The expression “laying the foundations” is a metaphor often used in the alchemical texts. To build a house, one must first lay the foundations. Only when the foundations are stable and firm is it possible to set pillars and beams in place, and arrange bricks and tiles. Refining the Internal Elixir is based on the same principle.
The alchemical practice, however, is concerned with the human body. At the initial stage of the Neidan process, therefore, one should first replenish the basic constituents of the body, so that they conform to the requirements of the practice. Only then is it possible to undertake the stages of alchemical refinement proper. Until the basic constituents do not conform to those requirements, the body’s functions should be restored and augmented by means of inner practices, so that Essence, Breath, and Spirit can reach a state of abundance. All this pertains to the stage of “laying the foundations.”
Taoism deems Essence, Breath, and Spirit to be the major components of life, and the alchemical texts call them the Three Treasures (sanbao ). If the Three Treasures are healthy and flourishing, the body is strong; if they are drained and depleted, illnesses develop. When the alchemical texts speak of refining the Elixir, they actually mean refining the Three Treasures. Chen Zhixu (1290–ca. 1368) says in his Jindan dayao (Great Essentials of the Golden Elixir):
神氣精三物相感，順則成人，逆則生丹。何謂順？一生二，二生三，三生萬物，故虛化神，神化氣，氣化精，精化形，形乃成人。何謂逆？萬物含三，三歸二，二歸一。知此道者，怡神守形，養形鍊精，積精化氣，鍊氣合神，鍊神還虛，金丹乃成。
Essence, Breath, and Spirit affect one another. When they follow the course, they form the human being; when they invert the course, they generate the Elixir.
What is the meaning of “following the course” (shun )? “The One generates the Two, the Two generate the Three, the Three generate the ten thousand things.” 1 Therefore Emptiness transmutes itself into Spirit, Spirit transmutes itself into Breath, Breath transmutes itself into Essence, Essence transmutes itself into form, and form becomes the human being.
What is the meaning of “inverting the course” (ni )? The ten thousand things hold the Three, the Three return to the Two, the Two return to the One. Those who know this Way look after their Spirit and guard their corporeal form. They nourish the corporeal form to refine the Essence, accumulate the Essence to transmute it into Breath, refine the Breath to merge it with Spirit, and refine the Spirit to revert to Emptiness. Then the Golden Elixir is achieved. 2
In his commentary to Awakening to Reality , Weng Baoguang writes:
精能生氣，氣能生神，榮衛一身，莫大於此。養生之士，先寶其精，精滿則氣壯，氣壯則神旺，神旺則身健而少病。內則五藏敷華，外則皮膚潤澤。顏容光彩，耳目聰明。
Essence can generate Breath, and Breath can generate Spirit; to strengthen and protect oneself, nothing is more important than this. Those who devote themselves to Nourishing Life (yangsheng ) treasure in the first place their Essence. If the Essence is full, Breath is strong; if the Breath is strong, Spirit flourishes; if the Spirit flourishes, the body is healthy and there are few illnesses. Internally, the five viscera bloom; externally, the skin becomes smooth. One’s complexion is luminous, and one’s ears and eyes are sharp and bright. 3
In the two passages quoted above, Chen Zhixu explains Essence, Breath, and Spirit in terms of their sequence in “following the course” and “inverting the course.” Weng Baoguang, instead, explains them as the basic components of existence. But beyond these differences, at the stage of “laying the foundations” there are two tasks: the first is preserving the state of Essence and Breath; the second is replenishing their shortage. When Essence is abundant, when Breath is full, and when Spirit is flourishing, this stage of the practice is concluded.
“Superior virtue” and “inferior virtue .” At the stage of “laying the foundations,” there are differences of initial conditions, age, and physical constitution. The practices, therefore, differ according to each individual. With regard to this point, the alchemical texts distinguish between “superior virtue” (shangde ) and “inferior virtue” (xiade ). “Superior virtue” refers to childhood and young age; “inferior virtue” refers to adulthood and old age.
According to the principles of alchemy, at a young age the human body grows like a young sprout. Borrowing a term from the Daode jing (Book of the Way and its Virtue), this is called “superior virtue.” 4 Spirit and Breath are abundant, and there is no need of performing any practice to build the foundations. After growth and maturity, Essence, Breath, and Spirit become consumed and should be replenished. In the alchemical practice, this is referred to as “inferior virtue”: one must provide what is missing.
An alchemical poem says:
上德無為入性功，何須修補調虧盈。
“Superior virtue has no doing,” and you enter the practice of Xing (Nature):
is there any need of repairing or harmonizing what is damaged or full? 5
The Cantong qi says:
上德無為，不以察求，下德為之，其用不休。
“Superior virtue has no doing”:
it does not use examining and seeking.
“Inferior virtue does”:
its operation does not rest. 6
In his commentary to the Cantong qi , Liu Yiming (1734–1821) explains this passage as follows:
修道有二法。一以道全形之事，一以術延命之事。上德者，以道全其形，抱元守一，行無為之道，即可了事，故曰「上德無為，不以察求」也。下德者，以術延其命，由勉抵安，行有為之道，方能還元，故曰「下德為之，其用不休」也。夫上德之所以不察求者，以其上德之人，天真未傷，客氣未入，若頓悟本性，無修無證 … 。察求之功無所用。下德之所以用不休者，以其天真已虧，知識已開，雖能頓悟本性，不能立即馴順，必用漸修之道，增減之功 … 。此不休之用所由貴也。上德下德，身份不一，故其用亦異 … 。但終同歸一途。
For the cultivation of the Dao there are two methods: one is the pursuit of bringing one’s form (xing ) to completion by means of the Dao, the other is the pursuit of extending one’s life (ming ) by means of a practice.
Superior virtue brings the form to completion by means of the Dao. One embraces the Origin and guards Unity, and performs the way of “non-doing”; thus one can exhaust all pursuits. Therefore the Cantong qi says, “Superior virtue has no doing: it does not use examining and seeking.” Inferior virtue extends life by means of a practice. One begins from effort and ends with stability, and performs the way of “doing”; thus one is able to revert to the Origin. Therefore the Cantong qi says, “Inferior virtue does: its operation does not rest.”
The reason why superior virtue “does not use examining and seeking” is that in the person of superior virtue, Celestial Reality (tianzhen ) has never been damaged and extraneous breaths (keqi ) have never entered . Since one immediately awakens to one’s fundamental Nature, there is nothing to cultivate and nothing to verify. . . . The function of examining and seeking does not operate .
The reason why the operation of inferior virtue “does not rest” is that Celestial Reality is lacking and cognition has begun. Although one could immediately awaken to one’s fundamental Nature, one cannot follow it as is. One must use the way of gradual cultivation (jianxiu ) and the function of augmenting and decreasing (zengjian ). 7 . . . This is why the unceasing use [of inferior virtue] is valuable.
Superior virtue and inferior virtue are different and are not the same. Therefore their uses are dissimilar. . . . However, they lead to the same goal. 8
Liu Yiming also says:
上德者，行無為之道以了性。下德者，行有為之道以了命。
Superior virtue performs the way of non-doing and thus fulfills Nature (liaoxing ). Inferior virtue performs the way of doing and thus fulfills Life (liaoming ). 9
Therefore, as we have seen in the Introduction, Awakening to Reality emphasizes the progress of the practice saying:
始於有作人難見，及至無為眾始知，但見無為為要妙，豈知有作是根基。
It begins with doing , and hardly can one see a thing,
when it comes to non-doing , all begin to understand.
But if you only see non-doing as the essential marvel,
how can you know that doing is the foundation? 10
Essentially, “superior virtue” refers to the body of childhood, when the precelestial particle of numinous radiance is not yet damaged. Therefore there is no need to perform the practice of “laying the foundations.” “Inferior virtue” refers to the body after one’s “celestial reality” has been damaged. One should refine oneself using the practice of “laying the foundations,” as only thus can the process of aging be inverted and can one return to youth. This is the difference between the practice of Xing (Nature) and the practice of Ming (Life) at the beginning of the practice. This is also why “laying the foundations” is the beginning of “doing” in the alchemical path, and the texts describe it repeatedly.
Essence, Breath, Spirit . According to the alchemical texts, Essence, Breath, and Spirit are a single entity, rather than individual “substances” juxtaposed to one another. Nevertheless, as far as the practice is concerned, one is bound to rank them according to their importance, and to arrange them into a sequence. In his Secret Text of Green Florescence (Qinghua biwen ), Zhang Boduan establishes five levels: the Heart (xin ) is the lord (jun ); Spirit is the ruler (zhu ); Breath is the operation (yong ); Essence comes from Breath; and the Intention (yi ) is the “go-between” (mei ). These are their respective functions at the stage of “laying the foundations.” In fact, however, both Heart and Spirit pertain to Spirit, and the Intention is the dynamic state (dongtai ) of Spirit. Therefore, although Zhang Boduan establishes five levels, they actually consist of the “three families” of Essence, Breath, and Spirit. Accordingly, the practice of “laying the foundations” will be described in the present chapter with reference to these three components. First, however, I will provide an explanation of several focal points of the practice.
* * *
2.1.1. Main Points in the Practice of “Laying the Foundations”
The Opening (qiao 竅 )
The first step of the practice is “guarding the Opening” (shouqiao ). This step is also called “guarding Unity” (shouyi ) and “guarding the Center” (shouzhong ). Although these terms have similar meanings, they differ in certain respects. “Guarding Unity” refers to the one point that is guarded in a state of quiescence. “Guarding the Opening” means concentrating one’s thoughts on the Opening of the Barrier (guanqiao ). “Guarding the Center” refers to the center of the body. These three terms, therefore, are not entirely equivalent to one another. In this section, the Opening will be discussed in accordance with Zhang Boduan’s Four Hundred Words on the Golden Elixir .
As can be expected, the Taoist alchemical texts contain different explanations of the term One Opening of the Mysterious Barrier (xuanguan yiqiao ), each of which claims to be correct. According to some, this is the “ancestral opening” (zuqiao ) located between the eyebrows; according to others, it is the Cavity of the Yellow Court (huangting xue ) located above the navel; according to others, it is the lower Cinnabar Field (dantian ) located behind the navel; and according to others, this Opening does not exist, in the sense that it has no definite location and is an “empty similitude.” 11 Indeed, one should not rigidly adhere to the literal meaning of the terms used in the alchemical methods; a flexible attitude is required to grasp what they hide beneath the surface. Liu Yiming’s commentary to Awakening to Reality says:
玄關一竅，無方無所，無形無象。
The One Opening of the Mysterious Barrier has no extension, no position, no form, no image. 12
An anonymous master said:
玄關一竅，重在「一」字，守中抱一，即守一竅也。丹書萬卷，不如守一，能知一，萬事畢。所以此「一」字即注意靜守之處。
In the expression One Opening of the Mysterious Barrier, what is important is the word “One.” Guarding the Center and Embracing Unity means guarding the One Opening. In all the ten thousand scrolls of the writings on the Elixir, nothing is more important than guarding Unity. When you are able to comprehend Unity, all pursuits are concluded. Therefore the word “One” refers to what one concentrates on and to what one guards in a state of quiescence.
From this we can deduce that at the stage of “laying the foundations,” one guards the lower Cinnabar Field; at the stage of the Barrier of the Hundred Days, one guards both the lower Cinnabar Field and the Emptiness-Rooftop cavity (xuwei xue ); at the stage of the Barrier of the Ten Months, one guards the middle Cinnabar Field; and at the stage of the Barrier of the Nine Years one guards the upper Cinnabar Field. All these are different forms of “guarding Unity.” 13
The lower Cinnabar Field . The lower Cinnabar Field is the Cinnabar Field in the strict sense. Different views exist concerning its position. The medical texts usually say that it is located 1.3 inches below the navel. According to the alchemical texts, instead, it is found 1.3 inches behind the navel. Its location corresponds to the point of intersection of the Thoroughfare and the Girdle vessels (chongmai and daimai ). 14 Since this point, projected onto the external surface of the belly, forms a shape similar to the Chinese character for tian 田 (“field”), it is called “Cinnabar Field.” Why is it also said that the Cinnabar Field is located 1.3 inches below the navel? Zhao Taiding (Ming dynasty) gives the following explanation:
臍下一寸三分者，謂仰臥而取之，入裡又一寸三分為是，是即腎間也。
When we say 1.3 inches below the navel, this measure is taken with the body lying horizontally. [The Cinnabar Field] then is the point found 1.3 inches under the navel, that is, between the kidneys. 15
In addition these explanations, there is another one. The Cinnabar Field is where the Elixir coalesces. As this is similar to a seed sown in a field, which naturally gives birth to sprouts and fruits that ripen in due time, it is called “field.”
In general, Taoism and medicine agree on one important point with regard to the position of the lower Cinnabar Field: this is the point that directs the functioning of the entire body. Moreover, although the Confucian “quiescence” (jing ), the Taoist “embracing Unity” (baoyi ), and the Buddhist “contemplation” (changuan ) have different names, they all, in fact, seek the stability of the center. This is another point that requires attention. 16
The middle Cinnabar Field . The middle Cinnabar Field is located above the navel. Here the Embryo coalesces in the second stage of the practice, namely, “refining Breath to transmute it into Spirit.” In his Four Hundred Words on the Golden Elixir , Zhang Boduan says:
此竅非凡竅，乾坤共合成。名為神氣穴，內有坎離精。
This Opening is not a common opening,
it is formed by the joining of Qian ☰ and Kun ☷ .
It is called Cavity of Spirit and Breath,
within are the essences of Kan ☵ and Li ☲ . 17
According to these words, the middle Cinnabar Field is actually the Yellow Court (huangting ). Why does Zhang Boduan say that “it is formed by the joining of Qian and Kun”? An answer is found in the Xingming guizhi (Teachings on the Joint Cultivation of Nature and Life):
天之極上處距地之極下處，相去八萬四千里，而天地之中，適當四萬二千里之中處也。若人身一小天地也，心臍相去亦有八寸四分，而中心適當四寸二分之中處也。
The distance between the highest extremity of Heaven and the lowest extremity of the Earth is 84,000 li ; therefore the central point is 42,000 li away from each of them. Since the human body is a microcosm, the distance between the heart and the navel is 8.4 inches; therefore the central point is 4.2 inches away from each of them. 18
These words imply that, analogously to the macrocosm, the center of the human microcosm harbors the Opening of the Original Ancestral Breath (yuanshi zuqi zhi qiao ). Therefore the middle Cinnabar Field is also called Cavity of the Ancestral Breath (zuqi xue ).
Moreover, in the preface to his Four Hundred Words on the Golden Elixir , Zhang Boduan says:
身中一竅，名曰玄牝。此竅者，非心非腎，非口鼻也，非脾胃也，非穀道也，非膀胱也，非丹田也，非泥丸也。能知此之一竅，則冬至在此矣，藥物在此矣，火候亦在此矣，沐浴在此矣，結胎在此矣，脫胎亦在此矣。
The One Opening at the center of the person is the Mysterious-Female (xuanpin ). This Opening is not the heart, is not the kidneys, is not the mouth or the nose, is not the spleen or the stomach, is not the anus, is not the bladder, is not the Cinnabar Field, and is not the Muddy Pellet (niwan ). If one is able to understand this Opening, then the winter solstice, the Medicine, the Fire Times, the “bathing” (muyu ), the coalescing of the Embryo, and the delivery of the Embryo are all found there. 19
In this view, the Opening is the Yellow Court. However, the alchemical masters keep this subject secret and do not wish to discuss it in a clear way; they intentionally disclose the various positions of the Opening of the Barrier (guanqiao ), with the only exception of the Yellow Court. This omission is not accidental; on the contrary, it suggests that the One Opening of the Mysterious-Female is the same as the Yellow Court. 20
Concerning the Mysterious-Female, Awakening to Reality says:
要得谷神長不死，須憑玄牝立根基。
If you want to obtain the Spirit of Valley and live forever,
you must rely on the Mysterious-Female to establish the foundation. 21
And again:
玄牝之門世罕知，休將口鼻妄施為。
Few in the world know the Gate of the Mysterious-Female:
stop fiddling around with your mouth and your nose. 22
In his commentary, Ye Wenshu (twelfth century) writes:
玄牝之宮，即中宮也，中藏真一之炁，生金精也。
The Palace of the Mysterious-Female is the Central Palace. It stores the Breath of True Unity, and generates the Essence of Metal. 23
The upper Cinnabar Field . The upper Cinnabar Field, which is located at the top of the head, is also called Palace of the Muddy Pellet (niwan gong ). Since the body is a microcosm, and the head corresponds to Heaven, the alchemical masters call it Palace of Qian ☰ (qiangong ), with reference to the trigram that represents Heaven. When the practice reaches the stage of “refining Essence to transmute it into Breath,” this Opening is the place where one “reverts the course of the Essence to replenish the brain” (huanjing bunao ) and “eliminates the ore to keep the gold” (qukuang liujin ). When it reaches the stage of “refining Breath to transmute it into Spirit,” it is the point where the Yang Spirit (yangshen ) rises.
A poem in Awakening to Reality says:
萬卷仙經語總同，金丹只此是根宗，依他坤位生成體，種向乾家交感宮。
The scriptures of the Immortals, ten thousand scrolls,
all tell one thing:
only the Golden Elixir
is the ancestor, the root.
Relying on the other in the position of Kun ☷ ,
it comes to life and acquires a body,
then it is planted within the house of Qian ☰ ,
in the Palace of Conjunction. 24
The Xingming guizhi explains this poem as follows:
運北方水中之金，以制南方火中之木，是謂以黑見紅，則凝神入乾頂而成丹。
Circulate the Metal found within the Water in the northern direction, in order to control the Wood found within the Fire in the southern direction. This is called “using the black to see the red.” Then coagulate your Spirit in the Summit of Qian ☰ , and you will achieve the Elixir. 25
Cui Xifan’s Ruyao jing (Mirror for Compounding the Medicine) says:
產在坤，種在乾，但至誠，法自然。
It is born in Kun ☷
and is planted in Qian ☰ .
Just be thoroughly sincere,
and model yourself on what is so of its own. 26
Terminology . Two charts in the Xingming guizhi contain lists of synonyms of the three Openings. They mention thirty-four names of the lower Cinnabar Field, including Northern Ocean (beihai ) and Penghu; 27 fifty-eight names of the middle Cinnabar Field, including Central Yellow (zhonghuang ) and Center of the Compass (guizhong ); and forty-eight names of the upper Cinnabar Field, including Purple Prefecture (zifu ), Celestial Palace (tiangong ), and Mountain of the Jade Capital (yujing shan ). These names are originally found in different alchemical texts, and the two charts provides useful materials for their comprehension. 28
Awakening to Reality says:
異名同出少人知，兩者玄玄是要機。
Few people know that they have different names, but come forth together:
both are mystery upon mystery: this is the essential key. 29
In his commentary to the Daode jing , Li Xiyue (1806–56) explains the expression “mystery upon mystery” (xuanxuan ) saying:
「玄之又玄，眾妙之門」系丹家以玄關為有無妙竅。「妙」即無名之物，故用無欲以靜觀之。「微」即竅，為有名之物，故用有欲以應觀之。
“Mystery and then again mystery, gate of all wonders.” The alchemical masters deem the Mysterious Barrier (xuanguan ) to be the Wondrous Opening of Being and Non-Being. “Wondrous” is the Nameless; therefore one contemplates it by quiescence and by not having intentions. “Subtle” is the Opening and is the Named; therefore one contemplates it by responding and by having intentions. 30
In fact, with regard to the “two mysteries” of contemplating the Opening, in a state of quiescence one guards Unity and internally illuminates oneself; in a state of movement, instead, one’s Intention (yi ) leads the cyclical “clearing of the barriers.” 31 The Gate of the Mysterious-Female (xuanpin zhi men ) is where “non-doing” and “doing” respond to one another. This Gate comprises the upper, middle, and lower Cinnabar Fields, and is not an additional opening apart from them. 32
* * *
The Vessels (mai 脈 )
The second step of the practice consists in “clearing the barriers” (tongguan ). This includes clearing the Function and the Control vessels (renmai and dumai ) and clearing the Eight Vessels (bamai ). 33 The eight “extraordinary vessels” (qijing bamai ) are already discussed in the earliest Chinese medical text, the Lingshu jing (Book of the Numinous Pivot). Their function in alchemy, however, is clarified by Zhang Boduan.
According to the theory of the conduits described in the medical texts, the human body contains twelve “ordinary channels” (zhengjing ) and eight “extraordinary channels” (qijing ), or vessels. Li Shizhen’s Bencao gangmu (Pharmacopoeia Arranged into Headings and Subheadings) includes two chapters entitled “An Investigation of the Eight Extraordinary Vessels” (“Qijing bamai kao”). Under the entry devoted to the Yin Heel vessel, this work quotes Zhang Boduan’s Book of the Eight Vessels as follows:
八脈者：冲脈在風府穴下；督脈在臍後；任脈在臍前；帶脈在腰；陰蹺脈在尾閭前陰囊下；陽蹺脈在尾閭後二節；陰維脈在頂前一寸三分；陽維脈在頂後一寸三分。凡人有此八脈，俱屬陰神，閉而不開，惟神仙以陽炁冲開，故能得道。八脈者先天大道之根，一炁之祖。採之惟在陰蹺為先，此脈才動，諸脈皆通，次督、任、冲、三脈，總為經脈造化之源。
The Eight Vessels are the Thoroughfare vessel (chongmai ), found below the cavity of the Wind Palace (fengfu xue ); the Control vessel (dumai ), found behind the navel; the Function vessel (renmai ), found before the navel; the Girdle vessel (daimai ), found in the waist; the Yin Heel vessel (yin qiaomai ), found before the Caudal Funnel (i.e., the coccyx) and under the scrotum; the Yang Heel vessel (yang qiaomai ), found behind the Caudal Funnel, at the second articulation; the Yin Linking vessel (yin weimai ), found 1.3 inches before the top of the head; and the Yang Linking vessel (yang weimai ), found 1.3 inches behind the top of the head.
Everyone has these eight vessels. However, since they all pertain to the Yin Spirit (yinshen ), they are closed. Only the divine immortals are able to open them by infusing them with Yang Breath. By doing so, they obtain the Dao.
The Eight Vessels are the roots of the Great Dao prior to Heaven, and the ancestors of the One Breath (yiqi ). Among them, one should begin with the Yin Heel vessel, for as soon as this vessel is in movement, all other vessels are cleared. Then one works on the Function, the Control, and the Thoroughfare vessels, because they are the sources of the transformations of all other channels and vessels. 34
The positions of the Eight Vessels mentioned by Zhang Boduan do not match those given in the medical texts. Nevertheless, Li Shizhen acknowledged that the principles of the alchemical texts should be presented with those of the medical texts, and held Zhang Boduan’s views on this matter in high regard.
The Function and Control Vessels . Among the Eight Vessels, the Function and the Control vessels are the most important in the Taoist alchemical practices. According to the alchemical texts, the Control vessel begins in the Caudal Funnel (weilü , i.e., the Meeting of Yin cavity, huiyin xue ), crosses the Spinal Handle (jiaji ), passes through the Jade Pillow (yuzhen ), rises to the Muddy Pellet (niwan ), and terminates at the Mouth Extremity cavity (duiduan xue ) just above the upper lip. The Function vessel begins in the Meeting of Yin point, rises along the abdomen in the front of the body, and terminates in the Receiver of Fluids cavity (chengjiang xue ), under the lower lip. Li Shizhen says:
任督二脈，人身之子午也，乃丹家陽火陰符升降之道，坎水離火交媾之 鄉。崔希範『天元入藥鏡』云：「歸根竅，復命關，貫尾閭，通泥丸」。俞琰注『參同契』云：「人身血氣，往來循環，晝夜不停」。醫書有任督二脈，人能通此二脈，則萬脈皆通。『黃庭經』言：「皆在心內運天經，晝夜存之自長生」，天經乃吾身之黃道，呼吸往來於此也。鹿運尾閭，能通督脈，龜納鼻息，能通任脈，故二物皆長壽。
The Function and Control vessels are equivalent to Zi (子 ) and Wu (午 ) within the human body. In the Way of the Yang Fire and the Yin response of the alchemical masters, which rise and descend [within the body], these vessels are the loci where the Water of Kan ☵ and the Fire of Li ☲ conjoin. Cui Xifan’s Mirror for Compounding the Medicine says:
Return to the Root-Opening (genqiao ),
revert to the Barrier of Life (mingguan ),
pierce through the Caudal Funnel (weilü ),
pervade the Muddy Pellet (niwan ).
In his commentary to the Cantong qi , Yu Yan (1258–1314) says: “Within the human body, blood and breath circulate back and forth, all day and all night without pause.” 35 The medical texts describe the Function and Control vessels saying that if one is able to clear them, all other vessels are cleared. The Scripture of the Yellow Court (Huangting jing ) says:
They all reside in the heart, and spin the Heaven’s Warp;
Maintain them day and night, and you will live for long. 36
The Heaven’s Warp (tianjing ) is one’s own Yellow Path (huangdao ); inspiration and expiration occur there. When the deer enters the Caudal Funnel, it can clear the Control vessel; when the turtle enters one’s breathing, it can clear the Function vessel. Therefore these two creatures confer long life. 37
Why does Zhang Boduan place the Function and Control vessels before and behind the navel? To elucidate this point, Li Shizhen quotes the explanation given by Wang Haicang (Yuan dynasty):
張平叔言鉛乃北方正氣一點，初生之真陽，為丹母。陽生於子，藏之命門，元氣之所系，出入於此。其用在臍下，為天地之根，玄牝之門。 … 升而接離，補而成乾，陰歸陽化，是以還元。
Zhang Boduan says that Lead is the one particle of the Correct Breath of the North, the first-born True Yang that becomes the “mother of the Elixir” (danmu ). The Yang principle is born from Zi (子 ) and is stored in the Gate of Life (mingmen ); what pertains to Original Breath enters and exits from here. Its operation is below the navel: it is the Root of Heaven and Earth, and the Gate of the Mysterious-Female. . . . As it rises, it merges with Li ☲ , and by replenishing Li, it forms Qian ☰ . The Yin principle returns where it belongs, the Yang principle is transformed, and one reverts to the origin. 38
This shows that, according to Zhang Boduan, what is found “before the kidneys and behind the navel” is the source of the circulation of Yin and Yang. Through the alchemical practices, the ascent along the Control vessel and the descent along the Function vessel are equivalent to the process of “the Yin principle returning where it belongs, the Yang principle being transformed.” Under this respect, there are no major differences between the alchemical and the medical texts.
Clearing the Function and Control vessels . At the stage of “laying the foundations,” one should first clear the Control and Function vessels in order to allow Breath to circulate. However, since the steps of this practice are not always the same, the terminology also differs. At this initial stage, circulating Breath along the Function and the Control vessels is called “clearing the Function and Control vessels” (tong rendu ) or “clearing the three Barriers” (tong sanguan ). Despite the different names, the practice consists only in enabling Breath and heat to circulate, in order to open a path for the upcoming refining of the Medicine. In his Method of Sitting in Quiescence of Master Yinshi (Yinshi zi jingzuo fa ), Jiang Weiqiao (1872–1955) relates his personal experiences as follows:
在靜坐裡忽感震動，熱氣由尾閭上升頭頂，沿任督循環，復透過頂，自顏面徐徐下降心窩而達於臍下，久之則此動力，自能上下升降，並可以意運之於全身，洋溢四達。
When I was sitting in quiescence, I suddenly experienced a vibration. A warm energy (qi ) rose from the Caudal Funnel to the top of my head, circulated through my body along the Function and Control vessels, passed again through the top of my head, and then slowly descended through my chest, until it reached the area below the navel. After some time, this energy began to rise and descend spontaneously. By means of my Intention (yi ), I could move it throughout the body, so that it permeated my four limbs.
This practice corresponds to clearing the Breath and clearing the vessels.
Physicians maintain that clearing the Function and Control vessels is the Lesser Celestial Circuit (xiao zhoutian ), and that clearing the Eight Vessels is the Greater Celestial Circuit (da zhoutian ). From the point of view of the alchemical practice, instead, both of these methods pertain to the initial stage. Therefore the terminology used in the alchemical texts and in present-day Qigong is not the same. For the alchemical texts, in particular, “clearing the Breath” means clearing the Function and Control vessels; “circulating the Medicine” refers to the cycle of the River Chariot (heche , i.e., the Lesser Celestial Circuit); and “nourishing the Medicine” refers to the Greater Celestial Circuit. The routes are the same, but the functions are different. Other terms and expressions related to the Barrier of the Hundred Days (bairi guan ) include “Yang ascends and Yin descends,” “advancing the Fire and withdrawing in response” (jinhuo tuifu ), “turning around the Three Chariots” (sanche yunzhuan ), “Zhun ䷂ in the morning and Meng ䷃ in the evening,” “causing the hexagrams to revolve,” and “turning the Wheel of the Dharma.”
The goal of the stage of “laying the foundations” is replenishing the shortages in the vital functions of the body. Clearing the Function and Control vessels and clearing the three Barriers consists only in permeating these vessels with “postcelestial breath” (houtian qi ), which circulates following a cyclical route and makes them clear. It should be noted that at this time the Medicine has not yet been formed: this practice is only done in preparation for the stage of “refining Essence and transmuting it into Breath.” Nevertheless, from a medical point of view, the circulation of breath and blood through unobstructed conduits is of great benefit for “nourishing life” (yangsheng ) and for the treatment of illnesses.
The Yin Heel or Emptiness-Rooftop cavity . According to Zhang Boduan, as we have seen above, the fulcrum of the Function and Control vessels is in the Yin Heel cavity (yin qiaoxue ). When the medical texts mention the Yin Heel, they mean a vessel of the Minor Yin (shaoyin ) channel in the foot. This vessel emerges from the Blazing Valley cavity (rangu xue ) in the malleolus and rises to the Eyes’ Light cavity (jingming xue ). For the medical texts, therefore, the Yin Heel is not an “opening” (qiao ). According to the Zhang Boduan, instead, the point in front of the Caudal Funnel is the location of the Meeting of Yin cavity. Therefore in his Book of the Eight Vessels he says:
陰蹺一脈，其名頗多，曰天根、曰死戶、曰復命關、曰生死竅。上通泥丸，下透湧泉。倘能知此，使真炁聚散，皆從此關竅，則天門常開，地戶永閉。尻脈周流於一身，貫通上下。和炁自然上朝，陽長陰消，水中火發，雪裡花開，所謂「天根月窟閑來往，三十六宮皆是春」。
The Yin Heel vessel has many names: it is called Heaven’s Root (tiangen ), Door of Death (sihu ), Barrier of the Return to Life (fuming guan ), and Opening of Life and Death (shengsi qiao ). Above it communicates with the Muddy Pellet, below it passes through the Bubbling Spring (yongquan ). If you know this vessel, you will be able to collect and disperse your Breath from the Opening of the Barrier; then the Gate of Heaven (tianmen ) will be constantly open and the Door of Earth (dihu ) will be forever closed.
The coccyx vessel runs through the entire body, connecting what is above to what is below. When the harmonious Breath spontaneously pays homage on high, the Yang will grow and the Yin will be extinguished; Water will issue Fire, and a flower will bloom in the snow. This is what is meant by the verses, “Leisurely go back and forth between the Moon’s Lair and the Heaven’s Root: in all the thirty-six palaces it is spring.” 39
The Xingming guizhi clearly arranges these points at the Meeting of Yin cavity, which it calls the Emptiness-Rooftop cavity (xuwei xue ). It also lists thirty-four synonyms, which include all those mentioned by Zhang Boduan. 40
During the Qing dynasty, Liu Qiaoqiao (1839–1933) wrote in his Daoyuan jingwei ge (Delicate Songs on the Origins in the Dao):
虛危穴，即地戶禁門是也，上道天谷，下達湧泉，真陽初生之時，必由此穴經過，故曰關係最大。昔日呂祖教劉海蟾曰: 「水中起火妙在虛危穴」。故海蟾長坐陰蹺，而轉老還童矣。道經認為，人身精炁聚散，水火發端，陰陽交會，子母分胎，均在此處，所以『黃庭經』有「閉塞命門保玉都」之句，玉都即在此穴也。位在任督中間。
The Emptiness-Rooftop cavity is the Forbidden Gate (jinmen ) of the Door of the Earth. Above it communicates with the Heaven’s Valley (tiangu ), below it reaches the Bubbling Spring (yongquan ). When the True Yang is just born, it must pass through this cavity; therefore it is said that “it enjoys first-class connections.” Anciently, Lü Dongbin gave this teaching to Liu Haichan: “To kindle the Fire within Water, the marvel lies in the Emptiness-Rooftop cavity.” Therefore Haichan performed the practices of the Yin Heel, inverted the process of aging, and returned to youth.
According to the Taoist scriptures, in the human body Essence and Breath collect and disperse, Water and Fire come forth, Yin and Yang conjoin, and the Embryo is born: all this occurs at this point (i.e., the Emptiness-Rooftop cavity). Therefore the Huangting jing contains the verse, “Close the Gate of Life (mingmen ) and protect the Jade Capital (yudu ).” The Jade Capital is this cavity, which is located between the Function and the Control vessels. 41
Conclusion . According to the medical texts, the Function and Control vessels are the two main vessels: the Control vessel is in charge of the Yang vessels, and the Function vessel has control on the Yin vessels. Since they manage all other vessels, once the Function and Control vessels have been cleared, the six other vessels are also progressively cleared. As Yin Zhiping (1169–1251) says in his Jiqian ge (Song of Following the Antecedent):
一陽動處眾陽來，玄竅開時竅竅開。
Where one Yang moves, all the other Yang arrives;
when the Mysterious Opening opens, all the other Openings are open.
In fact, these words refer to the clearing of the Eight Vessels. 42
At this time, the circulation along the Function and Control vessels is nothing more than a route. The ascent and descent of the River Chariot, instead, pertains to the work practice of “refining Essence and transmuting it into Breath.” Details on this subject will be found in the next chapter.
* * *
The Three Barriers (sanguan 三關 )
In the ascending path along the Control vessel, three points are arduous to overcome. The alchemical texts call them “barriers” (or “passes,” guan ). Xiao Tingzhi (fl. 1260–64), a fifth-generation disciple of Zhang Boduan, wrote in his Jindan wenda (Questions and Answers on the Golden Elixir):
問背後三關。答曰。腦後曰玉枕關，夾脊曰轆轤關，水火之際曰尾閭關。
Someone asks what are the three Barriers on the back. The one behind the brain is called Barrier of the Jade Pillow (yuzhen ). The one in the Spinal Handle (jiaji ) is called Barrier of the Pulley (lulu ). The one at the junction of Water and Fire is called Barrier of the Caudal Funnel (weilü ). 43
The Barrier of the Caudal Funnel is located in the lowest section of the spine. The Barrier of the Spinal Handle is in the back, across from the heart. The Barrier of the Jade Pillow is behind the head, below the identically-named acupuncture point, across from the mouth. Awakening to Reality contains few references to the three Barriers, because at that time they were the object of oral transmission. However, Xiao Tingzhi was a disciple of Peng Si (fl. 1217–51), and Peng Si received the transmission from Bai Yuchan (1194–1229?), the fifth patriarch of the Southern Lineage. Therefore Zhang Boduan did provide explications on the three Barriers, even though he did not put them in writing and did not explicitly mention them.
In fact, the three Barriers are three sectors of the Control vessel, which forms the first half of the cyclical route of the River Chariot (heche ) in the alchemical practice. When the circulation of Breath reaches these three points, one frequently encounters obstructions that make it hard to pass through the Barrier of the Jade Pillow. Therefore the Zhong-Lü chuandao ji (Records of the Transmission of the Dao from Zhongli Quan to Lü Dongbin), using a metaphor, says that in order to go past this barrier one should use an “ox chariot” (niuche ). 44 When the constant cycling of the internal Breath reaches the Jade Pillow, one cannot overcome the obstruction unless one proceeds slowly: one can only use the “gentle fire” (wenhuo ) and the subtle operation of the Intention (yi ), and should not proceed with strength.
The cyclical path for refining the Elixir is summarized by the expression “three Fields in the front, three Barriers in the back” (qian santian, hou sanguan ). The ascent in the back is called “advancing the Yang Fire” (jin yanghuo ), the descent in the front is called “withdrawing by the Yin response” (tui yinfu ). At the stage of “laying the foundations,” one full cycle is called “clearing the Function and Control vessels” (tong rendu ); after the formation of the Medicine, it is called Lesser Celestial Circuit. The Huanyuan pian (Reverting to the Origin), written by Zhang Boduan’s disciple, Shi Tai (?–1158), says:
一孔玄關竅，三關要路頭，忽然輕運動，神水自然流。
The One Opening is the Mysterious Barrier,
the Three Barriers are the essential route.
Suddenly a gentle movement begins,
and the Divine Water spontaneously flows. 45
In the Jindan dacheng ji (The Great Achievement of the Golden Elixir) by Xiao Tingzhi we read:
妙運三田須上下，自知一體合西東，幾回笑指崑山上，夾脊分明有路通。
The wondrous circulation through the Three Fields requires going upward and downward,
and one knows for oneself that East and West join in one body.
Delighted, it moves repeatedly to the summit of Mount Kunlun:
the Spinal Handle is luminous, and the path is open. 46
Since Shi Tai was Zhang Boduan’s main disciple, and Xiao Tingzhi was his fifth-generation disciple, their views on the three Barriers pertain to Zhang Boduan’s transmission. The poem by Xiao Tingzhi explains that there is a downward movement in the front of the body through the three Cinnabar Fields, followed by an upward movement along the Control vessel that goes through the Spinal Handle and reaches “Mount Kunlun,” i.e., the top of the head, also called Palace of the Muddy Pellet. Poems like the ones quoted above provide more details on this subject.
* * *
2.1.2. The Functions of Essence, Breath, and Spirit
In the whole tradition of Awakening to Reality , the material foundation of the Internal Elixir is the Medicine (yao ). The formation of the Medicine involves Essence, Breath, and Spirit, which the alchemical texts call the Three Treasures. This term refers to the three major components of human life.
Taoist Internal Alchemy subdivides the refinement of the Three Treasures into several stages. In the first stage, Essence is transmuted into Breath, and Essence and Breath are the refined into Spirit; this is the process of “the Three returning to the Two, and the Two returning to the One.” Finally, when the Three Treasures have returned to the One Spirit (yishen ), Spirit is refined in order to return to Emptiness. The foundation of Taoist inner refining lies, therefore, in the Three Treasures. At the stage of “laying the foundations,” the Three Treasures are first replenished; then they become abundant and flourishing; and finally they form the source for the return to a youthful state—the Inner Elixir.
* * *
Spirit (shen 神 )
The alchemical texts attach most importance to the refining of Spirit: from “laying the foundations” to “returning to Emptiness,” the whole process is ruled by Spirit. A postface to Awakening to Reality says: “If you want to embody the supreme Dao, nothing is more important than understanding the Heart. The Heart is the axis of the Dao.” 47
According to Zhang Boduan, Heart and Spirit are related as follows: the Heart is the ultimate foundation, and Spirit is born from the Heart; the foundation of the Heart consists in non-doing and non-movement; as it moves, it is called Spirit. Therefore Zhang Boduan says in his Secret Text of Green Florescence :
心者，神之舍也。
The Heart is the residence of Spirit. 48
He adds:
蓋心者，君之位也。以無為臨之，則其所以動者，元神之性耳。以有為臨之，則其所以動者，欲念之性耳。
Essentially, the Heart takes the position of the lord. With regard to “non-doing,” that through which it moves is the nature of the Original Spirit. With regard to “doing,” that through which it moves is thoughts and desires. 49
These sentences state that Spirit is stored within the Heart. As it moves, it becomes Spirit. Its movement in “non-doing” is called Original Spirit (yuanshen ), its movement in “doing” is called “cognitive spirit” (shishen ). Therefore Zhang Boduan also says:
心靜則神全，神全則性現。
When one’s Heart is quiescent, one’s Spirit is whole. When one’s Spirit is whole, one’s Nature manifests itself. 50
Although the concepts behind their names are similar, Heart and Spirit differ in rank and priority. According to Zhang Boduan, the Heart is “silent and unmoving,” and the Spirit moves in response to impulses. What Taoism calls “refining Nature” (lianxing ) is the cultivation of the Heart; what it calls “refining Life” (lianming ) is the joint cultivation of Essence, Breath, and Spirit. As shown by Chen Tuan’s (ca. 920–89) Wuji tu (Chart of the Ultimateless), the Ultimateless (wuji ) is the Heart; the movement of Yang and the quiescence of Yin are the Spirit; and what gathers the five agents together is the Intention (yi ). Therefore Chen Tuan also upholds the view that “Spirit is the ruler.”
According to the alchemical methods of Zhang Boduan, “refining Ming (Life)” comes first, and “refining Xing (Nature)” comes later. At the initial stage of “laying the foundations,” however, Xing and Ming are cultivated together: since the practice at this stage consists in replenishing one’s Ming and in cultivating the ultimate foundation, both Xing and Ming should be attended to simultaneously. Therefore the initial stage involves collecting the mind (shouxin ), guarding Unity (shouyi ), ceasing thoughts (zhinian ), and entering the state of quiescence (rujing ). These four expressions show that, at this stage, one should perform practices to eliminate the impure thoughts (zanian ). The Secret Text of Green Florescence says in this concern:
但於一念妄生之際，思平日心不得靜者，此為梗耳。急捨之，久久純熟。夫妄念莫大於喜怒，怒裡回思則不怒，喜中知抑則不喜，種種皆然，久而自靜。
When even one thought arisen due to delusion is sufficient to cause continuous mental activity, so that the Heart cannot be quiescent, this is a cause of hindrances. Rapidly dismiss that thought; in due course you will become skilled in doing this. Now, among deluded thoughts none is of greater import than joy or anger. If, when you experience anger, you are able to recollect, then you will not experience anger. If, when you experience joy, you know how to restrain it, then you will not experience joy. If you do this every time, eventually you will attain quiescence. 51
This passage refers to ending the flow of thoughts. Therefore collecting the mind is the first requirement to enter the state of quiescence and to control the inner Heart, keeping it silent and unmoving. Although impure thoughts may arise, they are at once restrained. This is the first practice.
“Embracing Unity” means concentrating the mind on one point in order to remove the impure thoughts. Here the word “unity” is meant in a broad sense, i.e., collecting the Heart and the Spirit in one point. Guarding the Cinnabar Field and guarding the “ancestral opening” (zuqiao ) can attain the goal of collecting the mind and ceasing thoughts. 52
Inner observation (neishi ) is also a method of collecting the mind. The Secret Text of Green Florescence says:
心之所以不能靜者，不可純謂之心。蓋神亦役心，心亦役神，二者交相役，而欲念生焉。心求靜，必先制眼。眼者神遊之宅也，神遊於眼而役於心。故抑之於眼而使之歸於心。
When the Heart cannot be quiescent, this is not simply due to the Heart itself. Essentially, Spirit makes use of the Heart, and the Heart makes use of Spirit. They make use of one another, and because of this, thoughts and desires are born. If the Heart seeks quiescence, it is first of all necessary to control the eyes. The eyes are the residences for the roaming of Spirit: Spirit roams through the eyes, and makes use of the Heart. Therefore restrain Spirit through the eyes and cause it to return to the Heart. 53
According to the principles of Taoist alchemy, Spirit is stored in the Heart and is issued from the eyes. In the practice of inner observation, the emphasis is on “observation”: when the eyes are used to observe inwardly, one’s thinking becomes focused, and the Original Breath surges; one internally illuminates oneself, all concerns become empty, delusive thoughts vanish, and one’s Heart is calm and untroubled. This is the third step for entering the state of quiescence. An anonymous master said:
天之神發於日，人之神發於目，目之所至，心亦至焉。
The Spirit of Heaven is issued from the Sun, the Spirit of Man is issued from the eyes. Wherever the eyes go, the Heart also goes.
Therefore when the alchemical masters sit to practice, they coagulate Spirit and stabilize breathing, press the tongue lightly against the upper palate, concentrate the Heart and the eyes inwardly, look down at their Cinnabar Field, and can rapidly enter the state of quiescence.
Intention . The Secret Text of Green Florescence also says: “Intention is the go-between.” 54 The Intention (yi ) is the operation of Spirit; the so-called True Intention (zhenyi ) means that the thought activity issues from the Spirit. If we identify the mind with the brain, then the function of the brain is the Spirit, and its thinking faculty is the Intention. If one controls the joining of the Three Treasures by means of the Intention, then one can activate its intermediary function among the Three Treasures.
For this reason, the Intention is also called “go-between” and Intention-Soil (yitu ). The meaning of “go-between” is that it introduces Yin and Yang to one another for their conjunction. Therefore the alchemical texts also call it Yellow Dame (huangpo ): “yellow” indicates that it pertains to the central agent Soil, and “dame” means that it is the “match-maker” (meipo ), a metaphor for the intermediary that allows the joining of Yin and Yang.
Awakening to Reality attributes a great importance to the Intention-Soil, considering that the True Intention operates throughout the entire alchemical process: Metal, Wood, Water, and Fire achieve completion by means of the True Intention (zhenyi ). One of its poems says: “The four images and the five agents all avail themselves of Soil.” 55 Liu Yiming explains that the “four images” are the Breaths of Metal, Wood, Water, and Fire; with Soil, these are the five agents (wuxing ). Soil, which stands for the Intention (yi ), harmonizes the four Breaths; it forms one “family” by itself, and is the Golden Elixir.
According to the principles of alchemy, Fire in the first place is a code name of the Spirit; since Wood generates Fire, Wood stands for the Original Spirit, and Fire stands for the postcelestial Spirit. Analogously, Water is a code name of the Essence; since Metal generates Water, Metal stands for the Original Essence, and Water stands for the postcelestial Essence. Metal and Water form one family; Wood and Fire form one family; and Soil on its own forms one family. Awakening to Reality says:
三五一都三箇字，古今明者實然稀，東三南二同成五，北一西方四共之。戊己身居生數五，三家相見結嬰兒，嬰兒是一含真氣，十月胎圓入聖基。
Three, Five, One —
all is in these three words;
but truly rare are those who understand them
in past and present times.
East is 3, South is 2,
together they make 5;
North is 1, West is 4,
they are the same.
Wu (戊 ) and Ji (己 ) dwell on their own,
their birth number is 5;
when the three families see one another,
the Infant coalesces.
The Infant is the One
holding True Breath;
in ten months the embryo is complete —
this is the foundation for entering sainthood. 56
“Three, Five, One” means that the three “fives” return to the One.
At the stage of “laying the foundations,” guarding the Cinnabar Field is called “guarding the Intention”: one’s True Intention (zhenyi ) is placed within the Cinnabar Field. When clearing the Function and Control vessels, guarding the Cinnabar Field is called “being guided by the Intention”: Intention (yi ) guides the Breath, and the Breath journeys through the Function and Control vessels. When one enters the state of quiescence, it is said that “the Intention follows the turning of Breath”: here it is important that one “neither forgets nor assists,” and is “neither tense nor inert.” All this pertains to the operation of the True Intention (zhenyi ).
The True Intention (zhenyi ) has different functions at each of the three stages of the alchemical practice. The present section has been concerned with its operation and meaning at the stage of “laying the foundations.” The more advanced meanings will be examined in the following chapters.
* * *
Breath (qi 氣 )
In the alchemical practice, Breath has a wide meaning: it involves both the breath of respiration and the precelestial Breath, or internal Breath (neiqi ). Refining Breath is an important component of the stage of “laying the foundations.”
At the beginning of the practices of collecting the mind and ceasing thoughts, one performs the ordinary breathing: exhaling, the belly contracts; inhaling, it expands. This is called “harmonizing the breathing” (tiaoxi ). Although there are many methods of “harmonizing the breathing,” their common goal is leading one to enter the state of quiescence. Before clearing the Function and Control vessels, one should progressively shift to “inverted breathing”: exhaling, the belly expands; inhaling, it contracts. The technical term for this is “practice of the bellows” (tuoyue gongfu ).
When, in the next stage of the practice, the inhaled breath rises along the Control vessel and the exhaled breath descends along the Function vessel, inhaling and exhaling must join one another. Unless one is already accustomed to inverted breathing, one cannot practice the circulation of the River Chariot. In the alchemical texts, this is called “harmonizing the true breathing” (tiao zhenxi ).
An an even more advanced stage, one does not rely on inhaling and exhaling. At that stage, the spontaneous circulation of the internal Breath (neiqi ) is called “circulation of the hidden Breath” (qianqi yunxing ). It should be noted that, in present-day Qigong, the “circulation of the hidden Breath” is called Lesser Celestial Circuit, but the alchemical texts use the latter term with a different meaning. 57
When the preliminary practices of “laying the foundations” have reached the stage of replenishing the Essence, the gradual coagulation of Spirit, Breath, and Essence occurs. Later, after the Medicine is generated, it is refined together with Spirit. To refer to Breath at this stage of the practice, the Longmen masters use the character 「炁」 (pronounced qi ) instead of the standard character 「氣」 (also pronounced qi ). This character is used as a code name for the joining of Essence and Breath.
The alchemical texts usually make a distinction between “respiration” (huxi , lit., “exhaling and inhaling”) and “harmonizing the breathing” (tiaoxi ). In the latter term, the primary meaning of the word xi 息 is “exhaling and inhaling.” However, when the alchemical texts use this word, they intend to point out the difference between two kinds of breathing. The Zhuangzi says:
真人之息以踵，眾人之息以喉。
The True Man breaths through the heels, the common man breaths through the throat. 58
A gloss on this passage says: “‘Heels’ means that inhalation and exhalation reach the Bubbling Spring” (yongquan ). 59 The Zhuangzi editor, Guo Qingfan (1844–96), notes: “‘Breathing through the heels’ means that the breathing is extremely deep. This shows that the True Man is in a state of deep quiescence.” The Xingming guizhi provides further explanations:
一切常人呼吸皆隨咽喉而下，至中脘而回，不能與祖氣相連，如魚飲水而口進腮出，即莊子所謂「眾人之息以喉」是也。如是至人呼吸則直貫明堂，而上至夾脊，而流入命門，得與祖氣相連，如磁吸鐵，而同類相親，即莊子所謂「真人之息以踵」是也。踵者，真息深深之意。
The common people’s breathing always begins from the throat and then descends, reaches the stomach and then turns around. Thus their breath cannot join the Ancestral Breath; it is like a fish drinking water, which enters from the mouth and exists from the cheeks. This is what Zhuangzi meant when he said, “The common man breaths through the throat.” The breathing of the man of attainment, instead, passes through the Hall of Lights (mingtang ), rises to the Spinal Handle, and flows into the Gate of Life. There it can join with the Ancestral Breath. It is like magnetite attracting iron, or like things of the same kind that join with one another. This is what Zhuangzi meant when he said, “The True Man breaths through the heels.” “Heels” means that his breathing is extremely deep. 60
According to the Zhuangzi , therefore, the True Man’s “breathing through the heels” refers to the precelestial Breath, i.e., the “circulation of the hidden Breath” that we have mentioned above. The common people, instead, breath through the throat, and this is the respiration based on the postcelestial breath. If one focuses on the precelestial Breath, allowing it to rise from the Bubbling Spring, ascend through the Spinal Handle, surge to the Muddy Pellet, descend to the lower Cinnabar Field, and join with the postcelestial breath, then the two breaths join as one, and inhalation and exhalation become extremely deep. This is what Cui Xifan meant when he wrote in his Ruyao jing :
先天炁，後天氣，得之者，常似醉。
Precelestial Breath,
postcelestial Breath.
Those who obtain them
always seem to be drunk. 61
This “Breath prior to Heaven” (xiantian qi ) is the Breath that pervades the Eight Vessels.
“Embryonic breathing. ” Although the Zhuangzi distinguishes “breathing through the throat,” or houxi , from “breathing through the heels,” or zhongxi , in both cases the word xi 息 means “inhalation and exhalation.” When the later alchemical texts use this word, instead, they often mean the internal breathing, i.e., the “circulation of the hidden Breath.” For example, the term “embryonic breathing” (taixi ) means that Breath has reached a stage in which the breathing through the nostrils is extremely subtle and almost imperceptible, as if the external inhaling and exhaling had come to a halt. The Eight Vessels are cleared, and the whole body feels comfortable; just like an embryo in the womb, there is no external inhaling and exhaling, but only the “circulation of the hidden Breath.” This state, nevertheless, pertains to the initial stage of the practice, when the harmonization of breathing serves to pacify the Heart. When the practice progresses, and Heart and Spirit become one, then Heart and breathing rely on one another, and one reaches the state in which one forgets one’s self. Then, by means of the practice of quiescence, the External Medicine is spontaneously produced, and the stage of “laying the foundations” is concluded.
Awakening to Reality says:
謾守藥爐看火候，但安神息任天然。
Desist from guarding the furnace of the Medicine
and from watching over the fire times:
just settle the breathing of the Spirit
and rely on the celestial spontaneity. 62
This means that one can refine the Medicine only after the “breathing of the Spirit” has settled. This state, however, can only be sought by means of such practices as the “breathing through the heels” and the “embryonic breathing.”
The Taixi ming (Inscription on Embryonic Breathing), which is appended to one of the editions of the Taixi jing (Scripture of Embryonic Breathing) in the Taoist Canon, says:
三十六咽，一咽為先，吐唯細細，納唯綿綿。坐臥亦爾，行立坦然 … 假名胎息，實曰內丹，非只治病，決定延年。
As regards the thirty-six breathings, for each of them the most important thing is that exhalation should be very slight, and inhalation should be very long drawn. Whether sitting or lying, this rule should be observed; whether walking of lying, the breathing should be smooth. . . . This is metaphorically called “embryonic breathing”; in fact, it is the Internal Elixir. Not only will it cure diseases: it will also grant a long life. 63
The Taixi jing itself says:
心不動念，無來無去，不出不入，自然常住。
If the Heart does not stir thoughts, neither coming nor going, neither exiting nor entering, it will constantly dwell of its own accord. 64
These passages refer to the actual practice of “embryonic breathing.”
* * *
Essence (jing 精 )
In the alchemical texts, Essence, Breath, and Spirit are specialized terms, used in substantially different ways compared to the medical texts. These differences are often indicated by the use of such expressions as Original Essence (yuanjing ), precelestial Essence (xiantian jing ), or True Essence (zhenjing ), on the one hand; and postcelestial essence (houtian jing ) or “essence of the intercourse” (jiaogan jing , i.e., semen), on the other hand. Bai Yuchan explicates this point saying:
其精不是交感精，乃是玉皇口中涎。
This essence is not the essence of the intercourse:
it is the saliva in the mouth of the Jade Sovereign. 65
The Jade Sovereign (Yuhuang) represents the Origin, and the “saliva in his mouth” represents the precelestial state. This passage shows that the terms used in the alchemical texts should not be confused with those used in the medical texts. Min Yide’s (1748–1836) commentary on this passage states: “This is what we call Original Essence.”
When the alchemical texts use the word “original” (yuan ), they refer to the Origin (yuanshi ), i.e., to a primordial substance that is not born in the postcelestial state. Therefore the Shihan ji (Records from a Stone Casket), attributed to Xu Jingyang (also known as Xu Xun, trad. 239–374), says:
元陽即元精，發生於玄玄之際。元精無形，寓於元炁之中。若受外感而動，與元炁分判，則成凡精。
Original Yang is the same as Original Essence, sent forth from the bourns of the Mystery beyond the Mystery. Original Essence has no form, and resides within Original Breath. If it receives an external stimulus, then it moves: it separates from Original Breath, and becomes the common essence. 66
During the Ming dynasty, Wan Shangfu wrote:
精在先天時，藏於五臟六腑，氤氳而未成形，後天之念一動，則成為後天之精。
When the Essence is in the precelestial state, it is stored in the five viscera and the six receptacles, misty and murky and still formless. As soon as a single thought moves in the postcelestial state, it becomes the essence of the postcelestial state. 67
This shows that, in the alchemical texts, the word “essence” denotes the life functions and the very foundation of life, in a way comparable to the internal secretions and the hormones.
Taoism deems Essence to be the “mother of the Elixir” (danmu ) and regards it as life’s basic element. When the Essence is damaged, it causes weakening and aging; when it is reborn, it can lead to a long life. A flourishing energy is the foundation of youthful vigor. When this basic element coagulates with Breath, the Elixir is achieved. If the code name “essence” found in the alchemical texts is confused with the physiological essence discussed in the medical texts, misunderstandings can easily occur.
Essence as “prima materia. ” Wu Shouyang (1574–1644) says in his Xian Fo hezong yulu (Recorded Sayings on the Common Origin of the Immortals and the Buddhas):
元精何故號先天，非象非形未判乾。太極靜純如有動，仙機靈竅在無前。
Why is the Original Essence called “precelestial”?
The undivided Qian ☰ is devoid of image and form.
In the Great Ultimate, quiescent and pure, there is something like a movement:
The Numinous Opening, mainspring of immortality, lies in what has nothing prior to Itself. 68
This poem requires an explanation. 69 Qian ☰ stands for Heaven. “Undivided Qian” means the time when Heaven and Earth have not yet separated from one another and are in an inchoate state; they are devoid of form and image, and there is only the Breath of Emptiness and Non-Being. These sentences describe Original Essence as the earliest stage in the origin of the cosmos. This Essence blooms into the misty and murky Great Breath, and lodges within the five viscera: it is not the physiological essence of the medical texts.
The Great Ultimate is Emptiness and Non-Being; it is “ultimate emptiness” and “utmost quiescence.” 70 Within the precelestial Original Essence, after “guarding Unity” and “harmonizing the breathing,” quiescence reaches a state of ultimate purity. Then there is the subtle awareness of a movement: the Medicine is going to be generated. The word “like” in the sentence “there is something like a movement” means that it seems to be a movement, but actually is not a movement. This Essence is entirely devoid of the qualities of the postcelestial essence, and thus can be used as prima materia (yuanliao ) to compound the Numinous Medicine (lingyao ).
“The Numinous Opening, mainspring of immortality” is that in which “there is something like a movement.” In the expression “lies in what has nothing prior to Itself,” “nothing” (wu ) means that there is not yet matter: as it “lies in what has nothing prior to Itself,” it is devoid of form and matter. Breath is exceedingly abundant and Essence is exceedingly pure: this is the nature of the precelestial Essence, or Original Essence.
Although Wu Shouyang was a master of the Northern Lineage, he lived at the end of the Ming period and thus he could also receive the transmission of the Southern Lineage. The understanding of the Original Essence after the unification of the two lineages is the same.
The nature of Original Essence . The Essence, Breath, and Spirit that are used for compounding the Elixir are, in the first place, a single entity, and cannot be sharply distinguished from one another. However, the stage of “laying the foundations” consists of practices of replenishment. Since Essence is the foundation of the Elixir, Spirit is the ruler, and Breath is the moving force, what needs to be replenished at this stage is most often the Original Essence. Therefore protecting, replenishing, and harmonizing the Essence have the purpose of improving the foundation. Essence, Breath, and Spirit then harmonize, transform, and coagulate with one another. When Essence is abundant, Breath is full, and Spirit is flourishing, one can begin the practice of “refining Essence to transmute it into Breath.”
In his Secret Text of Green Florescence , Zhang Boduan states that Essence comes from Breath. He says:
神有元神，氣有元氣，精得無元精乎？ … 元神見而元氣生，元氣生則元精產。
As regards Spirit, there is an Original Spirit, and as regards Breath, there is an Original Breath. Therefore as regards Essence, how could there not be an Original Essence? . . . When the Original Spirit appears, the Original Breath is generated, and when the Original Breath is generated, the Original Essence is born. 71
This is in agreement with Wu Shouyang’s discourse quoted above: “The undivided Qian ☰ is devoid of image and form” means that, in the realm of Original Spirit, “there is something like a movement” within the pure and quiescent Great Ultimate, and the Original Breath is generated. “The Numinous Opening, mainspring of immortality, lies in what has nothing prior to Itself” means the time when the Original Essence is born. In the same text, however, Zhang Boduan also says:
藥不離精、氣、神，藥材又精氣神之所產也。 … 三者孰為重？曰：神為重。金丹之道，始然以神而用精、氣也。〔神氣精常相戀，而〕神者性之別名也，至靜之餘，元氣方產之際，神亦欲出，急庸定以待之，不然，是散而無用之體也。
The Great Medicine cannot separate itself from Essence, Breath, and Spirit; and the ingredients of the Medicine are also born from Essence, Breath, and Spirit. . . . Which of these three is most important? Spirit is most important. The Way of the Golden Elixir begins with Spirit, but also uses Essence and Breath. [Spirit, Breath, and Essence always long for one another, but] Spirit is another name for one’s Nature. In the state of absolute quiescence, when the Original Breath is on the point of being produced, Spirit is also ready to emerge. You should rapidly attend to them, otherwise Spirit would disperse itself and would become a useless thing. 72
This means that the Medicine is formed by the union of “these three.” If any of them is not sufficient, then the stage of “laying the foundation” has not yet been completed: they cannot be used to make the Numinous Medicine (lingyao ), and without ingredients one cannot “refine Essence and transmute it into Breath.”
Therefore one of Zhang Boduan’s poems says:
咽津納氣是人行，有藥方能造化生，鼎內若無真種子，猶將水火煮空鐺。
Swallowing saliva and ingesting breath are human actions;
only when you have the Medicine can you form and transform.
If in the tripod there is no True Seed,
it is like using water and fire to boil an empty pot. 73
The dregs of the postcelestial state cannot generate the perfectly numinous, precelestial Elixir. This is why Zhang Boduan uses the expression “true seed” (zhen zhongzi ): he emphasizes that he means something different from a material entity, so that no one would misunderstand his words.
Awakening to Reality also says:
見之不可用，用之不可見。
What you see cannot be used,
what you use cannot be seen. 74
These words clarify that Original Essence is devoid of form and matter. As soon as matter is generated, it cannot be used as “mother of the Elixir.” Lü Dongbin says:
息精息氣養精神，精養丹田氣養身，有人學得這般術，便是長生不死人。
Increase your Essence, increase your Breath, and nourish Essence and Breath:
when your Essence nourishes the Cinnabar Field, your Breath nourishes you.
Anyone who is capable of studying this Art
will live a long life without death. 75
These words clarify, in turn, that Essence, Breath, and Spirit must be refined together.
In the Huangdi neijing (Inner Canon of the Yellow Emperor) we read:
知之則強，不知則老，故同出而名異耳。智者察同，愚者察異，愚者不足，智者有餘。有餘而耳目聰明，身體輕強，老者復壯，壯者益治。是以聖人為無為之事，樂恬淡之能。
One who knows them becomes strong, one who does not know them becomes old. “They come forth together, but have different names.” 76 The wise observes their sameness, the foolish observes their differences. The foolish does not have enough, the wise has more than enough. Since he has more than enough, his ears and eyes are sharp and bright, and his body is light and strong; when he becomes old he can revert to his prime, and when he is in his prime he can benefit the government. Therefore the sage does the deed of non-doing and rejoices in the capacity of being calm and tranquil. 77
“The wise observes their sameness” means that Essence, Breath, and Spirit are a single entity, and operate with one another. The transformation of the three is achieved by means of the transformation of Breath in the human body. Therefore Zhang Boduan states in his Secret Text of Green Florescence that “Essence comes from Breath.” He states, in other words, that at the stage of “laying the foundations” one should refine the Three Treasures together; only then can the Medicine be obtained, and only then can one possess the proper foundation to enter the stage of the Barrier of the Hundred Days.
* * *
2.1.3. Terms Related to the “Coagulation of the Three Treasures”
“Refining” (lian 煉 )
The term “refining” derives from Waidan (External Alchemy). In Waidan, the ingredients are refined by fire. In Neidan (Internal Alchemy), instead, Essence (jing ) is refined by Spirit (shen ). Therefore Spirit is represented by Fire, and Essence is represented by Water. “Refining Water by means of Fire” is equivalent to saying that Spirit leads Breath and refines the Essence.
The word “refining” applies to all four stages of the alchemical practice: “laying the foundations,” “refining Essence to transmute it into Breath,” “refining Breath to transmute it into Spirit,” and “refining Spirit to return to Emptiness.” In this section, however, I will discuss “refining” only in relation to “laying the foundations.”
In Waidan, the basic meaning of the word lian (煉 ) is “to refine by heating.” Neidan borrows this word as a metaphor for self-cultivation. After the human body has gone past the age of childhood, Essence, Breath, and Spirit are damaged; therefore they should be replenished before one can start compounding the Medicine. Although the refining of Spirit pertains to the practice of Xing (Nature), and the refining of Essence and Breath pertains to the practice of Ming (Life), at the initial stage of the practice, Xing and Ming should be cultivated together.
Refining the Spirit is the same as refining the Heart. Lü Dongbin says in the Changdao zhenyan (True Words Chanting the Dao):
煉丹先要煉心。煉心之法，以去閑思妄想為清靜法門。
Before you refine the Elixir, you must refine your Heart. The method of refining the Heart is the dharma-gate (famen ) to clarity and quiescence (qingjing ), through the elimination of idle thoughts and deceiving concepts. 78
These words highlight the practice of “sitting in quiescence” (jingzuo ). Bai Yuchan said:
夫道以無心為體，忘言為用，柔弱為本，清靜為基。
The Dao takes having no-mind as the substance, forgetting words as the operation, being yielding and weak as the root, and being clear and quiescent as the foundation. 79
In his Secret Text of Green Florescence , Zhang Boduan says:
心和則氣和，氣和則形和，形和則天地之和應矣。
When the Heart is harmonious, Breath is harmonious; when Breath is harmonious, the form is harmonious; when the form is harmonious, Heaven and Earth respond with their harmony.
Then he continues by saying that seeking the harmony of the Heart lies in the single word “quiescence.” If, on seeing or hearing something, one does not experience joy or anger, one can bring one’s Heart to quiescence. Zhang Boduan concludes by saying:
口訣曰：目不亂視，神返於心，神返於心，乃靜之本。
The oral instructions say: When the eyes do not see in a disordered way, Spirit returns to the Heart. When Spirit returns to the Heart, this is the foundation of quiescence. 80
Here Zhang Boduan maintains that collecting the Heart and the Breath is the focal point of the initial stage of the practice. This is in agreement with the methods of the Northern Lineage (Beizong).
When the Heart is calm, the Breath is harmonious; therefore refining the Spirit is the same as refining the Breath. Refining the Breath, in turn, is equivalent to refining the Spirit: each supports and completes the other, and each is the operation of the other. The practice of “harmonizing the breathing” that we have discussed in one of the previous sections consists in refining the Breath, and corresponds to the teaching found in the poem of Awakening to Reality quoted above: “Just settle the breathing of the Spirit and rely on the celestial spontaneity.” 81
With regard to “laying the foundations,” the Southern Lineage differs from the Northern Lineage in the emphasis placed on harmonizing, replenishing, and refining the Original Essence. Its masters maintain that, while the state of strength or weakness differs from person to person, in all cases after childhood the Original Essence is subjected to damage. Therefore it should be furthered by means of practices of harmonization. Only then can Original Essence be replenished and become the “mother of the Elixir” (danmu ). What is the Original Essence? It is the source of the flourishing life force (shengming li ), the dynamism of incipience and youth; it is related to the vital functions and the internal secretions (fenbi ). When it is harmonized and replenished by means of the alchemical process, then Essence is abundant, Breath is full, and Spirit flourishes. The Three Treasures coagulate with one another and form the Medicine, and one begins the practices of the Barrier of the Hundred Days.
“Refining the Ji-Soil .” In Chinese, “laying the foundations” is also called lianji (炼己 ). The word lian , as we have seen, means “to refine.” The word ji is interpreted in two ways. According to the first interpretation, it means “self” (ziji 自己 ), and lianji means to refine one’s own Three Treasures in order to build a proper foundation. According to the second interpretation, ji means the “Ji-Soil” (ji-tu 己土 ); since Ji 己 is contained within the trigram Li ☲ , it means the Original Spirit (also called Nature of the Mind, xinxing , and True Intention, zhenyi ). 82 The Xingming guizhi says:
煉己土者，得離日之汞，煉戊土者，得坎月之鉛。戊土上行，己土下降。
By refining the Ji-Soil (ji-tu 己土 ) you obtain the Mercury within Li ☲ , the Sun. By refining the Wu-Soil (wu-tu 戊土 ) you obtain the Lead within Kan ☵ , the Moon. The Ji-Soil rises, the Wu-Soil descends. 83
The technical terms for this practice are “drifting Wu 戊 to reach Ji 己 ” (liu wu jiu ji ) and “taking from Kan ☵ in order to fill Li ☲ ” (qu kan tian li ). Others call it “using the kidneys to replenish the heart” (yishen buxin ), “reverting the course of the Essence to replenish the brain” (huanjing bunao ), or in other ways. Although different authors use these expressions in different ways, they all agree in emphasizing that harmonization and refining constitute the initial stage of the practice.
Awakening to Reality says:
離坎若還無戊己，雖含四象不成丹。
If Li ☲ and Kan ☵ do not return to Wu and Ji,
they may well hold the four emblems, but will not make the Elixir. 84
These verses also refer to the practice of lianji (炼己 ).
* * *
“Harmonization” (tiao 調 )
The Chinese character 「調」 has two readings and two meanings. When it is read tiao , it means “to harmonize, to regulate, to make even.” When it is read diao , it means “to transfer, to allocate.” The alchemical texts contain examples of both usages. Here, however, I will discuss only the first meaning.
“Harmonizing the Spirit” (tiaoshen ), “harmonizing the breathing” (tiaoxi ), and “harmonizing the Essence” (tiaojing ) are actually one and the same thing; even though they are discussed separately, their goal is the same.
Harmonizing the Spirit . In his Secret Text of Green Florescence (Qinghua biwen ), Zhang Boduan discusses “harmonizing the Spirit,” and maintains that it requires the use of the internal senses of sight, hearing, and smell. His reasoning is as follows:
夫兩目為役神之捨，顧瞻視聽，神常不得離之。兩耳為送神之地，蓋百里之音聞於耳，而神隨之而去。兩鼻為勞神之位，隨感而辯辯之者誰？神也。 … 〔所以〕忘於目，則神歸於鼎，而燭於內，蓋綿綿若存之時，目垂而下顧也。忘於耳，則神歸於鼎，而聞於內，蓋綿綿若存之時，耳內聽於下也。忘於鼻，則神歸於鼎，而吸於內，蓋真息既定之時，氣歸元海也。
The eyes are the locus for making use of the Spirit. When anything is seen or watched by the eyes, the Spirit cannot separate from it. The ears are the site for sending off Spirit. One might say that if the ears hear a sound coming from one hundred miles away, the Spirit would follow it and would leave. The nostrils are the position for toiling the Spirit. What is it that discriminates following the external impulses? It is the Spirit. . . .
[Therefore] if one detaches oneself from the eyes, then the Spirit returns to the Tripod and the eyes watch inwardly. Essentially, when this becomes “unceasing and continuous,” the eyes see what lies below. 85
If one detaches oneself from the ears, then the Spirit returns to the Tripod and the ears listen inwardly. Essentially, when this becomes “unceasing and continuous,” the ears innerly hear what lies below.
If one detaches oneself from the nostrils, then the Spirit returns to the Tripod and one inhales inwardly. Essentially, when this becomes “unceasing and continuous,” one’s breath returns to the Original Ocean. 86
Zhang Boduan also says:
意生於心，心生於目，故老子曰：「吾嘗觀心，得道亦至 𥌎」。夫真息既定，內光乃神光，此心乃真心。真心生意，神光燭心。故常為之說曰：「目視心，心生意，意採鉛」。
The Intention is generated in the Heart, and the Heart is generated in the eyes. Therefore Laozi said: “I always contemplate the Heart, and attain the Dao in the blink of an eye.” After the true breathing has been stabilized, the inner radiance is the radiance of the Spirit, and this Heart is the True Heart. The True Heart generates the Intention, and the radiance of the Spirit illuminates the Heart. Therefore it is often said: “The eyes watch the Heart, the Heart generates the Intention, the Intention collects the Lead.” 87
The Yinfu jing (Scripture of the Hidden Agreement) says: “The mainspring is in the eyes.” 88 Essentially, the Spirit is stored within the Heart and is issued from the eyes. If the Spirit is collected within, then it ties itself to the eyes and one observes inwardly. Thus the Spirit and the eyes contemplate and comprehend together. The “six thieves” (liuzei ) are removed, leading one to enter a state of quiescence. 89 This is called “circulating the light and inverting the radiance” (huiguang fanzhao ), “cessation and contemplation” (zhiguan ), 90 or “inner observation” (neishi ).
Shao Yong (1012–77) also emphasizes that “harmonizing the Spirit” should be assisted and guided by means of the eyes’ “inner observation.” In one of his poems he says:
乾遇巽時觀月窟，地逢雷處見天根，天根月窟閑來往，三十六宮皆是春。
When Qian (Heaven ☰ ) meets Xun (Wind ☴ ), contemplate the Moon’s Lair,
when the Earth (Kun ☷ ) comes across the Thunder (Zhen ☳ ), observe the Heaven’s Root.
Leisurely go back and forth between the Moon’s Lair and the Heaven’s Root:
in all the thirty-six palaces it is spring. 91
According to representation of the human body by means of the trigrams, the top of the head is Qian ☰ (Heaven) and the belly is Kun ☷ (Earth). When the circulation of the internal Breath (neiqi ) reaches the top of the head, represented by the hexagram Gou ䷫ formed by Heaven ☰ and Wind ☴ , one guards the Cavity of the Moon’s Lair (yueku xue ), i.e., the “ancestral opening.” When it reaches the hexagram Fu ䷗ , formed by Earth ☷ and Thunder ☳ , one guards the Heaven’s Root (tiangen ), i.e., the Cavity of the Caudal Funnel. Whether one “contemplates” or “observes,” in either case one should use the eyes. When the Heart and the eyes operate together, Spirit and Breath join as one. 92 Above one contemplates the Moon’s Lair, below one observes the Heaven’s Root; the internal Breath moves cyclically, passing through the three Barriers and flowing through the three Fields. All this happens by means of “harmonizing the Spirit.”
According to the oral instructions found in the alchemical texts, “at the beginning of the practice one should coagulate the Spirit.” In the Secret Text of Green Florescence , Zhang Boduan explains:
所謂「凝神」者，蓋息念而返神於心， … 神融於精氣也。
What we call “coagulation of the Spirit” essentially consists in ceasing thought and returning the Spirit to the Heart. . . . This means that Spirit merges with Essence and Breath. 93
The conjunction of Spirit with Breath and Essence is the benefit of “harmonizing the Spirit.” Awakening to Reality says:
虛心實腹義俱深，只為虛心要識心。
Empty the mind, fill the belly: the meanings are both profound.
It is precisely in order to empty the mind that you should know the mind. 94
Liu Yiming explains this poem saying:
虛心者，虛人心，修性之事。實腹者，實道心，修命之事。
“Emptying the mind” means emptying the human mind (renxin ) and cultivating one’s Nature. “Filling the belly” means filling the mind of the Dao (daoxin ) and cultivating one’s Life. 95
The terms “human mind” and “mind of the Dao” indicate that during the process of refining one’s thoughts into Original Spirit, both Spirit and cognition are functions of the method of harmonization.
Harmonizing the Breathing . The functions of “harmonizing the breathing” and “harmonizing the Spirit” are the same. In the Secret Text of Green Florescence we read:
盖心始欲静而欲念未息。欲念者，氣質之性所為也。 … 其所以役神者，以外物诱之耳。〔故〕靜坐之際，先行閉息之道。閉息者，夫人之息一息未際，而一息續之。今則一息既生，而抑後息。後息受抑 ，故續之緩緩焉。久而息定。抑息千萬不可動心，動心則逐於息，息未止而心已動矣。 … 〔所以〕閉息而又存心，則心不動，而息亦息矣。
Essentially, the Heart in the first place wants quiescence, but thoughts and desires do not rest. Thoughts and desires are created by one’s temperament (qizhi zhi xing ). . . . The Heart makes use of Spirit by enticing it through the external objects. [Therefore] when you are sitting in quiescence, you should first of all practice the method of stopping breathing (bixi ).
What is “stopping breathing”? In the breathing of the common people, before one breath has been completed, it is followed by the next breath. Now, instead, after one breath is born, you restrain the next breath. Since the next breath is restrained, it follows the previous breath unhurriedly. In due time, the breathing becomes stabilized.
When you restrain your breathing, you should not by any means move your mind: if you move your mind, then it would be chased by your breathing, and before one breath comes to an end, your mind would be already in motion. . . . [Thus] when stop your breathing, and you also maintain your mind quiescent, then your mind does not move, and your breathing rests. 96
In this passage, Zhang Boduan describes “harmonizing the breathing” as the support to enter the state of quiescence. The later Neidan masters called this “internal breathing” (nei huxi ). This term means that, in inhaling and exhaling through the nose, one’s breathing should be subtle and long-drawn, continuous and uninterrupted.
In the Zhixuan pian (Pointing to the Mystery), Lü Dongbin says:
但能息息常相顧，換盡形骸玉液流。
If you can let each breath attend to the next breath,
you will transfigure your corporeal shape and the Jade Liquor will flow.
Harmonizing the Essence . An alchemical text explains “harmonizing the Essence” saying:
積神生氣，積氣生精，此自無而至有也。煉精化氣，煉氣化神，煉神還虛，此自有而至無也。
Accumulating the Spirit to generate Breath, and accumulating the Breath to generate Essence: this is going from Non-Being to Being. Refining the Essence to transmute it into Breath, refining the Breath to transmute it into Spirit, and refining the Spirit to return to Emptiness: this is going from Being to Non-Being. 97
Therefore Spirit, Breath, and Essence give birth to and form one another, and cannot be separated from each other. When the Spirit in the Heart is harmonized, then Essence is generated. Awakening to Reality says:
竹破還應竹補宜，抱雞當用卵為之，萬般非類徒勞力，爭得真鉛合聖機。
When bamboo breaks, you should use bamboo to repair it;
to hatch a chicken, you must use an egg.
If all things are not of the same kind, you merely toil yourself:
strive to obtain the True Lead, and you will join with the mainspring of sainthood. 98
At the stage of “laying the foundations,” emphasis is placed on replenishing the Three Treasures. Among them, the Original Essence is the foundation for refining the Elixir; therefore it should be generated and replenished. When it has been replenished, emphasis is placed on “harmonization.” But how should Original Essence be harmonized? Obviously, by means of one’s own vital functions, in order to recover a youthful state. Therefore Zhang Boduan underlines that when bamboo breaks, it should be repaired with bamboo. 99 In his Huanyuan pian (Reverting to the Origin), Shi Tai similarly writes:
屋破修容易，藥枯生不難，但知歸復法，金寶積如山。
If the Chamber breaks, repairing it is easy,
if the Medicine withers, generating it is not difficult.
As long as you know the method for returning,
the golden treasure accumulates like a mountain. 100
The “method for returning” mentioned in this poem is the method of harmonization. In his Xian Fo hezong yulu (Recorded Sayings on the Common Origin of the Immortals and the Buddhas), Wu Shouyang says:
唯自家以此精補精，以此炁補炁，不必別行異術，何其易修。
Simply repair by yourself this Essence with your Essence, and this Breath with your Breath. You do not need to perform any odd practice, or how could self-cultivation be easy? 101
The Xingming guizhi says:
一者，有物混成，先天地生是也。以其流行謂之炁，以其凝聚謂之精，以其妙用謂之神。始因太極一判，分居陰陽二體之中。是以聖人明天地之要，知變化之源，取精於水府，召神於靈闕，使歸玄牝竅中，三家聚會， 合為一體。
Unity is “something inchoate and yet accomplished, born before Heaven and Earth.” 102 As it flows into movement, it is called Breath; as it coagulates and condenses itself, it is called Essence; as it has a wondrous operation, it is called Spirit. Since the division of the Great Ultimate, it resides in the two bodies of Yin and Yang. Therefore the saint comprehends the essentials of Heaven and Earth, and knows the source of all transformations. He collects the Essence from the Palace of Water (shuifu ), summons the Spirit from the Numinous Portal (lingque ), and causes them to return to the Opening of the Mysterious-Female. When the three families coalesce together, they join in one body. 103
According to the passages quoted above, “harmonizing the Essence” requires the joint refining of Essence, Breath, and Spirit; it does not consist in the cultivation of a single entity. Therefore Awakening to Reality cautions:
陽裏陰精質不剛，獨修此物轉羸尪，勞形按引皆非道，服氣餐霞總是狂。舉世謾求鉛汞伏，何時得見龍虎降，勸君窮取生身處，返本還元是藥王。
The Yin essence within Yang
is not a firm substance:
if you cultivate only this thing
you will become ever more weak.
Toiling one’s body and pressing and pulling
is certainly not the Way,
ingesting breath and swallowing mist
is entirely foolish.
The whole world recklessly tries
to subdue Lead and Mercury —
when will they be able to see
Dragon and Tiger submitted?
I exhort you to probe and grasp
the place where one comes to life:
return to the fundament, revert to the origin,
and you are a Medicine King. 104
This shows that Original Essence, Original Breath, and Original Spirit cannot be separated from one another, and should be cultivated together. In his commentary to this poem, Liu Yiming says:
勞形按引，服氣餐霞，不是煉陰精便是補陰精，與道相隔，愈修愈遠，安能伏真鉛真汞而歸於一氣耶！
Toiling one’s body, pressing and pulling (anyin ), ingesting breath, and swallowing mist (canxia ): all this consists either in cultivating the Yin essence or in replenishing the Yin essence. 105 This is unrelated to the Dao: the more one would cultivate oneself, the more one would go away from the Dao. How could one subdue the True Lead and the True Mercury, and return to the One Breath? 106
This passage sheds light on an essential point concerning the three methods of harmonization that we have discussed above.
* * *
2.1.4. Conclusion of the Stage of “Laying the Foundations”
The alchemical practice is divided into two main parts. “Laying the foundations” is the initial practice of replenishing, the preparatory practice for refining the Elixir. The alchemical texts call this stage the “arts of the Way” (daoshu ). The next three stages, namely the Barrier of the Hundred Days (bairi guan , i.e., “refining Essence and transmuting it into Breath”), the Barrier of the Ten Months (shiyue guan , i.e., “refining Breath to transmute it into Spirit”), and the Barrier of the Nine Years (jiunian guan , i.e., “refining Spirit to return to Emptiness”), are called the “arts of Immortality” (xianshu ).
When Essence is abundant, when Breath is full, and when Spirit is flourishing, they are called “the three wholes” (sanquan ). The abundance of Essence is seen in the teeth; the fullness of Breath is seen in the voice; and the flourishing of Spirit is seen in the eyes. After the completion of “laying the foundations,” one’s teeth are healthy, one’s voice is vibrant, one’s eyes are luminous, and one can reach the goal of eliminating illnesses and extending the length of life. In fact, the practice at this stage consist in actualizing the inherent life force of the body and in applying the natural, spontaneous potential of the human being. When the mind is in command of the physical body, and the faculty of thought is in control of the nervous system, it is possible to eliminate illnesses and extend one’s longevity.
Several present-day varieties of Qigong applied to medical treatment derive from the initial stage of the alchemical practice. According to Zhang Boduan, however, this stage of the practice should be transmitted by a master. In his Awakening to Reality he does not provide detailed indications about this stage, and in his three other works it is seen only sporadically. For this reason, the chapter on “laying the foundations” of the present book has not quoted only poems and passages from Awakening to Reality , but also from other sources.