by Guan Zi
The Xin Shu Xia shares a number of passages and expressions with the Nei Ye , leading some to conclude that the XSX was based on this text. While plausible, this theory does not account for the unique directions the XSX takes before and after these shared sayings, nor the unique and calculated sequences in which these sayings appear in the XSX. The inclusion of the Xin Shu Xia may, otherwise, be due to it appearing in many duplicates as a self-contained book when Liu Xiang consolidated the many duplicates found in the 564 book bundles that he pared down into the 86 books of the Guan Zi . The Nei Ye was likely an expansion of the Xin Shu Xia , including additional teachings of the proto-daoist internal cultivation tradition, and therefore included as a separate book. This would make the Xin Shu Xia one of the first documents of this tradition.
The first twenty lines of Xin Shu Xia present a clear description of the Daoist approach to cultivating virtues. Not by adjusting their external behavior, but by settling themselves internally and pacifying their desires do people cultivate a true and lasting inner virtue. A comparison can be seen in lines 14–17 between breath filling the body and conduct filling the world. When one is full of positive qi, they express this outwardly with positive conduct, filling the world with social harmony and contributing to the realization of the great peace of Dao in the world. Added to this teaching of inner attainment outwardly expressing itself, is the technique of aligning the body to bring about internal alignment and balance. Just as one can bring peace and order to their nation by bringing peace and order to themselves, they can facilitate internal peace and order by achieving external peace and order (alignment) in the body.
Lines 18-20, which are entirely unique to the Xin Shu Xia , further demonstrate what it means to follow Heaven and Earth. Similar to lines 38-40 of the Xin Shu Shang , we see here that to be “above, like Heaven, and below, like Earth” involves transcendence of the self. Heaven is not aware of its Heaven-ness, and Earth is not aware of its Earth-ness. They have transcended this notion of self. In their stillness, sages also transcend their notion of self-ness. As explained in line 206 of the Bai Xin : “Be unified and without division. This is called ‘knowing Dao.’”
The notion of transcending the self is prominent in Buddhism, where the self’s absence of independent existence is described thoroughly to help one overcome their attachment to the “illusion of self.” The proto-Daoist texts take a different approach to a similar end, convincing one to overcome attachment to self by showing the freedom that can be known by doing so. Chapter seven of the Dao De Jing states:
Heaven has longevity, Earth has continuit y
Heaven and Earth have the power of longevity and continuity because they do not live for themselves
This is how they can live for so long
Therefore, sages leave themselves behind
And they end up in front
They do not cater to themselves
Yet they persist
Is it not because they are without selfishness and wickedness
That they are able to fulfill themselves?
DDJ13 adds:
What does it mean to say “Appreciate the great worrying
That both (favour and disgrace) cause to your person?”
The reason I have great worries is because I have a self
If I did not have a self, what worries would I have?
Finally, DDJ33 states:
Those who know others, are wise
Those who know themselves, are clear-sighted
Those who overpower others, have strength
Those who overpower themselves, have fortitude
Those who know contentment, are rich
Those who exercise this fortitude, have will-power
Those who do not lose their station, continue
Those who die but do not disappear, live long
The last line of DDJ33 is often considered a reference to the Daoist notion of spiritual immortality; however, with this common thread of transcending the self, it may also suggest that those who overcome the petty concerns of the ego can live longer and achieve lasting accomplishments. [169]
In the Huainan Zi (139 BC), another compendium of Daoist thought which, like the Guan Zi , was initiated by an ascendant of Liu Bang, founder of the Han Dynasty, we find a continuation of teachings found throughout the Guan Zi ’s proto-Daoist texts. In chapter one of the Huainan Zi , appear instructions for attaining “inner Virtue,” spiritual intelligence, and the constant accompaniment of Dao. Though the Xin Shu Xia and Nei Ye are never quoted in the Huainan Zi , common themes throughout these texts help one to uncover and clarify their essential underlying motifs. Not wishing to deprive readers of making these connections for themselves, the following excerpt, from the Huainan Zi , chapter one, is provided below without annotation.
Now, those who use their ears and eyes to hear and observe strain their bodies to understand correctly. Those who use knowledge and deliberation to govern correctly abuse the mind and achieve nothing. Therefore, sages use a single measurement, complying with what has been well established. They do not alter its acceptability; they do not change its regularity. Thus, they can determine what accords to the level, knowing what is crooked by what is just.
Euphoria and anger are deviations from Dao;
Anguish and sorrow are losses of Intrinsic Virtue.
Likes and dislikes overtax the mind;
Cravings and desires disturb Pure Nature.
Intense anger ruins the yin;
Intense euphoria collapses the yang.
Weakened qi renders one mute;
Fear and terror causes insanity.
If one is anxious, sorrowful, and frequently angry,
Sickness will accumulate.
If likes and dislikes grow numerous,
Misfortunes will also follow.
Thus, when the mind is neither anxious nor jubilant, Intrinsic Virtue is refined.
When the mind is far reaching yet unchanging, tranquility is refined.
When cravings and desires do not burden the mind, emptiness is refined.
When the mind is without likes and dislikes, equanimity is refined.
When the mind is not scattered about on things, purity is refined.
If the mind can succeed in these five (refinements), it will break through to spiritual intelligence. To break through to spiritual intelligence is to attain what lies within.
Therefore, using the internal to control the external,
Your many endeavours will not fail.
If, internally, you can attain it,
Externally, you can harvest it.
With this inner attainment ( 中之得 則 ),
The five major organs will be peaceful;
Thoughts and worries will be stabilized.
The tendons will be strong, and your strength will be powerful;
Your ears and eyes will be acute and clear.
Though relaxed in your efforts, you will not be wayward
Though firm and strong, you will not bring regret.
There is nothing you will overshoot
And nothing you will fall short of.
Dwelling in the small, you will not be cramped;
Dwelling in the large, you will not be extravagant.
Your yang-spirits (hun) will not be agitated;
Your shen-spirit will not be distracted.
Calm and collected, quiet and still,
You will be amongst the world like an owl.
The Great Way is level and smooth.
Though it may leave a person, it is never far away.
Seeking it nearby,
Though moving ahead, you can continually return to it;
As it presses you, you can be responsive;
As you feel it, you can move;
When things are impressive, they do not deplete you;
Though things change, you remain without form or image.
When you give (Dao) free reign and roam with it to the furthest reaches
Y
ou will be like its echo and shadow.
Climbing up high or descending into depths,
You will not lose your grip.
When walking through dangers and traversing narrow paths
You will not lose this mysterious companion.
If you can be like this, its Virtue will not retreat. As the myriad things scatter and blend together, you can follow their shifts and transformations, listening to the world as though it were a wind at your back moving you swiftly onwards. This is called “refined Virtue.” With refined Virtue, there is true happiness. [170]
21 凡物載名而 來 ,
All things uphold their names and come together.
22 聖人因而財 之 ,
Sages hold to the basis [171] and cherish it.
23 而天下 治 ,
The world is then orderly and peaceful.
24 實不傷不亂於天下
The true state of things does not cause injury, or put the world in chaos,
25 而天下治。
But makes the world orderly and peaceful.
26 專於意，一於 心 ,
Consolidate the intent. Unify the heart-mind.
27 耳目端，知遠之 證 ,
By bringing the ears and eyes to the beginning, know what is confirmed far away.
28 能專乎？能一乎？
Can you consolidate? Can you unify?
29 能毋卜筮而知凶吉乎？
Without divining by yarrow stalks, can you know what is perilous and what is fortunate?
30 能止乎？能已乎？
Can you stop it? Can you bring it to a halt?
31 能毋問於 人 , 而自得之於己乎？
Can you do this, not by asking others, but by achieving this within yourself? [172]
While the Xin Shu Xia , here as well, carries sentences similar to the Nei Ye (NY), its focus is uniquely centered on inner and outer unity – on inner peace resulting in social harmony. This topic begins in the preceding lines (see XSX 14–20), which segue into a discussion of unity by stating:
All things uphold their names and come together.
Sages hold to the basis, and cherish it.
The world is then orderly and peaceful.
This unity requires a return to the state of mind that precedes distinctions or ‘names’. Line 26 states “Consolidate the intent. Unify the heart-mind.” As shown later in both the Xin Shu Xia (line 114) and Nei Ye (line 167), intent ( yi ) precedes words and thus the distinction of ‘names’. By consolidating intent, the heart-mind finds the Oneness of “the beginning” mentioned in line 27. Such an understanding will be helpful when encountering lines 32-47, below, which also speak to unification, and the transcendence of thought, leading to wisdom.
Heshang Gong speaks of the originating Oneness in his comments on DDJ10:
“ Embrace Oneness. Can you do this without letting (the bodily spirits) flee?”
People who can embrace Oneness and not let it leave them, extend their lives. In Oneness, Dao began to situate life by the supreme harmony of vital energy-breath. Therefore it is said: “Oneness covered the world with names.”
Heaven attained Oneness and became clear. Earth attained Oneness and became serene. Lords and kings attained Oneness and became upright and peace-loving. Going within, it is mind; going outwards, it is actions; in covering all with its blessing, it is Virtue. All the names together are One. Referring to Oneness, it is said: “In a unified consciousness, there is no division (or doubt).”
“Gather together the energy-breath and become soft”
Gather and embrace the vital energy-breath within. Then it will not be chaotic and the body will become soft and pliant.
“This is the power of an infant”
Have the power of an infant. Be, internally, without a thought or worry, and externally, without official duties. Then the vital spirits will not leave.
Line 22, “Sages hold to the basis, and cherish it,” can be further explained by reading Xin Shu Shang , lines 203–212, which define “the 因 basis (cause, reason).”
“He responds, but does not initiate; moves but does not possess.”
This is called “the basis.”
The basis is to reside in one’s own, while according with other things.
(The junzi) responds to feelings, yet does not initiate them.
Following the principle, he moves (things), but does not possess (them).
“If one is excessively headstrong, they will err when adapting to changes.”
If headstrong, one cannot be empty.
If not empty, one becomes the same as other “things.”
With change and transformation, there is growth. With growth, there is bound to be confusion.
Thus, the treasure of Dao is the basis (of responding and not initiating; moving yet not possessing). On this basis rests ability. This is called usefulness.
Lines 26-31 could be variously interpreted, either as consolidating the thoughts and minds of the people to create a unified and familial nation, or otherwise as consolidating one’s own thoughts and mind so as to attain clarity, peace, and perception. Lines 32-47 confirm the latter as the ultimate significance of these verses.
A connection between thoughts and the beginning of peril is made clear in the Nei Ye , lines 103–104, with the statement “Invariably, mental formations will create excessive knowledge, even at the expense of one’s life.” Similar statements about divination also appear in the Bai Xin 62-63:
Not by the day or the month, but by how affairs follow (Dao), and not by prophesy or divination, but by how cautiously one follows (Dao), can you know their fortune or misfortune.
And in DDJ38:
When people who don’t know
Display flowery appearances of the Dao
And speak as though they know how to recognize what is coming
This is the beginning of idiocy
Therefore, great and noble men stay with what is substantial
And not with what is slight
They stay with the fruit
And not with the flower
They leave that and choose this
32 故 曰 ,
Thus it is said
33 思之思之不 得 ,
“Thinking and thinking does not attain.
34 鬼神教之。
Ghosts and deities teach this.
35 非鬼神之力 也 ,
(Thinking) is not the strength of ghosts and deities;
36 其精氣之極也。
Their (strength) is the essence of extremely refined energy-breath.” [173]
37 一氣能變曰精。
Unified energy-breath can bring transformation. This is called “essence.”
38 一事能變曰智。
Unified endeavours can bring transformation. This is called “wisdom.”
39 慕選 者 , 所以等事也。
Desirable selection according to candidate’s abilities is the reason for classifying affairs;
40 極變 者 , 所以應物也。
Ultimate transformation is the reason for responding to things.
41 慕選而不 亂 ,
To make desirable selections according to candidates’ abilities, do not be chaotic and confused;
42 極變而不煩。
To make the ultimate transformation, do not be agitated.
43 執一之君 子 ,
The junzi holds to Oneness. [174]
44 執一而不 失 ,
Holding to Oneness and not losing it,
45 能君萬物。
He can rule the myriad things.
46 日月之與同 光 ,
A companion of the sun and moon, their lights unite (within him);
47 天地之與同理。
A companion of Heaven and Earth, their principles unite within him.
Here again, the Xin Shu Xia bears great similarity to the Nei Ye , though also differs significantly in meaning. The Nei Ye (lines 235-262) speaks of un
ification as a way to extend and preserve life, whereas the Xin Shu Xia is unique in lines 39-42 where it gives attention to wisely managing political affairs, as per the Dao De Jing ’s double entendres for the nation and the individual. This dual focus continues in the XSX until line 64.
The Xin Shu Xia further elaborates on the meaning of inner unification by connecting it with the cessation of thoughts (lines 32-36) in the process of refining qi (energy-breath), furthering its earlier instructions to consolidate the intention and unify the heart-mind (XSX, line 26) so as to make the consciousness “unified and without (doubt or) division” (BX, line 206), and thereby eliminate scattered thoughts (see XSS, line 41).
This ‘technique of the heart-mind (xin shu)’ extends itself to managing affairs by fostering decisiveness, certitude, and focus in endeavours, honing the strength of the mind to eliminate inner distractions.
Lines 41-42 make a comparison between guarding the power of the heart-mind, and guarding the power of a ruler. In both cases, to ensure that only those meriting positions of influence attain them, the Sovereign must not be confused or agitated.
Understanding the teachings in these verses helps one to understand the backdrop of tradition in which the Dao De Jing was written, and to see with greater clarity the implications of its metaphors. Consider, for example, the above teachings on the cessation of thought, along with lines 43-47, in regards to DDJ28:
… Return to Wuji, Supreme Nothingness
Knowing praise, hold onto reproof
And be a valley under Heaven
Being a valley under Heaven, Virtue will always fulfill you
Return to your unaltered substance
Unaltered wood is shaped into vessels
Sages make use of this model
When acting in positions of leadership
Thereby, the greatest establishment is undivided