all practitioners and converts into Buddhism that they would enjoy
some benefits in accordance with the commitment and urgency they put into their
the benefits for anyone who practices the Buddhist teachings; either the fruit of
liberation here and now (diṭṭhe va dhamme nibbāna), i.e. fruit of arahatta, or fruit of
has been repeated either in the same format or with little variations in several other
whosoever practices the four-fold foundation of mindfulness at least for seven days
are bound to gain either the stage of arahatta in this life or the stage of non-return
(MN I 63).9 The omission of the first two stages in the passage quoted cannot be
overlooked. This omission did not occur once, and in many passages it is repeated
enlightenment, meditation in breathing in and out etc. (AN III 83, 143; SN V 129,
either attain Nibbāna in this very life, or if he fails, he will attain it at the time of
death, if he fails, he will attain one of the five types of non-returner (AN IV 70). In
SN, it is stated that one who cultivates the five spiritual faculties would gain
enlightenment in this very existence, or at the time of death, if not, at least he will
8
Maurice Walshe considers this discourse “as the most important sutta in the entire Pāli canon” (The
Long Discourses of the Buddha, 588). And Bhikkhu Nyanatiloka has asserted that this discourse is
the most important part of the whole Nikāya and the quintessence of the whole meditation practice
(The Path to Deliverance, 123). Today, in the Theravāda tradition, this is like a manual guide for
meditators. Anālayo in a comprehensive study of the discourse states that the path in the
Mahāsatipaṭṭhāna sutta in DN and Satipaṭṭhāna sutta in MN belongs to late period of Buddhist
history (Anālayo 2003: 16). Bhikkhu Sujato has a very good study on the historical development of
the Satipaṭṭhāna sutta. He has convincingly argued that the section of the Satipaṭṭhāna sutta
contents in the Samyuttanikāya is more archaic than schemes in two discourses (Bhikkhu Sujato
2012a: 118).
9
yo hi koci bhikkhave. ime cattāro satipaṭṭhāne evaṃ bhāveyya, sattavassānitassa dvinnaṃphalānaṃ
aññataraṃphalaṃpāṭikaṅkhaṃ diṭṭhevadhamme aññā, sati vāupādisese anāgāmitā.
234
gain one of the five types of non-returner (SN V 237).A close examination of these
i. In the early period of the Buddhism, only the stage of non-return and stage of
arahatta might have been considered as spiritual attainment. The stage of stream-
entry and once return were not yet considered as high spiritual attainment.
ii. These two were not necessarily sequential attainment, rather exclusive
attainment. Some would directly become arahats in this life, other would become
non-returners with some remnant of upādi, and they would attain final liberation
The first point accords with my argument in chapter 2 and chapter 4 that stream-
and developed receptivity towards Buddhist doctrine. The second point is further
Buddha, who established faith in the Buddha, the five categories would gain
returners and those who become arahats in this life (diṭṭh’ eva dhamme arahā) and
the other five categories would gain liberation hereafter (in other realms)— the five
envisage that the non-returners do not attain the arahatta in the human conditions.
Though the four stages are listed in sequential hierarchical order, it does not
imply that these have to be attained in sequential order. This is clear when one
10
ye keci bhikkhave mayi niṭṭhaṅgatā, sabbe te diṭṭhisampannā. tesaṃ diṭṭhisampannānaṃ
pañcannaṃ idha niṭṭhā pañcannaṃ idha vihāya niṭṭha.pañcannaṃ idha niṭṭhā—
sattakkhattuparamassa, kolaṃkolassa, ekabījissa sakadāgāmissa, yo ca diṭṭh’eva dhamme arahā.
Idha vihāya niṭṭhā—antarāparinibbāyī, upahaccaparinibbāyī, asaṅkhāraparinibbāyissa,
sasaṅkhāraparinibbāyissa, uddhaṃsotassa akaniṭṭhā-gamino
235
observes the listing of the Eight Noble Persons. In the stereotypical list, the four
stages precede the four respective paths. For instance the list appears as:
The stream-enterer, one who is practicing for realization of the stage of stream-
entry, the once-returner, and one who is practicing for the stage of once-return,
the non-returner and one who is practicing for the stage of non-return, the
arahat, and one who is practicing for the stage of arahatta. (AN IV 292; DN III
255).
If the four stages are considered as successive sequential attainment merely because
they are listed in sequential order, then one has to admit that one first becomes
stream-enterer, then practices for the attainment of the stage of stream-entry, etc.,
Oh! Monks, these ten persons are worthy of gifts, worthy of hospitality, worthy
of offerings, worthy of veneration, supreme field of merit for the world. What
ten? The Tathāgata, the Arahat, the fully Enlightened one, the solitary Buddha,
the one who has been liberated in both ways, the one who liberated through
wisdom, the body witness; the one attained view (right view), the one who
liberated through faith, the intellect pursuant practitioner, the faith pursuant
practitioner , and the one who has transcended the clan. (AN V 23)
If this hierarchical order is taken as sequential attainment, one has to admit that all
untenable. Hence, mere listing of the four stages in sequential order does not imply
that they are necessarily sequential stages to attainment of arahatta, rather they
Thus as far as the Pāli Nikāyas are concerned, the textual evidence shows that
the four stages were crystallized as a map of spiritual progress within the Nikāyas,
not rigid stages that everyone goes through in order to attain arahatta. Rather, it is
more plausible to assert that it is just a theoretical map, some may go through all
four, while some others can bypass either the first stage, or the second stage or all
236
first three stages and become arahats directly, depending on the individual’s spiritual
background. As Nathan Katz observes if the four stages are taken as sequential
attainment, there would be a theoretical discrepancy in the theory (Nathan 1986: 92).
If four stages are necessarily sequential development, then theoretically, there cannot
explicitly clear that non-returners are those who fail to attain arahatta in this very
life, but will attain it in his future lives in some heavenly realms.
The question is why the Pāli Ābhidhammikas and Pāli commentators interpreted
the four stages as sequential attainment. A possible reason may be because the
Ābhidhammikas tried to systematize the path to liberation. If the four stages are not
passages in the Nikāyas describing the four stages in relation to abandoning of the
list of ten fetters might have provided rationale for the Ābhidhammikas and Pāli
commentators to interpret the four stages as sequential attainment. But how did the
Ābhidhammikas and Pāli commentators have deal the discrepancy of the stage of
non-return and the stage of arahatta in this lifetime? Neither the Pāli Abhidhamma
nor the Pāli commentarial literature contain any discussion on this discrepancy. The
silence shows that the Pāli Ābhidhammikas and the Pāli commentators might have
understood these stages differently. One possible reason would be because in the
Abhidhamma the definition of the term “non-returner” has been changed from its
definition in the Nikāyas. According to Abhidhamma and the Pāli commentaries the
non-returner is one who abandons the five fetters. According to this interpretation,
one can attain the stage of non-return by abandoning the five lower fetters, and
continue to practice to attain the stage of arahatta. These stages were understood to
237
be meditative attainment and one could attain the four stages in the same sitting.
The Pāli Nikāyas show that in early Buddhism recognized very distinctively
different, path as yet valid paths to liberation. Bradley S. Clough in his book Early
convincingly argues that Early Buddhism prescribed diverse paths to arahatta, which
schemes was recognized as a valid path to liberation. The scheme of four paths and
four stages in relation to abandoning the list of ten fetters is just one of them. He
charges Buddhaghosa for superseding the diverse paths with a singular meditative
path that integrates several path schemes. However, a careful observation reveals that
schemes found in the Nikāyas, and the four stages together with four respective paths
constructed the peak of this monolithic path to arahatta. In generalizing the theory of
four stages, Ābhidhammikas might have encountered some problems, such as the
absence of the theory of four stages in the scheme of the path followed by the
11
This book basically deals with controversy on Samatha and Vipassanā meditations. He argues that
both were independently valid paths to liberation. But later tradition, i.e. Buddhaghosa constructed
singular path by combing Samatha and Vipassanā together.
238
Buddha as recorded in the Nikāyas. The Buddhist soteriological path schemes are
based on the fundamental assumption that the Buddha and his disciples attained
enlightenment through treading alone these path schemes. If one cannot establish this
assumption with Buddhist textual sources, then the authenticity of the scheme and
its capability of bringing forth liberation would be subject to doubt. Therefore, later
Buddhists always sought to find reference in early Buddhist sources for any new
Some Buddhist schools held the view the Bodhisatta also goes through the four
stages. The commentary to the Kathāvatthu ascribes this view to Andhaka and
Uttarapanthaka (Kv-A 178). The Theravāda tradition refutes this view and argues
that the theory of four stages is not applicable to the Buddhas. Their argument is that
the Buddhas follow a different path to liberation. They assert that there are three
distinct paths to liberation for the three categories of people: the path of the perfectly
interpreted the theory of the four stages as applicable only to the path of the
disciples, not the other two. The commentary to the Kathāvatthu states that the four
stages to liberation are not applicable to the Bodhisatta who strives for supreme
then there is no distinction between the state of Buddhahood and the state of stream-
enterer (Kv-A 174).12 Another commentarial passage further adds that the path of the
four stages. If one cultivates [other paths], the Bodhisatta would become a stream-
12
bhagavā sotāpanno ti buddhabhūtassa sotāpannabhāvo natthi paṭikkhipati.
239
However, Pāli commentarial literature is not unanimous on this point. Some Pāli
commentarial passages mention that the Buddha also undergoes the four stages. For
instance, in the commentary to the Aṅguttaranikāya the Buddha went through the
On the day of Vesak full moon, in the evening, having approached the root of
the great Bodhi tree, having discarded the forces of the evil ones, having
recollected past lives in the first watch of the night, in the second watch of the
night purified the divine vision (higher vision), and in the last watch of the
night having penetrated into the theory of twelvefold dependent arising,
realizes the path of stream-entry. This is known as arising. Thus, in the
moment of the stage of stream-entry, in the moment of the path of once-return,
in the moment of stage of once-return, in the moment of path of non-return, in
the moment of stage of the non-return is known as arising, in the moment of
path of arahat, it is called ‘arising, and at the moment of stage of arahatta, one
is known as arisen (awaken). Unlike disciples, knowledge of psychic powers
does not arise to Buddhas, but with the path of arahatta, the knowledge of
omniscience and all virtues appeared to him. (AN-A I 99).13
Having eaten the sweet porridge offered by Sujātā and having caused the
golden bowl to be carried away by the river, in the evening having gone to the
vicinity of the bodhi tree, looking around the element of world and being seated
dispelled the evil forces while the sun was up (before sun set). In the first watch
of the night, recollected the past lives of him, in the second watch of the night
purified the higher vision, in the last watch of the night, having penetrated into
the causes and conditions, penetrated the path to stream-entry, subsequently he
realized the stage of stream-entry, the path of once-return, the stage of the
once-return, path of the non-return, stage of the non-return, the path of
arahatta, until then it is known as arising of wheel of dhamma. In the moment
of arahatta it is called the wheel of dhamma has arisen. And for the Buddhas,
13
sāyaṇhasamaye visākhapuṇṇamāya mahābodhimaṇḍaṃ āruyha mārabalaṃ vidhametvā
paṭhamayāme pubbenivāsaṃ anusaritvā majjhimayāme dibbacakkhuṃ parisodhetvā
pacchimayāmasamantare dvādasaṅgaṃ paṭiccasamuppādaṃ anulomo-paṭilomato sammasitvā
sotāpattimaggaṃ paṭivijjhanto pi uppajjamāno vā nāma. sotāpattiphalakkhaṇe pi
sakadāgāmimaggakkhaṇe pi sakadāgāmiphalakkhaṇe pi anāgāmimaggakkhaṇe pi
anāgāmiphalakkhaṇe pi uppajjamāno va nāma. arahattamaggakhaṇe pana uppajjati nāma.
arahattaphalakkhaṇe uppanno nāma. Buddhānaṃ hi sāvakānaṃ viya na paṭipāṭiya
iddhavidhañāṇādīni uppajjanti sah’eva pana arahattamaggena sakalo pi
sabbaññutañāṇaguṇarāsi āgato nāma hoti.
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with the attainment of arahatta all the virtues arise simultaneously. (AN-A I
122)14
The abandoning of the three fetters means the abandonment of the self-view,
doubt and attachment to vows and rituals. Here, the Bodhisattas who are on the
final existence (pacchimabhavikā bodhisattā) are also included in the
classification (follow this method). Those who are not in the final existence,
having attained insight into equanimity of formation, stop there. (Pm-A I
271).15
Having arrived at the vicinity of the Bodhi tree, dispelling the evil forces (of
mind) in the first watch of the night recollected former lives, in the second
watch of the night purified the higher vision, the last watch of the night, having
access to knowledge of dependent co-arising, and having realized all
conditioned phenomena from diverse prospective, penetrated the path of
stream-entry,… until realization of stage of non-return, it is known as ‘being
arising’ in the moment of the path to arahatta, it is known as ‘arising’ and at
the moment of the arahatta, it is known as ‘ has arisen’. Unlike disciples there
is no appearance of knowledge of psychic power of the practice to the
Buddhas. All the heap of virtues of the Buddha appears simultaneously
together with the path of arahatta. (Iti-A II 82).16
answer. This shows that the Pāli commentators were concerned about the
14
sujātāya dinnaṃ madhupāyāsaṃ bhuñjitvā suvaṇṇapātiṃ nadiyā pavahetvā sāyaṇhasamaye
bodhimaṇdavaragato puratthimaṃ lokadhātuṃ olokento pi nisīditvā suriye dharamāne
yeva mārabalaṃ vidhametvā paṭhamayāme pubbenivāsaṃ anussaranto pi majjhimayāme
dibbacakkhuṃ visodhento pi paccūsakalasamantare paccayākārānaṃ sammasitvā
sotāpattimaggaṃ pativijjhanto pi sotāpattiphalaṃ sacchikaranto pi sakadāgāmi maggaṃ
sakadāgāmi phalaṃ anāgāmimaggaṃ anāgāmiphalaṃ sacchikaronto pi arahattamaggaṃ
paṭivijjhanto pi dhammacakkaṃ uppādeti yeva nāma. arahattaphalakkhaṇe pana tena
dhammacakkaṃ uppāditaṃ nāma. Buddhānaṃ hi sakalaguṇarāsi arahattaphal’ eva saddhiṃ
ijjhati.
15
tiṇṇaṃ saññojanānaṃ pahānāyāti sakkāyadiṭṭhivicikicchāsīlabbataparāmāsānaṃ pahānatthaṃ.
pacchimabhavikāpi bodhisattā ettheva saṅgahaṃ gacchanti. Apacchimabhavikā pana vipassanaṃ
saṅkhārupekkhaṃ pāpetvā ṭhapenti.
16
bodhimaṇḍaṃ āruyha mārabalaṃ vidhamanto paṭhamayāme pubbenivāsaṃ anussaranto
majjhimayāme dibbacakkhuṃ visodhento, pacchimayāme paṭiccasamuppāde ñāṇaṃ otāretvā
anekākāraṃ sabbasaṅkhāre sammasitvā sotāpattimaggaṃ pativijjhanto yāva anāgāmiphalaṃ
sacchikaronto pi uppajjamāno eva nāma. arahattamaggakkhaṇe uppajjati nāma.
arahattaphalakkhaṇe pana uppano nāma. Buddhānaṃ hi sāvakānaṃ viya paṭipātiyā iddhividdha
ñāṇadīnaṃ uppādanakiccaṃ n’atthi. Sah’eva pana arahattamaggena sakalo pi buddhguṇarāsī
āgato nāma hoti.
241
authenticity of the theory of four stages. There might have been certain dilemma in
agree on the view that all disciples should go through the four stages. But when it
comes to the question whether the Buddha went through this experience, Pāli
Thus, the four stages ultimately superseded the rest of the path schemes of
liberation in the later part of the Abhidhamma and commentarial period, and the
members as depicted in the Abhidhamma and the Pāli commentarial literature, which
5.3 The Four Samaṇas and the Four Stages: The Four Stages
Domain of Monastics
the arahat are all defined as samaṇas (ascetic). In the Mahāparinibbāna sutta, the
Buddha on his death bed addressing Subhadda, stated that first ascetic
(tatiyasamaṇo) and the fourth ascetic (catuttasamaṇo) are found only in Buddhism
and the other religious systems are empty of these ascetics. The reason provided was
because the eightfold noble path is absent in other religious systems. This discourse
does not give further details of these four types of ascetics. The Cūllasīhanāda sutta
of MN also repeated the same, that four types of ascetics are found only in Buddhism
and other religious systems are empty of these ascetics. What is meant by four types
242
Aṅguttanikāya that these four types of ascetics are defined as stream-enterer, the
once-returner, the non-returner, and the arahat respectively. I have argued in chapter
two and chapter four that the stage of stream-entry and the stage of non-return were
originally developed for lay people who were mentally not prepared to or certain
circumstances prevented them from renouncing family life, social ties and
responsibilities. To resolve this contradiction samaṇas are ascetics and not lay
historically and how the stages which were originally meant for lay followers
evolved to become prerogatives for samaṇa as well. This section aims to trace how
such transition took place in the history of Buddhism from the Pāli Nikāyas to the
Pāli commentaries.
Brāhmaṇas and Samaṇas. Despite differences in their ideology and ways of life, both
respect and honour (DN I 5; II 150; AN I 110, 173; Iti 64; Sn 189; Vin II 295).
Brahmanism is usually united under certain common views and values, despite the
fact that divergent views and interpretation existed among different Brahmins. On
the other hand, Śramaṇism came under several religious teachers, holding very
and practices united them under the banner of Śramaṇism. Among the major
differences in these two religions, one was household life and anchorite.
considered married life as a necessary part of a social orders (Gautama III 3, 36,
cited in Barua 1998: 247). The Vedic literature held the view that men’s offspring is
the immortality of men (prajātih amṛtaṃ), and those seeking immortality outside
marriage would become dust and perishes at the death (rājo bhūtvā dhvaṃsate)
(Barua 1998: 247). But Śramaṇism recommended life of renunciation of family and
social ties, and exclusive devotion to spiritual practices. They were also known as
bhikṣu because they sustained their lives by begging for their food and other
requisites from society. The Buddha was a member of the samaṇas, he was well
known among the people as recluse Gotama (samaṇa Gotama) (DN I 4, 87; Sn 91,
99; Vin I 8 etc.) In the Brahmajāla sutta of DN, the Buddha said ordinary people
would appreciate and praise him with regard to trivial matters on morality. The term
is mentioned that one who transgresses any of the four Pārājikā rules become a non-
(Vin III 68). Furthermore, in the Sāmaññaphala sutta, king inquired from the
the king referred to people who renounced family lives and social ties and became a
recluse. All these references seem to prove that the term samaṇa refers to a recluse
who renounces family life, social duties and functions. The rational behind the
Such equation of the four samaṇas with the attainment of four stages indicates
subtle changes in Buddhist soteriology that have taken place in the history of
269
stream-entry. And among the four factors of stream-entry, resolute faith in the
Buddha, Dhamma, and Saṅgha is the most essential requirement, while the fourth
factor, morality, can be supplementary. The first three are constitutive of Buddhism as
a religion. I refute the view that stream-enterer is a highly advanced spiritual saint and
argue that in the original formation of the concept, neither meditation nor direct
experience of the doctrine of soullessness was required to attain the stage of stream-
entry. I argue that abandoning the three fetters referred to intellectual conviction of a
person regarding the validity of the Buddha’s enlightenment and the Dhamma and the
Saṅgha. The eradication of the self-view associated with the attainment of stream-
entry does not refer to an actual experience of reality, but rather it is an intellectual
means the abandoning of the state of uncertainty, indecision and reluctance towards
Buddhism, and finally out of logical reasons and conviction the making up of one’s
mind firmly about the Buddha, Dhamma, and Saṅgha and committing oneself
wholeheartedly. The eradication of the third fetter referred to one’s trust in the
With regard to the ethical standard for stream-enterer, in contrast to the traditional
original formation of the concept, ethical perfection was not required, but aligning
one’s life with morality was encouraged. Though a stream-enterer was not subject to
serious moral deterioration such as committing crimes like killing one’s father, killing
one’s mother, killing an Arahat, causing schism in the Saṅgha and wounding the
270
Buddha with ill intention, he is fallible of minor moral breaches. However, stream-
enterer maintains honesty and sincerity. Thus any Buddhist laity, not to mention
monastics, can meet the ethical standard of a stream-enterer described in the early
I have come to this conclusion through the analysis of the stage of stream-entry
and the case history of stream-enterers recorded in the Pāli Nikāyas that appear
outside the standardized elaboration of the theory of the four stages to liberation
description in the Pāli Abhidhamma and Pāli commentarial literature. This conclusion
Then the chapter examines the development of the elaborate and meticulous
descriptions of the concept of stream-entry from its original formulation in the early
discourses in the Pāli Nikāyas to the Pāli Abhidhamma and the Pāli commentaries. I
argue that the stage of once return was originally a sub-stage of stream-entry and later
the stage of stream-entry and the stage of once return in the Pāli Nikāyas. Firstly,
and the stage of once-return, particularly between the stages of ekabīja and the stage
between the ekabīja and once-returner has never been drawn out. It is only in the Pāli
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commentarial literature a distinction between the two stages is provided which shows
that the distinction between the stage in the Pāli commentarial interpretation is not
coherent. Secondly, in terms of ethical standard, the gap in spiritual insight between
distinction is shown in the standard version in terms of attenuating greed, hatred and
delusion, the precise distinction between greed, hatred and delusion of the stream-
enterer and once-returner is not drawn out, only the distinction between a worldling
shown.
The chapter ends with the investigation of the question of retrogression from the
stage of stream-entry. I point out that the question of retrogression from the stage of
stream-entry is never raised in the Nikāyas. It is only in the Abhidhamma period that
the question of retrogression arose. While the question of the retrogression of the
stage of arahatta has been subjected to huge debates and counter debates, the
less debate. Most of the Indian Buddhist schools have agreed that one does not
retrogress from the stage of stream-entry. It is only the Mahāsaṅghika-s who proposed
a different stance on the question. This school proposed that one is subject to
retrogression from the stage of stream-entry, but not from the stage of arahatta. The
Pāli Ābhidhammikas and the Pāli commentators accepts the view that there is no
retrogression from the stage of stream-entry. But when one makes a critical
In chapter 3, I examine the origin and the development of the stage of non-return.
It lays out the theory of two stages of Nibbāna and the stage of non-return. This
chapter demonstrates the earliest distinction between the stages of non-return and the
arahatta was based on the exhaustion and remnant of upādi. This chapter
demonstrates that the theory of two stages of Nibbāna is constructed on the basis of
Nibbāna with complete exhaustion of upādi. I argue that if one looks at the earliest
distinction of stage of arahatta and stage of non-return through the Pāli commentarial
karmic remnant that may not really affect liberation, but it would take further time to
exhaust. Therefore, in the earliest stage, the distinction between the stage of non-
return and arahatta was very narrow. Then the chapter investigates the role of jhānas
established based on the two interpretations given in the Pāli Nikāyas; firstly, the
rebirth in the Suddhāvāsa requires jhānic attainment. The Pāli Nikāyas sufficiently
clarify that one may take rebirth in the suddhāvāsa with jhānas attainment even
273
without abandoning the defilements (five higher fetters), but without jhānas
attainment, and only with abandoning the defilements, one cannot be reborn in the
Suddhāvāsa. Secondly, by the time one attains the stage of non-return, one could have
already abandoned the five lower fetters, which includes the abandoning of the
the four stages and the concept of arahat without jhānas attainment (sukkhavipassako
arahat). On the one hand, the Pāli commentators agree that the four stages are
sequential, which implies necessary attainment of jhānas, on the other hand, they
accept the way of arahatta without jhānas attainment (sukkhavippassako). Then the
question is, how to become a non-returner without jhānas attainment? The Pāli
abandoning of the five lower fetters, which can be abandoned only through vipassanā
meditation without samatha meditation. Then the question arises as to what happens
to a non-returner after death, if he fails to attain arahatta before his death. Some
commentators also admitted this contradiction, and proposed the solution that non-
returner in the scheme of sukkhavipassaka who attains jhānas, not through samatha
but through vipassanā. But how jhānas are developed through insight is not clear and
the arguments given by commentators are not very convincing. This study proposes
that samatha meditation is an integral part in the theory of four stages to liberation.
Pāli commentaries explain that as one attains Nibbāna through effort and one attains
Nibbāna without effort. What is meant by with effort and without effort is not clear in
the Nikāyas. The Nikāyas in different contexts explain the two terms, as one who
attains Nibbāna through the attainment of jhānas and who one attain Nibbāna without
attainment of jhānas. The Pāli commentaries also explain these two categories in a
similar manner. Then the question is how could one be reborn in the Suddhāvāsa
without having attained jhānas? This question is not clarified in the Pāli
commentaries. So I argue that it is more likely that the two categories of non-returners
referred to those who attain Nibbāna with karmic remnant and those who attain
antarāparinibbāyī is not clarified in the Nikāyas. The lack of clarity has created huge
debates in the later Buddhist schools of thought as to the exact implication of the term
birth or before passing half of his lifespan in the Suddhāvāsa and thereby has rejected
its cessation, i.e., the attainment of Nibbāna. The device to attain this state is
required. In order to facilitate this commitment early Buddhism prescribes the ascetic
affairs in the family and society. Early Buddhism viewed social affairs not only as an
obstruction to meditation but also a source of developing craving that prolongs one’s
attained in this very life, not in some distant time and space. So heart of the early
Buddhist soteriology was monasticism, which correlates with ascetic way of life.
had very little relevance to the majority of common people who lived with mundane
affairs, and who were not willing to choose a monastic or ascetic life style. Rather
they sought mundane success and good rebirths after death. Indeed, there was a wide
gap between the early Buddhists monastic lifestyle and the choice of the common
people. Therefore, Buddhism was a religion of a small group of spiritual elites who
were willing and able to cut off from family and social affairs and directed all their
So in the early period Buddhism had very limited relationship with society.
People in society provided for food and other basic requisites to the monastics, in
276
return monks and nuns gave them some simple discourses, mostly dealing with
morality. The people in society happily accepted such discourses, but this does not
accepted social culture to provide food and requisites to people who renounced
mundane affairs for religious pursuits. In other words, there was no Buddhist
community of laities. Soon early Buddhists realized the need for expanding
Buddhism and having a community of lay Buddhists for the long-time sustainability
of Buddhism. I argue that the stage of stream-entry was created by early Buddhist
monastics to narrow down the gap between the early Buddhist goal and the
expectation of the common masses in society. Through the creation of this stage
Buddhists hoped to harmonize two polar opposites—the ascetic ideal and the
expectations of great masses of people in the society. The ascetic ideal has never been
a choice of many in any given human history rather it could appeal to only a small
the creation of the stage of stream-entry to cater for laities. In this creation Buddhists
very skillfully syncretized spirituality and mundane affairs, by shifting final liberation
It is further argued that in the process of the creation of the stage of stream-entry
society. The fear of birth in lower realms and animal realm was a psychological
concern of most people. Therefore the stage of stream-entry was created to assure
people that they could enjoy material prosperity, high re-births and that they would
not be reborn into lower existences, hells and animal realms with final liberation in a
277
distant time and space. The stage of stream-entry provides incentives to the laities to
monastics and laities. They had two different goals. The monastics were exhorted to
strive for liberation in this very life, while laities were urged to develop resolute faith
in the Buddha, the Dhamma, and the Saṅgha, which are constitutive of Buddhism as a
religion. In the original formulation of the concept, stream-enterer was a lay Buddhist
as one who entered into the stream of Buddhist community by accepting the
authenticity of the Buddha, Dhamma and Saṅgha. Thereby the Buddhist religious
elitism developed, and they distinguished themselves from others, i.e., non-Buddhists.
However, Buddhism has never moved from its original essence, Buddhism promised
the Buddhist lay-followers liberation from saṃsāra in a distant time and space
allowing them to fulfill their mundane expectations before getting ready to abandon
everything and strive for arahatta. But Buddhists in India seem never to have
like the Abhidhamma and Pāli commentarial literature to support that Buddhism was
involved with birth, marriage etc., which are the defining characteristics of communal
deal with the stage of stream-entry and stream-enterers scattered in the Pāli Nikāyas
and through logical induction. Firstly, the descriptions of the stage of stream-entry in
the Nikāyas in terms of faith, ethical standard and intellectual understanding, stream-
278
enterer are closely correlated with the concept of Buddhist lay community (upāsaka
and upāsikā). Secondly, the assurances given to a stream-enterer such as not taking
rebirth in a lower existence (realm of hell, realm of ghosts, realms of animals), but
either in the realm of human or deities and when born among human beings, would be
reborn in high and wealthy family and would enjoy great material comforts, is
incompatible with the early Buddhist goal of liberation from saṃsāra as soon as
possible. The dissidents of my argument have to prove why these mundane benefits
Then I show in a sequential order that after the stage of stream-entry, the stage of
non-return was created. It is argued originally that the stage of non-return was created
to account for spiritual progress of laities. I argue that within the lay community there
might have been people who were serious in practice, but either they did not want to
become monastic members or circumstances did not allow them to renounce home.
Buddhists had to recognize their progress in spiritual path. The early Buddhists were
perhaps hesitant to say that laities could attain arahatta while living at home with
mundane affairs. If they declared that people could attain arahatta while staying at
home with mundane affairs, then it would breach the hierarchy between monastics
and laities, and this would not provide any incentive for one to take up monastic life.
arahatta.
returners recorded in the Nikāyas and the descriptions of the stage of non-return given
in the Nikāyas. Firstly, most of the case histories of non-returners recorded in the first
279
four Nikāyas are laities. Secondly I have cited statements in the Nikāyas that provide
sufficiently clear implication that in the early stage of Buddhism, the stage of non-
return was the highest spiritual ideal a laity could aspire for while male and female
With regard to the stage of once-return, I argue that this was the last to be added
in the theory. Originally this stage was a sub-stage of stream-entry, not a distinct
stage. This argument is already established in chapter 2. In this chapter, I look further
into the question why this stage was later singled out as a separate stage. My
investigation of the question ends without any concrete conclusion because of the
four stages to liberation. But it is very difficult to come to any concrete conclusion on
the issue with the available textual sources. I argue that though the views of
Benimadhab Barua (1988) and Peter Masefield (1986) that the theory of four stages to
way creditable, one has to be very cautious in asserting such concrete conclusion as
Then I argue that with the increase of lay followers and supports from the laities,
there was a dynamic transformation among the monastic Saṅgha. The emphasis
shifted to preserving, learning, memorizing and propagating the dhamma from the
emphasis in practice. Due to the laxity on the practice among the monastics, the
this life became difficult, there developed the necessity to provide an alternative
theoretical framework to account for their practice. Finally, the monastics were also
brought under the theory of the four stages to liberation. To arrive at this conclusion, I
have cited sufficient passages from the Nikāyas and the Pāli commentaries, which
shows that with the instutionalizing of Buddhism as a religion and increase of lay
number of secondary sources by modern scholars on Buddhist Studies that show the
due acknowledgement.
Then I proceed to examine an important question, when exactly the theory of four
that it is certainly difficult, if not impossible, to trace the exact period of the
emergence of this theory. The difficulty lies in the nature of the Buddhist texts. A
precise periodization of the discourses in the Nikāyas is very difficult as these texts
went through the process of many later editorial processes. Though most of the
contents of these discourses can be traced to the Buddha and his immediate disciples,
one cannot deny the fact that there certainly were later changes. Apart from textual
sources, there are no available archeological or other evidence that could shed
anylight into the question. My preliminary conclusion is that the theory of four stages
within a few centuries after the Buddha’s passing. My conclusion is based on the
281
the early stratum of Buddhist literature. In these discourses, the theory of the four
sutta, can be dated towards the last period of Buddha’s life. In these discourses, the
Abhidhamma text believed to be composed three centuries after the passing of the
Buddha, contains a full-fledged theory of the four stages. So this shows, by this time,
stages to liberation in the Pāli Abhidhamma and the Pāli commentaries. The first
question dealt with in this chapter is whether the four stages are sequential attainment
or one could bypass some stages and attain arahatta directly. I argue so far as the Pāli
Nikāyas are concerned; it is untenable to think that the four stages are necessarily
sequential attainment, rather all textual evidence slant towards the conclusion that the
four stages function as theoretical spiritual cartography. One may go through all the
four stages or one may bypass some of the stages and become arahat directly. There
are no passages in the first four Nikāyas that clearly show one has to go through all
the four stages, nor are there any case histories of anybody going through all the four
stages. The concept of sequential attainment of the four stages was developed in the
Abhidhamma and the Pāli commentarial literature. I argue that the Pāli commentarial
interpretation of sequential attainment of the four stages deviated from the Pāli
i. The Pāli commentators have not supported their thesis with any reference from
ii. I show that there is sufficiently clear evidence that shows non-returners attain
iii. I demonstrate that there is discrepancy between the Pāli Nikāyas and the Pāli
Then I discuss the formation of the four stages as monolithic path to liberation in
Theravāda Buddhism. I argue that the Pāli Nikāyas contain heterogeneous paths to
divergent soteriological paths but in the Abhidhamma and the Pāli commentaries,
for the sāvakas. To this extent agrees with the findings of Clough (2012), but my
conclusion deviates from Clough’s assertion that it was Buddhaghosa who formulated
the monolithic path. I argue that the nucleus of the monolithic path has already
by integrating all other paths into the four stages. I argue that the Pāli commentaries
liberation, some Buddhist schools even tried to interpret it was not just a monolithic
path to liberation for sāvakas, the bodhisattas also go through the four stages. I
further show that some Pāli commentators and sub-commentators also supported such
283
a view. I argue that inserting the theory of the four stages in the enlightening
Then I investigate the question whether the four stages are supramundane
brings me to the conclusion that neither the stage of stream-entry nor the stage of
supramundane state and the superhuman state in the Nikāyas. The supermundane state
refers to the world transcending state, i.e., not related to mundane affairs. It is defined
least the attainment of jhānas (Vin III 91). But I demonstrate as far as the Nikāyas are
attained jhānas. Those who have resolute faith in the Buddha, the Dhamma and the
Furthermore, I argue the Ābhidhammikas and Pāli commentators have interpreted the
stage of stream-entry and stage of once return as supramundane stages. With this new
development, the gap between a stream-enterer and an arahat, which was very wide
in the Nikāyas, became very narrow. On the other hand, stage of stream-entry was
made to recede further and further from ordinary people in the society. My argument
is that this new development occurred because of the gradual decline of spiritual
non-returners and arahats. In this chapter, I further show that in the process of this
development, some implicit attempts were made to exclude laities from the
The four stages went through a radical transformation in the Abhidhamma. In the
process of exaltation of the four stages to peak spiritual attainments, first attempts
were made to exclude laities from attainment of the four stages. My arguments are
early Buddhism always referred to a renunciant. The term was never employed to
describe a lay follower. I argue the identification of the four kinds of samaṇas with
respective attainment of the four stages reveal an inner tendency among monastic
returner, non-returner and arahant with the community of noble disciples (sāvaka-
saṅgha) who are objects of veneration by Buddhists. Though Saṅgha is a broad term,
which can imply any organization or community, it is quite certain that the term
Saṅgha in the scheme of three refuges refers to monastic Saṅgha exclusively. So the
together with the four respective paths reveal a gradual tendency to exclude laities
from the scheme of the attainment of the four stages. However, I admit, the blame
cannot be put entirely on the Pāli commentators because the nucleus of this trend is
continued and reached its height in the Visuddhimagga. In the Visuddhimagga, the
the four paths and the four stages consisted of the seventh stage, the wisdom and
vision (ñāṇadassana visuddhi), which is the peak of spiritual path according to the
stream-enterer already entered into Nibbāna, though not firmly established there yet.
receded further and further and they came to be viewed as lofty spiritual attainments.
With this development, not only laities lost hope to attain these stages in one lifetime,
even monastics lost hope to attain these stages in one lifetime. Therefore, there was
developed the concept of worldling monastics. I argue that the original definition of
the term worldling (puthujjana) was not applicable to monastics. However, in the
later Buddhist literature, the definition of the term was widened to include monastics.
Furthermore, I demonstrate that in the process of the exaltation the four paths and
the four stages became a single moment, i.e., one can attain all the four paths and the
four stages in a single sitting. I conclude that this is a deviation from the Pāli Nikāyas.
I have shown in the Nikāya the four paths and the four fruits represent the whole
transcends sensual pleasures and all other forms of attachments, and becomes an
theoretically there is no possibility of having eightfold Saṅgha, since, firstly, the path
286
is a just a mind moment, it is spurious to identify one as candidate for stage and
worthy of honour etc., just for one moment; and secondly there could not be any
In conclusion this study shows the theory of four stages developed over time and
period.
287
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