by Guan Zi
…this posture should be calm and dignified, but not prideful and stiff, putting the ego aside and being open to the guest. In both meditation and welcoming guests, the mind should also be bright, open, and attentive (internally and singularly attentive for the case of Daoist meditation). Guests are not welcomed ceremoniously with dull and lethargic minds, nor inattentive minds.
The line preceding this also suggests a stable and centered posture, not leaning or asymmetrical: “Left, right, front, and back, (running) full circle, they return to the place (at the center)” (line 201).
In addition to this early description of physical positioning, this section offers what may be the earliest description of mindfulness, or “inner observation (nei guan)” in Daoist literature. Lines 196-200 instruct:
By rejecting what is close and chasing after what is far, how can one but squander their power?
Thus it is said: “Desiring to take care of myself, I must first know my true inner state, and become acquainted with the universe by examining within myself.”
In this way, one can know the image, thereby knowing the tendencies of their true inner state.
Knowing the tendencies of their true inner state, they will know how to nourish life.
Notably, the focus of this excerpt is a quote (“thus it is said…”) from an earlier source, one which was either an early version of Lao Zi’s chapter 47, [28] or likely to have influenced it.
Also important is the Bai Xin ’s early mention of the cultivation and preservation of “destined life-force (ming)” and “pure nature (xing).” The cultivation of xing and ming plays a central role in later Daoist internal practices, and was mentioned early on in Zhuang Zi’s (circa 350 BC) parables and fictional discourses. Whereas Zhuang Zi mentions xing and ming as important factors in the development of a Sage, the Bai Xin differs in its more direct instructions for cultivating xing and ming. Given that Zhuang Zi never provides much in the way of defining xing and ming, or methods focused on their cultivation, it would appear that these topics were already understood by his contemporary audience, and so did not need reiterating. There may have been even earlier philosophical texts that would have shown the introduction of xing and ming cultivation into the cultural sphere at the time, which were lost, tragically, to the Qin Dynasty book burnings of 213 BC. Thankfully, however, the proto-Daoist Guan Zi texts can provide a clear example of these early cultivation practices, and thus help to trace their influences to writings from this era.
Xin Shu Shang and Xin Shu Xia
(Art of the Heart-Mind, upper and lower volumes)
The Xin Shu Shang illustrates the symmetry between methods of ruling the kingdom, and methods of cultivating the self. This connection is considered, by Daoist initiates, an esoteric undertone of the Dao De Jing , emphasized in Heshang Gong’s commentary around 200 AD. Scholars have long argued that such connections are largely imagination and fancy. The Xin Shu Shang , however, makes very clear that this metaphor had been a part of the proto-Daoist tradition since at least the time of Zhuang Zi. The opening lines of the Xin Shu Shang read:
In the body,
The heart-mind holds the throne of the ruler.
The nine apertures hold offices
Of various public servants.
When the heart-mind remains with Dao,
The nine apertures act reasonably;
When desires and euphoric feelings are plentiful,
The eyes don’t see appearances
And the ears don’t hear sounds.
Thus it is said: When those above lose the Way,
Those below neglect their duties. [29]
This connection is again made clear in lines 41-42:
When scattered, it is as though a rebellion rises up within you. When calm and still, order naturally arrives.
Force cannot widely establish such order.
Wisdom cannot formulate all strategies.
As stated in my comments on the opening lines of Xin Shu Shang :
What the Xin Shu Shang immediately reveals about the Dao De Jing , is that the Sage is not only a wise counsel to the nation’s presiding authority, but is also within, guiding the ruler – the heart-mind – towards sovereignty over “all under Heaven” and “the myriad things” – ie., the senses, emotions, desires, stress, impulses, and anything else which must be stabilized in order to preserve inner unity. When these things are disordered, confusion reigns, and the sovereignty of the heart-mind is imperiled. The Sage is to the ruler what the spirit’s illumination is upon the heart-mind. She brings clarity, perception, and peace to the ruler. To invite the Sage, the ruler must first become stable and orderly, kind and genuine. Then the Sage will find it safe to convene with him, seeing that the ruler is capable of giving up tyrannical power and instead following Dao. The art of the heart-mind is not simply a way to find peace, but a way to bring forth the spiritual intelligence – the Sage.
The Yellow Emperor’s Classic on Internal Medicine, Plain Questions (Huang Di Nei Jing, Su Wen) contains, perhaps later, [30] expansions of the administrative metaphor found in the Xin Shu Shang . For example, in chapter eight of this text we find a more detailed illustration of the Xin Shu Shang ’s opening lines:
Qi Bo replied…
The heart holds the office of the ruler;
It brings forth spiritual intelligence. [31]
The lungs hold the office of the grand tutor;
They bring forth order and moderation.
The liver holds the office of the general;
It brings forth ambitions and planning.
The gallbladder holds the office of the rectifier;
It brings forth decisiveness.
The pericardium (enclosure of the heart) holds the office of minister and envoy;
It brings forth joy and pleasure.
The spleen and stomach hold the office in charge of grain storage;
They bring forth the five tastes (flavours).
The large intestine holds the office of transportation and distribution;
It brings forth change and transformation.
The small intestine holds the office in charge of receiving bounty;
It brings forth things which have been transformed and processed.
The kidneys hold the office in charge of increasing power;
They bring forth ability and expertise.
The triple burner holds the office of regulating channels;
It brings forth pathways for water.
The urinary bladder holds the office of regional administrator;
Bodily fluids are stored in it, and when their qi has been transformed, they are brought forth.
All of these twelve offices must not lose their connection to each other.
Thus, when the ruler is enlightened, the subordinates are peaceful.
Cultivating life in this way, longevity ensues
And until the end of the era, there will be no danger.
Thereby all under heaven will greatly flourish.
If the ruler is not enlightened, the subordinates are endangered.
They seal up the paths of communication, and the body is greatly injured.
Cultivating life in this way brings disaster.
Ruling the world in such a way endangers the ancestral heritage.
Be careful of this! Be careful of this! [32]
As the heart-mind, which also houses the spirit, brings peace to the body’s subordinate organs and functions, the art, or method, of the heart-mind is not only for the benefit of the mind, but also to generate the complete harmony of the physical and spiritual self. It is a method of ruling the body through the spirit. By dissolving internal forces that can destabilize the spirit, for example the energy of anger and its ability to wrest decision making power from the spirit, practices in the Xin Shu aid in re-establishing homeostasis and thereby preventing myriads of illnesses. Given that Classical Chinese Medicine rightfully held prevention as superior to all other forms of treatment, the art of the heart-mi
nd was duly revered as a deeply profound and enriching method of preventative health-care.
It should be noted that the modern equivalent term for xin shu ( 心 術 ) is xin fa ( 心 法 ). The shared meaning between shu and fa is method, or technique, while shu also means skill and art, and fa also means law, principle, and dharma. Fa appears in the titles of a few other books in the Guan Zi, for example “Principles of War” (Bing Fa) and “Principles of Law” (Fa Fa).
The commentary included in the Guan Zi as part of the Xin Shu Shang offers a number of clarifications of Daoist concepts, such as the relationship between Dao and De, and the interchangeable use of Virtue (De) and attainment (de).
Virtue is the abode of Dao.
When things attain (Virtue), they live.
Being alive, they can know the office of Dao’s essence.
Thus, Virtue (De) also means “attainment (de).”
As for this attainment, it is called “attaining the causality.”
The effortlessness of this (causality) is called “Dao.”
The abode of Dao is called “Virtue.”
Thus, between Dao and Virtue, there is no space.
For this reason, it is said “they are not separate.”
(XSS 113-121)
That such an early commentary on the Xin Shu Shang exists shows its popularity at the time. Commentaries are most often written when a text has reached a considerable audience and thereby generated enough discussion that someone more familiar with the subject eventually seeks to address this audience, especially when that audience has spread beyond the reach of those immersed in the traditions from which the teachings arose. For example, detailed commentaries on the Dao De Jing did not appear for nearly 500 years after it was written, and commentaries on the Huang Di Nei Jing did not appear for nearly 1000 years after it was written, [33] despite the interest and questions that these texts were sure to have inspired.
The Xin Shu Shang ’s renown may also be evident in the writing of Confucian scholar Xun Zi (313-238 BC), who shows a great deal of influence from Daoist thought, though he is also critical of Lao Zi. [34] In his chapter “Removing Obstacles,” (c. 250 BC), Xun Zi echoes the opening lines of the Xin Shu Shang , referring to the mind as the ruler of the body (“and the host of spiritual intelligence”). He then continues in a fashion that further reflects the teachings of unification found throughout the proto-Daoist Guan Zi texts:
A mind that branches out in many directions knows nothing; a mind that is not level is not acute; a mind that is divided is doubtful and confused. But for a mind with focused scrutiny, the myriad things can come together in its understanding; for in oneself is a unity that runs though all categories. [35]
As with the Bai Xin , the Xin Shu Xia shows that body alignment, if not sitting meditation, was in fact part of the early heart-mind cultivation techniques. Whereas the Upper Xin Shu begins by focusing on aligning the heart-mind so as to bring order to one’s ‘inner kingdom’, the Lower Xin Shu begins by stating, “When the bodily form is not aligned (正 : straight, aligned, upright), Virtue does not approach.” So, just as one can bring peace and order to their nation by bringing peace and order to themselves, they can also bring peace and order to themselves internally by bringing peace and order (alignment) to their body, externally. The Xin Shu Xia further develops connections between internal and external government, focusing primarily on self cultivation as a means to establishing order in one’s kingdom, both literally and figuratively.
Added to this metaphor is that of governing the heart-mind and body according to the patterns of Heaven and Earth. The Xin Shu Xia summarizes these analogies by closing with the saying “For what is above, study the Heavens; for what is below, study the Earth.”
Most of the Xin Shu Xia is found dotted throughout the Nei Ye , which appears to be either a redaction of the lower (“xia”) Xin Shu , or to have developed out of the same oral tradition. The inclusion of the Xin Shu Xia in Guan Zi , regardless of its many similarities to the Nei Ye , was possibly due to it having many duplicates as a self-contained book, likely alongside the Xin Shu Shang . The Nei Ye , then, may have been collated by Liu Xiang, and assisting scholars, from a multitude of scattered book fragments on internal cultivation. This might explain why the Nei Ye (book 49) is separated from the Xin Shu Shang (book 36), Xin Shu Xia (book 37), and Bai Xin (book 38), which appear consecutively in the Guan Zi . It might also explain the drastic reconfiguration of shared lines, variations in terminology, and why the sequence of these shared lines is more fluid in the Xin Shu Xia , where ideas follow more readily from the developing support of their preceding lines. This sequence appears as follows, outlined by the line groupings in Thread of Dao :
1) When the body is aligned, the Virtue of Dao approaches and the body fills with qi. The self is thereby transcended as the body and mind function like Heaven and Earth. (lines 1-20)
2) This transcendence of self brings all things together and makes them peaceful in their unity. Those who attain this unity within are blessed with an awareness of the causes of calamity and good fortune. (lines 21-31)
3) It is not through thinking that one attains this inner unity, but by consolidating qi like numinous beings. Through this unity, the junzi (gentleman) gains greater wisdom and can rule the myriad things. (lines 32-47)
4) By the same technique, the Sage brings about change, order, and balance through wu wei, both in the nation and in the heart-minds of the people, ensuring lasting peace. (lines 48-64)
5) In doing so, the Sage’s techniques are nearly unnoticeable. (lines 65-69)
6) Describes advantages of practicing this technique: a healthier body and more acute perception. (lines 70-79)
7) Describes disadvantages of not practicing this technique: great difficulties in your interactions with others. (lines 80-99)
8) Explains the effect of strong emotions and how to mitigate them with poetry, music, courtesy, respect, and silence. (lines 100-108)
9) Explains the important role of intention in practicing the art of the heart-mind, reiterating the physical benefits of this technique and that it is was developed by studying Heaven and Earth. (lines 109-126)
The Xin Shu Xia’ s very inclusion in the Guan Zi , despite so many resemblances to the Nei Ye , and being much shorter, suggests that it held a significant degree of import, and perhaps influence, in the philosophical history that produced the Guan Zi . If the Nei Ye was not compiled by Liu Xiang, it likely appeared a few decades after the Xin Shu so as to include additional teachings commonly associated with the “techniques of the heart-mind.” Further suggesting that the Xin Shu Xia was the earlier of these two texts: by comparing lines 80-99 of the Xin Shu Xia to lines 216-230 of the Nei Ye , the Nei Ye appears to have been written from a corrupted copy of Xin Shu Xia , with the writer attempting to make sense of a typo by changing other words to fit the meaning. More analysis on this can be found in my comments on Xin Shu Xia, lines 80-99.
One other plausible theory may be that, while the Xin Shu Shang was later expanded upon with a commentary, the Xin Shu Xia was instead developed into a longer treatise: the Nei Ye .
Nei Ye (Internal Cultivation)
The Nei Ye reflects the same internal cultivation tradition as the Bai Xin and Xin Shu , while focusing more on physical longevity. All four of these texts teach “the heart-mind technique” of allowing the mind to settle in calm, through non-obstruction. This technique is the foundation, leading to later stages known as nei gong, and nei dan, both also briefly suggested in the Bai Xin and Xin Shu . The heart-mind technique, aside from its role in nei gong and nei dan, is taught as a means to bring “spiritual intelligence” (shen ming) – a facet of consciousness in which greater perception, and unity with Dao, are made possible by the spirit’s illumination of the mind. Another benefit of cultivating “spiritual intelligence” is increased emotional-intelligence – one’s capacity to recognize their own emotions and mitigate the negative effect of these emotions in their lives. Such n
egative effects might include limitations on impulse control, on one’s ability to differentiate sense and reality, and on self-actualization. Emotional intelligence is, of course, important for rulers, generals, and other leaders who must determine the reality of a situation before deciding appropriate courses of action or non-action. To see the situation clearly, and act according to the time, rather than according to anger or desire, leaders are advised to first uncover the clear and calm center within the heart-mind. From this center, spiritual intelligence may arise, and they will not only see with “clear vision ( 明 ming, enlightenment),” but will cultivate the virtue needed to lead successfully, and the physical longevity needed to realize this success.
According to the Nei Ye and later Daoists, reaching this enlightenment and “ultimate spiritual intelligence” requires the transmutation of essence (jing) to energy-breath (qi), and energy-breath to spirit (shen). This practice is referred to in modern times as ‘nei gong , internal work/cultivation’, sharing the same meaning as nei ye : internal occupation/work/cultivation. We see the ancient theory and practices of this tradition throughout the Nei Ye . For example, the cultivation of jing-essence in lines 91-99:
If you can be aligned and you can be silent,
Then you can be settled
When the heart-mind settles in its very center,
The ears and eyes become acute and perceptive
And the four limbs become solid and stable.
You can thereby house the pure and vital essence.
This pure essence
Is the pure essence of energy-breath.
The way of energy-breath is to flourish
