《道德真經廣聖義》Vol. 42

Extensive Commentary on the True Scripture of the Dao and Its Virtue, Scroll Forty-One (Excerpt)

Fourth Line

Composed by Du Guangting, Master Guangcheng of the Tang

Chapter Fifty-Nine: Governing the People and Serving Heaven

(The commentary on the preceding chapter explains that governing through Wuwei (non-action) brings people to a state of simplicity and harmony. This chapter explains that in managing people and serving Heaven, nothing surpasses frugality. It begins by stating, “In governing the people and serving Heaven, nothing is better than frugality”; the words “Only by” onward then connect this to the preceding meaning; and the words “This is called” onward offer the image of deep roots to illustrate the way of lasting endurance.)

Meaning: The preceding chapter used the four virtues of squareness, integrity, straightforwardness, and radiance to teach the art of governing a state. This chapter explains how the four-character teaching of “frugality” turns that instruction toward serving Heaven. Good governance extends the state’s fortune and prosperity; good service to Heaven makes life long-lasting. This continues the meaning of the preceding chapter.

Scripture: In governing the people and serving Heaven, nothing is better than frugality.

Commentary: Frugality means cherishing and conserving. If a ruler wishes to govern the people and respectfully serve Heaven, nothing is better than cherishing resources and esteeming thrift. When the granaries are full, the people understand ritual and law, and the farming seasons are not disrupted, Heaven will send down auspicious blessings. When people are at peace, they can be governed; when Heaven protects the ruler, Heaven can be served.

Subcommentary: Frugality means cherishing. The passage says that when a ruler wishes to educate the people below and respectfully serve the Supreme Lord, the foremost virtue is to cherish resources—that is, the virtue of thrift. Thrift makes supplies sufficient and brings people together. When sacrificial grain is plentiful and prepared, Heaven receives offerings of manifest virtue; hence the text says, “nothing is better than frugality.”

Meaning: Thrift is the first principle of government, and resources are the foundation for gathering people. Thus the Classic of Changes says: “What gathers people together? Wealth.” Without thrift, wealth is easily dissipated; without abundant resources, it is difficult to gather the people. Conserving resources reduces expenditure; reduced expenditure makes the people prosperous; and when the people are prosperous, the state is secure and strong.

The state’s major expenditures fall into four categories: sacrifices, military affairs, guests, and food. Sacrifices proclaim the state’s service to the Supreme Lord. The Son of Heaven offers sacrifices to the Supreme Lord in the suburbs and makes ancestral offerings in the Bright Hall, showing that there is one who is revered. How could these rites fail to be pure and reverent? The sacrificial grain is plentiful and prepared—the Spring and Autumn Annals records that in the sixth year of Duke Huan, King Wu of Chu invaded Sui. He sent the grandee Wei Zhang to seek a settlement and camped at Xia in Sui while he waited. The people of Sui sent Shaoshi to oversee the negotiations. Dou Bobi said to the ruler of Chu: “I have failed to achieve my aim east of the Han River, and that is my own doing. If I deploy our three armies, equip them with armor and weapons, and use our military might to intimidate them, they will be afraid.” (The following subcommentary continues its discussion of military affairs, guests, food, and the use of frugality, but the excerpt ends here, after quoting the passage on sacrificial grain.)

Plain-language summary: This chapter presents Laozi’s teaching that “in governing the people and serving Heaven, nothing is better than frugality.” Both governing the state and serving Heaven should begin with frugality—cherishing resources and spending them sparingly. Du Guangting explains this in the commentary, subcommentary, and exposition: frugality is not stinginess but a virtue that conserves resources and enriches the people, filling granaries, clarifying ritual, and inviting auspicious blessings from Heaven. He uses the state’s expenditures on sacrifices, military affairs, guests, and food to show that without frugality, resources are scattered and people drift away; with it, the state is secure and able to serve Heaven. Citing the Classic of Changes saying “wealth gathers people” and the Spring and Autumn Annals account of Chu and Sui, he explains that abundance and military deterrence both depend on the state’s strength, which in turn rests on frugality.

Plain-Language Interpretation

(The passage continues a context like “They join forces to scheme against us, so it is hard to hear the truth.”) East of the Han River lay the state of Sui, which was considered a great power. If Sui expanded, the smaller states would be cast aside; if they broke with Chu, they would gain little. Shaoshi, a powerful minister of Sui, was extravagant and reckless, and asked for more troops to expand the state. Xiong Shuaiqiebi said, “Jiliang, Sui’s worthy minister, is still there. What use would more troops be?” Dou Bobi replied, “This is a plan for the future.”

Jiliang offered advice, but the Marquis of Sui saw him only once. The marquis listened to Shaoshi and followed his strategy. The King of Chu destroyed his own army and received Shaoshi. When Shaoshi returned home, he urged the marquis to pursue the Chu army, and the marquis was inclined to agree. Jiliang stopped him, saying, “Heaven is now set on helping Chu. Chu is deliberately showing weakness to lure us in. Why should our lord be so hasty? I have heard that when a small state can withstand a great one, it is because the small state has gone too far in its own way. What is called the ‘Way’ means loyalty to the people and sincerity toward the spirits. A ruler who puts the people’s welfare first is loyal; when the invocators and recorders speak truthfully, that is sincerity. Now the people are hungry while the ruler indulges his desires, and the invocators invent words for the sacrifices. I do not know what good this can do.”

The Marquis of Sui said, “My sacrificial animals are well fed, and my offerings are abundant and complete. How could I lack sincerity?” Jiliang answered, “The people are the spirits’ masters. That is why sage kings first ensure the people are prosperous, and only then devote themselves to serving the spirits. When an animal is offered, the invocation says ‘broad, large, well-fattened, and sound.’ This means that the people’s strength has been preserved throughout the land; the animals are large and thriving; they are free from disease; and the offerings are complete. When grain is offered, the invocation says ‘pure grain, plentiful and abundant.’ This means that the three seasons of spring, summer, and autumn have been free of disaster, and that the people live in harmony and the harvest is good. When wine is offered, the invocation says ‘fine, clear, and delicious wine.’ This means that those above and below possess good Virtue and harbor no thoughts of disobedience—in other words, that there has been no slander or malice during the three seasons. When people devote themselves to farming through the three seasons, cultivate education and instruction, and maintain close ties with their nine degrees of kin, they can perform the grand sacrifice. Then the people live in harmony and the spirits send blessings, so their undertakings are sure to succeed. But now the people are divided in their hearts, and the spirits have no one to answer for them. Even if our lord alone makes lavish offerings, what blessing can he hope to receive? For now, let our lord put his government in order and draw close to neighboring states that are bound to us by kinship; perhaps we can escape disaster.”

The Marquis of Sui was afraid and put his government in order, so Chu did not dare attack Sui. “The three seasons” refers to the three farming seasons: plowing in spring, sowing in summer, and harvesting in autumn.

“It is precisely through frugality that one is said to prepare early.”

Commentary: How can people be gathered? Through material resources. If one can be frugal and caring, people from the four directions will come, carrying their children on their backs, to submit early and serve their ruler. “Submit” means to serve.

Plain-language explanation: What can win people’s allegiance? Material resources. If one is frugal and compassionate, people from all directions will come, carrying their children, to join them and serve their ruler from the outset. “Submit” here means to serve and attend to someone.

Commentary on the Text of the Expansive Exposition of the True Meaning of the Dao and Its Virtue

Explanatory note

The phrase “only through frugality” in the preceding passage carries forward its argument. “Submit early” means that a ruler makes frugality—living simply and avoiding waste—the foundation of governing the state. The Jing often uses sentences of this kind with several shifts in meaning; they should all be understood along these lines. “For only” introduces the statement and has no specific meaning. “Submit” means to serve and follow. A ruler who is frugal and cares for the people makes frugality the basis both for governing human affairs and for following the Dao of Heaven. People throughout the realm should therefore submit to and follow such a ruler as early as possible.

Elaboration of the main meaning

Governing a state through frugality fills its coffers: the ruler above does not live in excessive luxury, and the people below do not resent oppressive levies. Govern people this way, and they will obey; serve Heaven this way, and Heaven will see clearly and lend its protection. People throughout the realm will then flock to the ruler’s De.

The Xici zhuan (“Appended Statements,” Part Two) of the Classic of Changes says that Heaven and Earth’s greatest virtue is bringing the myriad things into being, while the sage’s highest priority is preserving his position. Preserving that position depends on benevolence; gathering the people depends on wealth. Wealth sustains the people. To gather people, one must first have provisions and money; ample resources make it possible to bring them together. When spending is kept within bounds and resources are managed well, the people do not rebel, and can be gathered and kept at peace.

“Submit early” means “accumulate De in abundance”

Note

Frugality itself is a form of De. When a ruler has De, people come early to join him and serve him. That is why the phrase means “accumulate De in abundance.”

Explanatory note

Why do people under Heaven look to the ruler’s example and return to benevolence throughout the land? Because the ruler practices frugality. Frugality makes the people submit early; this is the continuous accumulation of De.

Elaboration of the main meaning

When the ruler practices frugality, he accumulates De in abundance, and the people increasingly gather around him. The phrase “under the broad heavens and throughout the land” comes from “Beishan” (“The Northern Hills”) in the Book of Songs: “Under the broad heavens, all is the king’s land; to the shores of the realm, all are the king’s subjects.” “Broad” means extensive; “throughout” means following or extending across; “shore” means the water’s edge or boundary.

Accumulating De in abundance means nothing cannot be overcome

Note

When the sage accumulates De, the lands within the four seas return to benevolence, and nothing is beyond his ability to bring into submission. “Overcome” means to be able to do something or bring it under control.

Explanatory note

“Overcome” means “be able.” When a ruler accumulates De in abundance, he can put everyone’s abilities to use in governing. In serving Heaven, he encounters only good fortune and advantage. The four quarters of the realm come to him and accept his transformation; nothing is beyond his ability to bring into submission.

Elaboration of the main meaning

Govern the state through frugality, serve Heaven with reverence, and accumulate De in abundance: then the four quarters will come to submit, and none will refuse.

Nothing cannot be overcome means no one can know its limits

Note

A ruler’s De overcomes everything and reaches everywhere. The four quarters therefore cannot discern the farthest reach or limit of its transforming influence.

Explanation

This chapter explains the ideas behind phrases in the Dao De Jing such as “frugality,” “submit early,” “accumulate De in abundance,” “nothing cannot be overcome,” and “no one can know its limits.” Its central point is that when a ruler governs through frugality and accumulates De in abundance, the people gather around him and the realm submits; the reach of his transforming influence extends so far that its limits cannot be measured. Phrases such as “governing human affairs and serving Heaven” belong to political and cosmological language shared by Daoism and Confucianism. They refer to governing human affairs in accordance with the Dao of Heaven, not to any particular religious ritual.

Plain-Language Interpretation

Explanation (clarifying the meaning of the classic)

This means that when a ruler’s De is profound, nothing cannot be brought under its influence. People of distant lands with unfamiliar customs admire his instruction; even those in the farthest reaches come to observe his example and admire his righteousness. There is nowhere his influence cannot reach, so no one can say how far his transformation through De extends.

Commentary

When a ruler has accumulated profound De and the state has abundant resources, the people of all regions submit, and the nine provinces pay tribute. The people accept his guidance through De. Where could its reach end? “Unfamiliar customs” and “remote territories” refer to distant regions beyond the frontier lands, where customs differ greatly from those of China. The passage describes people from foreign lands longing for the influence of a sage and traveling from afar, won over by his moral power.

One account of “observing the example” comes from the Record of the Ten Continents. It says that Juqu Island lies in the western sea, in the direction between Shen and Wei. It is three thousand li across and three hundred thousand li from China. The people there traditionally watched for the eastern wind to enter the proper pitch. If it did not cease for a hundred days, they took this as a sign that China would have a ruler who loved the Dao. In the third year of Yanhe under Emperor Wu of Han, that country sent envoys bearing tribute of soul-restoring incense and fierce beasts. They traveled by flying chariot across the Weak Water and drove celestial steeds over the flying sands; after thirteen years, they reached China. This is one example of observing the example and admiring its transformative influence.

Meaning of the Classic: “No one can know its limit; then one may be said to have a state.”

Commentary

Only when its reach has no known limit can one speak of “having a state.”

Explanation

A ruler’s influence through De reaches everywhere, however distant. Only when the people all turn toward him and the spirits receive blessings can he be said to “have a state.” The Book of Changes says, “The king arrives at the ancestral temple; he has a household.” This expresses the same idea. If a state falls short of this standard, can it truly be said to exist?

Commentary

“Having a state” means that the roads used by its carts extend throughout its domain and its written characters are shared across it; the people accept the ruler’s De, and those far away cherish his influence. Only then can it be called a state. If a ruler relies only on military might to suppress people and cunning methods to govern them, then even with territory, he has not won their hearts. Nor can a state truly be said to exist if it has inherited a peaceful reign but its ruler’s De is deficient and his benevolence has not reached the people.

“The king arrives at the ancestral temple; he has a household” comes from the Gathering Together hexagram in the Book of Changes. Only when the king reaches the point of great gathering does he have an ancestral temple and a household, and become able to offer filial worship. Here, “arrives” means “gathers.” By gathering the people until he has an ancestral temple and a household, the king can offer filial worship. Thus it is beneficial to see a great person: gathering people through what is right. By observing what is gathered, one can see the nature of all things between Heaven and Earth.

Commentary (continued)

When the realm is falling apart and resentment among the people is boiling over, even if sacrifices are offered, it is as though there were no ancestral temple. Only when the king has brought about a great gathering is filial De fully established, and only then can one say that he has an ancestral temple. When he offers great sacrificial victims in this way, the spirits bestow blessings. When the Dao of gathering is fulfilled, the state may truly be called a state.

On “The King Reaches His Home” and Ancestral Temple Offerings

The fifth line of the Family hexagram in the Classic of Changes says, “The king reaches his home; do not worry.” Its Image commentary says that when the king establishes the way of the family, those below are all transformed by it. Once the whole realm is transformed, the six relationships are harmonious; this is why it is called “mutual love.” The Dispersion hexagram also says, “The king reaches the ancestral temple,” with a similar meaning: the ruler governs the realm through the way of the family, establishes an ancestral temple, and ensures that filial offerings are properly made. The people then love one another as though they were one family.

“One Who Possesses a State’s Mother Can Endure for Long”

Commentary: One who possesses a state and can generously nourish its people may enjoy lasting good fortune.

Explanation: “Mother” refers to the Dao, with the meaning of generous nourishment. A ruler can be said to possess a state precisely because, through the Dao, he generously nourishes all living beings. In this way, his good fortune flourishes without end and endures for a long time.

Interpretation: A ruler who accumulates De governs people through the Dao and nourishes the people; the lands in every direction submit to him, like children drawing close to their mother. The way of Heaven shelters all, and the spirits respond. Even eight hundred years of dynastic fortune cannot be called everlasting, yet a ruler may enjoy his state for a long time.

“This Is Called the Way of Deep Roots and Firm Stems, of Long Life and Lasting Vision”

Commentary: A state built on accumulated De has deep roots and firm stems. To be deeply rooted and firmly established is the way of long life and lasting vision.

Explanation: A ruler who accumulates De and governs the state through the Dao can endure for a long time. Hence the metaphor of roots and stems: when plants have deep roots, they flourish; when their stems are firm, their flowers do not fall. This is an image of endurance. The metaphor applies to a ruler who accumulates De: his roots are planted in the Dao, and his stems are secured in De. His life is extended, which is called “long life,” and his light shines without cease, which is called “lasting vision.” Thus it is called the way of deep roots and firm stems, of long life and lasting vision.

Interpretation: A ruler nourishes living beings through the Dao and De, and governs the realm through frugality. When wealth is abundant, the state is rich; when De accumulates, its fortune rises. People near and far give their allegiance, and Chinese and non-Chinese alike submit. The ruler can also nourish all things like a mother and love the many beings like a father. Deep roots bring a dynasty an unbounded span of fortune; firm stems extend the line of descendants. Long life and lasting vision, with brilliance renewed through generations, are beyond comparison.

Those who cultivate the Dao conserve Shen to steady the body and accumulate Qi to preserve harmony. They secure the Three Passes within and dispel every distraction without. The myriad spirits submit, their many practices become complete, and their transformations have no limit. They enjoy long life, with firm stems in the realm of Primordial Chaos and deep roots in the court of “What Is There?” They stand shoulder to shoulder and step in the tracks of the Nine Elders and the Seven Primordials.

This passage elucidates the principles of governing a great state. The term "great state" refers to two types: first, the central royal domain directly ruled by the Son of Heaven, and second, the vassal states enfeoffed to feudal lords. Governing the realm as the Son of Heaven is like cooking small fish—the heat must be precisely controlled. Too lenient, and the people will grow lax; too harsh, and they will become alienated and lose their De (Virtue/Power).

The ancient enfeoffment system was highly refined: the central domain under the Son of Heaven's direct rule was called the "royal domain," spanning a thousand li in radius. The remaining land was divided into nine provinces, each covering nine thousand li. According to Zhou dynasty regulations, each province was to enfeoff three grades of vassal states: thirty large states (fiefdoms of the Three Dukes), sixty medium states (fiefdoms of the Six Ministers), and one hundred twenty small states (fiefdoms of the Twelve Lesser Ministers). Sacred mountains and great marshes were to remain open for communal use by the people, not privately monopolized, with only appropriate taxes levied.

The Shang dynasty's enfeoffment scale was even grander: the Son of Heaven's royal domain spanned a thousand li in radius, while the remaining eight provinces each covered eight thousand li. Each province could enfeoff at most four large states of five hundred li in radius, eleven medium states of four hundred li, and no more than twenty-five small states of two hundred li. The remaining land served as communal territory.

The core principle is this: governing a state requires the same careful control as cooking small fish. When ruling with the Dao (the Way), even spirits and deities will submit, and both the yin and yang realms will find their proper places. De (Virtue/Power) and benevolent governance will naturally manifest. This admonishes rulers to use the Dao as the fundamental principle for guiding the people.

According to the ancient system, beyond the royal domain of the Son of Heaven, within a radius of one hundred li, forty-one plots were designated as fuyong (small fiefs that depended on the royal house and were sheltered by it). Within the royal domain itself, there were nine states of one hundred li square, twenty-one of seventy li square, and sixty-three of fifty li square, for a total of ninety-three states. Famous mountains and great marshes were not included in the enfeoffment registers, and the remaining land was set aside as xiantian (idle fields, not formally granted) to supply the stipends of scholar-officials. The place where the Son of Heaven resided was called both xian (county) and ji (the royal domain).

The nation as a whole comprised nine regions (zhou), with 1,773 states in total. In the time of Yao, Shun, and Yu, the feudal states came in several sizes, including those of one hundred li, seventy li, and fifty li square. In Yu's time, the land within the yaofu (one of the five zones of service at a distance from the royal domain) measured seventy li square. The Duke of Zhou restored the old territories of Yao and Shun and divided the nine regions according to the "five zones," so that the land within the yaofu measured seven thousand li square. It is also said that the 1,800 feudal states of the Zhou were distributed over an area of five thousand li square.

Within one hundred li of the Son of Heaven, the land supplied the needs of the government offices; within one thousand li, it supplied the Son of Heaven's clothing and daily provisions. Beyond one thousand li, fangbo (regional overlords, the chiefs of a region's feudal states) were established to command five states as dependencies. Each dependency had a zhang (chief), who governed ten states as a lian. Each lian had a shuai (commander), who governed thirty states as a zu. Each zu had a zheng (magistrate), who governed 210 states as a zhou, and each zhou had a bo (overlord). The eight zhou together had eight bo, fifty-six zheng, 168 lian commanders, 336 zhang, and 800 dependencies, all subordinate to the Son of Heaven. Flanking the Son of Heaven were two elder statesmen called the "Two Bo," namely the Duke of Zhou and the Duke of Shao, who had divided the governance of the Shan region between them.

The area within one thousand li was called dian, a term meaning "to govern." The area beyond one thousand li was called cai, meaning "to take its fine products," and was also known as liu. Its states either paid tribute or did not.

The Son of Heaven had three Dukes (sangong), nine Ministers (jiuqing), twenty-seven Great Officers (daifu), and eighty-one Yuan Shi. A great state had three ministers, all appointed by the Son of Heaven, along with five lower Great Officers and twenty-seven upper Shi. A middling state had three ministers, two appointed by the Son of Heaven and one by its own ruler, together with five lower Great Officers and twenty-seven upper Shi. A small state had two ministers, appointed by its ruler, and the same five lower Great Officers and twenty-seven upper Shi.

This system broadly followed the old laws of the Tang, Yu, Xia, and Shang dynasties, with additions and subtractions, and so formed the state institutions of the Zhou dynasty. When King Cheng resided at Feng, he deposed the Shang mandate and pacified the Huai Yi. He then drew up the Zhou Guan and established offices such as Grand Preceptor and Grand Mentor to assist the Son of Heaven.

Zhou Dynasty Official System (Background)

The Zhou dynasty established the Three Dukes, who deliberated on the principles of governing the state and brought Yin-Yang into balance. The Junior Preceptor, Junior Tutor, and Junior Guardian, collectively called the Three Orphans, assisted the two senior ministers, promoted moral instruction, and diligently supported the government.

The Grand Minister of Heaven, the Minister of State, oversaw the affairs of the realm, directed all officials, and maintained balance across the four seas. The Minister of Education was responsible for moral instruction, spreading the teachings of the Five Constant Virtues and comforting the people. The Minister of Rites oversaw ritual, connecting spirits and human beings and harmonizing those above and below. The Minister of War managed military affairs, commanded the Six Armies, and pacified the states. The Minister of Justice administered prohibitions, punished the wicked, and used penalties to suppress disorder. The Minister of Works oversaw land and livelihoods, settled the four classes of people, and made use of the land’s natural advantages. Each of the Six Ministers had a distinct role and led their subordinates, guiding the governors of the nine provinces so that the people could prosper and live in peace. This was the Zhou system. Under Tang and Yu, there were about a hundred official posts; under the Xia and Shang, their number doubled. Only in the Zhou did the official system reach completion, allowing order to prevail throughout the realm.

Governing a Great State Is Like Cooking a Small Fish

Note: When cooking a small fish, do not stir it about. When governing a great state, do not disturb it with excessive interference. Too much interference exhausts the people; too much stirring causes the fish to fall apart.

Explanation: This is a comparison. To cook means to boil; a small delicacy here means a small fish. A small fish falls apart if stirred too much. By analogy, government should not be overcomplicated, for excessive interference throws the realm into disorder. In either case, success depends on following the Dao (the Way).

Meaning: The challenge of governing a state is like the care needed to cook a fish: when government does not meddle, the people transform of their own accord; when the state is not stirred up, it remains intact. The ruler should be calm and at ease, allowing transformation and nurture to unfold gradually.

When One Governs the World by the Dao, the Spirits Do Not Manifest Their Power

Note: When one holds office and governs the world by the Dao, people do not recklessly seek blessings or try to ward off misfortune, and so the spirits have no occasion to display their “efficacy.”

Explanation: “By” means to use, and “govern” means to oversee and rule. Spirits dwell in the unseen realm; the term spirits refers to responses that appear efficacious. When people make requests, spirits respond. If those above govern the people through De (Virtue/Power), and everyone is content with what they have, people will not only forget the ruler’s power but also stop seeking help from spirits. Thus the spirits of the unseen realm have no opportunity to display their numinous powers.

Meaning: When the ruler follows the Dao, the world is content and willing to follow. The spirits have no occasion to show strange powers, and there is no opening for them to bring about changes in fortune or misfortune. Even if spirits possess uncanny powers, how could they disrupt a ruler who follows the Dao? Celestial spirits are called shen, terrestrial spirits qi, and the dead gui—all belong to the dark and hidden realm and remain unseen. In the presence of a ruler guided by Dao and De, there can be no harm or calamity from them.

It Is Not That the Spirits Lack Power; Their Power Does Not Harm People

(This sentence follows directly after the preceding passage in the original. Its classical meaning is that the spirits are not ineffective; rather, their efficacy does not harm the people. When the world is governed by the Dao, spirits no longer manifest their powers by frightening or harming people.)

Overall meaning in plain language: It is not that the spirits have truly lost their power. Rather, the kind of “efficacy” that harms or disturbs people no longer takes effect; spirits no longer manifest themselves in ways that injure the people. This follows the same line of thought as Laozi’s teaching that the world should be governed by the Dao through stillness and Wuwei (non-action): when government does not disturb the people and people make no reckless demands, responses from the unseen realm also subside of their own accord.

Commentary:

The passage above says that “ghosts are not numinous.” This does not mean that ghosts have been destroyed or have lost their spiritual nature. It means that, though they remain spiritually potent, they no longer appear in strange forms to harm people.

Exegesis:

This further explains what it means for “ghosts to cease being efficacious.” “It is not that the ghosts are not numinous” does not mean that ghosts have vanished or ceased to be spirits. Rather, strange and uncanny things tend to arise when people behave improperly. If people keep to what is constant and preserve De (Virtue/Power), spirits will not appear in strange forms to harm them. The phrase in the Spring and Autumn Annals, “their surging qi (vital energy) brings it upon them,” means just this.

Interpretation:

Those who take Dao (the Way) and De as their guiding principles are upright and impartial. Heavenly spirits cannot harm people, ghosts and humans cannot harm things, hidden spirits remain concealed, and strange beings do not arise. Thus, when a state flourishes, bright spirits descend to observe its De: the spirits of the four seas, riding clouds in plain carriages, came to see King Wu. When a state is about to fall, spirits likewise descend to observe its evils: in Jin, stones spoke and a spirit appeared at Cui—instances of ghosts and spirits manifesting strange signs. Zihuzi’s mind was clear and still, and the great shaman fled in disarray; the magistrate of Ye gave himself wholly to his duties, and the River Spirit withdrew. These accounts show that ghosts and spirits cannot harm people who are aligned with the Dao.

The phrase “their surging qi brings it upon them” comes from the Spring and Autumn Annals. In the summer of the fourteenth year of Duke Zhuang, Duke Li of Zheng invaded Zheng from Li. At Daling, he captured the minister Fu Xia. Fu Xia said, “If you spare my life, I will bring back the ruler.” After they swore an oath, Fu Xia was pardoned. In the sixth month, on the day jiazi, Fu Xia killed Ziyi of Zheng and his two sons, then welcomed Duke Li into the state.

Earlier, an uncanny event had occurred in Zheng: a snake from the inner city fought a snake from the outer city inside the southern gate, and the inner-city snake was killed. Six years later, Duke Li entered the state. Hearing of this, Duke Li asked Shen Ru, “Are there still uncanny events?” Shen Ru replied, “What people should fear is a surging qi in the heart: wavering between advance and retreat, unable to hold firm—like a fire that flickers uncertainly before it becomes a blaze. Uncanny events arise from people. If people do not act recklessly, such events will not arise on their own; only when people abandon what is constant and depart from De do they emerge.” Because an uncanny event had occurred, Duke Li killed Fu Xia after entering the state.

Duke Li sent someone to tell Yuan Fan: “Fu Xia harbored divided loyalties. Zhou has established laws, and he has already submitted to punishment. As for those who sincerely submit and have no divided loyalties, I have given my word. I wish to discuss the affairs of the senior ministers with you, my uncle. When I was outside the state, you offered no words of support; now that I have entered, you fail to remember the ruler of the ancestral altars and instead harbor thoughts of the outside. This is a matter of regret to me.” Yuan Fan replied, “Our late lord Duke Huan ordered members of my clan to oversee the ancestral temple…” The discussion continues in the original with the terms of the oath and the obligations between ruler and minister.

In brief, when ghosts are said to be “not numinous,” this means they no longer cause harm through uncanny manifestations; it does not mean they have vanished. The root lies in human conduct: when De is upright, uncanny events do not arise; when the heart’s qi flares and wavers, people themselves give rise to them.

Plain-Language Interpretation

Main Idea of the Classic

The rites to the soil and grain deities, known together as the state altars, each have someone appointed to preside over them. If that person’s attention turns outward and is not whole-hearted, how can he claim to have no divided loyalties? Those who truly preside over the state altars and govern the people of a country must have every person within their borders as their subject. A minister should not harbor two sets of intentions: this is the order of Heaven.

Ziyi had been in office for fourteen years, yet took part in a plot to bring back the former ruler. Was that not divided loyalty? Duke Zhuang had eight other sons. If each of them held an official title and rank, and they could succeed by using bribes to win people over and stir up rebellion, what was a ruler to do? The minister said, “I have received your command,” then hanged himself.

Laozi said: It is not that spirits do not harm the people; the sage, too, does not harm them.

Notes and Commentary

Note: When ghosts and spirits appear in strange forms, they harm people. When the sage acts recklessly, he too harms people. Spirits do not harm people through strange apparitions now because the sage practices Wuwei (non-action) and quietude. That is all.

Commentary: Saying that “spirits do not harm people” does not merely mean that spirits have no efficacy or cannot cause harm. It also means that the sage governs people through the Dao and does not disturb them through Wuwei; the people then put themselves in order. That is why the text says, “The sage, too, does not harm them.” Ghosts and spirits cannot create calamities and harm people because the sage rules the world through the Dao. The passage that follows will explain the sage’s Virtue, so it again emphasizes that he “does not harm them.”

The explanation says: The sage governs the world through the Great Dao. The ghosts and spirits respond to the sage’s Virtue and grow still of their own accord. Once disturbances caused by deliberate action are eliminated, there is naturally no harm from strange apparitions. The ghosts and spirits are thus transformed by the sage’s Dao and Virtue, and dare not harm people. The sage rules in quietude, without taxing the people’s labor.

Laozi also said: When neither side harms the other, their Virtue gathers and returns to them both.

Note: If ghosts and spirits harm people, they damage the foundation of the state. If the sage harms people, the spirits are deprived of their offerings. Now neither side harms people, so their Virtue gathers and returns to them both.

Commentary: “Both” refers to the sage and the spirits. People are the foundation of the state; when the people are at peace, the country is secure. People are also the spirits’ masters; when their masters are at peace, the spirits receive their offerings. If ghosts and spirits harm people, they damage the foundation of the state. If the sage harms people, the spirits are left without masters. When neither side harms people, their Virtue gathers and returns to them both. It is not only the spirits and the sage who each find their proper place; the whole people also benefit.

The explanation says: People are the foundation of the state; when the foundation is firm, the state is at peace. People are the spirits’ masters; when their masters are at peace, the spirits receive their offerings. The sage governs through the Dao and therefore does not harm people. The ghosts and spirits, moved by the sage’s achievements, likewise do not harm living things. The two sides are in accord, and their Virtue returns to them both. This is like what Jiliang of the state of Sui says in the Spring and Autumn Annals when he remonstrates with the Marquis of Sui: “The spirits depend on people in order to exist.”

A person is the master on whom the spirits depend. The Punishments of Fu chapter of the Book of Documents says, “When one person is blessed, the multitudes depend on him.” Here, “multitudes” refers to an immense number of people; in antiquity, the word could mean hundreds of thousands or even hundreds of millions. When the Son of Heaven governs the state according to the Dao and does not harm the people, the spirits respond to this teaching. People and spirits do not harm one another, and peace prevails throughout the realm. Thus, “the multitudes all depend on him”: the countless people rely on him. “Rely” means to depend on; “lack” means to be deficient; and “diminish” means to reduce or harm.

This passage aims to show that governing the state according to the Dao brings immense benefit: not only do the people throughout the realm rally to the ruler, but even ghosts and spirits willingly submit to him. If one cultivates oneself in this way, how could evil influences and delusions disturb one?

The saying “a person is the master of the spirits” comes from the nineteenth year of Duke Xi’s reign in the Spring and Autumn Annals. Duke Huan of Song sent Duke Wen of Zhu to sacrifice the ruler of the state of Zeng at the altar of the god of the Sui River. Sima Ziyu, also known as Mu Yi, a son of the Duke of Song, said: “In ancient times, the six domestic animals were not used in place of one another. For a minor matter, one did not use a large sacrificial animal—how much less should one dare to use a person! Sacrifice is performed for the sake of people; people are the masters of the spirits. If a person is used as the sacrifice, who will receive the offerings? Duke Huan of Qi once preserved three states that had been destroyed and returned their lands to the feudal lords, yet men of principle still said his virtue was insufficient. Now our ruler, in a single meeting of the lords, has abused three rulers—detaining the ruler of Teng and using the ruler of Zeng as a sacrifice—and offered one of them to a depraved, deluded spirit. Is it easy to expect to become hegemon by such means? To escape death would already be fortunate; I fear the state will perish.” Mu Yi was the son of the Duke of Song. The Sui River flows from the Bian River into the Si; there was an evil spirit in that area, and the Eastern Yi people practiced human sacrifice. The saying that “the six domestic animals were not used in place of one another” means, for example, that a horse was not used to sacrifice to the spirit of horses—how much less should a person be used?

Now, the sage uses the Dao to transform and nurture all under Heaven. People and ghosts and spirits respond to one another and live in harmony, harming one another not at all. Is this not precisely “mysterious De” (virtue and power)?