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Chapter 1
What Is Shen (Spirit)?

The Chinese character for shen, usually translated as "spirit," has two components.
To the right is the character which gives both the basic meaning and pronunciation,
shen. In the book Tracing the Roots of Chinese Characters by Li Leyi (1), the
following explanation of the earliest known form of the character is given:
"Graphically, it is the curved lightening flashes appearing in the clouds. The
ancient people believed lightning was the manifestation of god." To the left is the
modified form of the character shi (as used to form a radical, which is the
category designator), which Li explains: "Originally, it was the stone table for
offering ceremonial sacrifices to the gods�characters with the radical shi always
pertain to ritual ceremonies, worship, or prayer." Today, this character (shi) more
generally means to make known, to manifest, to show; this is because the ritual
ceremonies display the inner prayer and worship of people. We can say that the
Chinese writing character which has been formed into shen to refer to the spirit
implies the manifestations of a person's relationship to god [the small letter 'g'
is used here because the Chinese reference does not specify the personal God, as in
the Western Judea-Christian-Islamic tradition; still there are obvious similarities
of ancient ceremonial sacrifices on stone alters]. Historically, Chinese culture
recognizes a creator god, Pan Gu, a trinity of divine Emperors (Tian Huang, Di
Huang and Ren Huang, the emperors of heaven, earth, and man, respectively) and of
divine helpers who come in human form, You Cao, Fu Xi, Shen Nong (2).

The earliest known discourse on shen in the medical context is found in the Huangdi
Neijing Lingshu, in Scroll Two. The document that comes down to us today is
believed to have originated during the Han Dynasty, perhaps around 100 B.C. In a
translation by Wu Jingnuan (3), the relevant section on spirit is titled "The Roots
of the Spirit." The section, like others, begins with a question from Huang Di (the
Yellow Emperor) which is answered by Qi Bo (the chief physician), who begins his
explanation this way:

"Heaven abides so that we have virtue. Earth abides so that we have qi. When virtue
flows and qi is blended there is life."

The starting point for an understanding of shen is the meeting place of heaven and
earth, which is man. Heaven is the origin of the spiritual aspect of man and
provides ongoing spiritual influences; earth is the origin of the physical aspect
of man and it continues to affect his body; the interaction of heaven and earth,
the spiritual and physical, provides life; the ongoing harmonious interaction of
heaven and earth in man is essential to maintaining life. The physical aspect is
described here as qi. There is a frequent misconception in the West that qi is
ethereal or "energetic," and this is a misinterpretation (4); in the traditional
system of thought, qi is substantive but also dynamic, likened to steam and mist.

In the discussion presented in the scroll, there is reference to not only the
spirit (shen) , but to two other entities which should be discussed before
proceeding (see chapter appendix for more details). One is hun, which is translated
often (and in this specific text) as the human soul; in fact, it is depicted as a
collection of 3 entities working together. Hun is manifested in dreams, and it is
the aspect of the human that persists after death of the body; thus, hun has a
meaning that correlates to some extent with the idea of the soul in Western
thought. When Chinese texts talk about the ghosts of ancestors, they are referring
to hun. The other entity is po (actually represented as 7 entities), sometimes
described as the "animal spirit" but perhaps more accurately portrayed as the
physical vitality. Its action keeps the body alive; it is still active when a
person is in a coma or is "brain dead;" it is gone when a person dies. Neither hun
nor po are the same as shen, and po is not the same as qi. We can say that in
describing these three entities, the shen is differentiated from the other two: it
is not the human soul nor the vitality of the human body. From the ancient Chinese
view of embryology, the hun and po combine together with the seminal essence (jing)
and give rise to the spirit (shen) .

Shen, hun, and po each have a "seat" in the body, a place where they are said to
rest and take residence. Thus, even though each of them can influence all aspects
of the human person, they rely on certain parts of the person as a base. This
situation might be likened to our own experience of working in the community and
interacting with our neighbors, then returning home as a place for recuperation,
rest, family interactions, and maintaining personal identity. Shen rests in the
heart and vessels; hun rests in the liver; and po rests in the lungs. Although
these three entities are the dominant concern in the ancient texts, in keeping with
the influential system of five elements, two other organ systems are identified as
having their own spiritual characteristics which are not the same as, but might be
likened to, the other three: yi (intention, planning, thought, wisdom) is
associated with the spleen and zhi (will; the strength to carry out yi) is
associated with the kidney.

Though we have all these terms depicting components of the person, it is shen that
is the focus of most discussion in the field of Chinese medicine, because that is
the entity that is under the greatest control via our behavior and it is the entity
that displays the greatest influence over body functions. We can attempt to learn
more about the spirit by examining what is thought to harm it and what can be done
to avoid harm or to repair harm, which is a subject of the Lingshu scroll.

There are two types of harm that can come to the spirit, one is external, the other
is internal: This division is also used in the discussion of other physical
disorders (another category of causation, one that is deemed neither strictly
external nor internal, is based on activities, such as eating, exercising, etc.).
External harm was viewed as the effect of "dissolute evil," which is often referred
to as an influence of "demons" (5) and, later in Chinese medical history, was
shifted into the general category of "wind" (6). The concept of demons causing
disorders in people permeated virtually the entire world in these ancient times,
and demons were most often the causative factor suggested in cases of mental
disorders (particularly outlandish, obviously strange behavior) and neuromuscular
disorders (particularly ones that were sudden and dramatic, such as epileptic
seizures). Today, we might convert this ancient concept to one with more modern
characterization, in which something (which we would not call a demon, but would
involve, for example, neurotransmitters and other neural regulators) causes a
dramatic alteration in neurological functions.

According to the Lingshu scroll, such external adverse influences could be avoided
by maintaining strength and balance:

The wise nourish life by flowing with the four seasons and adapting to cold or
heat, by harmonizing joy and anger in a tranquil dwelling, by balancing yin and
yang, and what is hard and soft. So it is that dissolute evil cannot reach the man
of wisdom, and he will be witness to a long life.

These few words may seem to be simple instructions, but they are only the outline
of what could constitute entire books of instructions. I would like to offer a
brief elaboration to assist with the discussion of the nature of spirit.

"Flowing with the four seasons" has the meaning of staying in communion with
nature. This concern, expressed already more than 2,000 years ago when cities were
simple compared to those we have today, is not merely about dressing for the
weather (which is implied as part of the next statement of adapting to cold or
heat), but it refers to giving attention to many different aspects of nature: the
rising and setting of the sun, the varying weather patterns, the changing plant and
animal life, the different sensations of the body as the day progresses, and so on.
Today, we isolate ourselves from nature: missing the sunrise in favor of an alarm
clock; eating according to what is in processed food packages rather than what has
just been grown and harvested around us; dressing independent of the weather and
then relying on artificial heat and cooling; cutting away the forests to live among
concrete, asphalt, and mechanized vehicles. Though there can be no turning back of
the clock of progress, there are choices to be made in living in the modern world,
such as the extent to which we relate to the natural setting. This issue of
communion with nature is not about going to the store to purchase organic produce
and encapsulated herb extracts; rather, this is about turning attention to natural
cycles, to natural settings, and to relationships with plants, animals, mountains,
valleys, water, sky, sun and moon.

"Harmonizing joy and anger" refers to not allowing any emotion to become dominant
or extreme, but it also refers to the opposite problem of unnaturally avoiding
experience of emotions by setting up barriers. The person who is calm as a result
of pursuing wise and healthful practices that lead to a tranquil and easy nature
can enjoy inner strength and healthy life. An important aspect of this is one's own
dwelling place, which should be nurturing, tranquil, and restful. Too often today,
much of life seems a battleground, whether it is at home, at work, or on the road
traveling between the two. People who engage in extreme behavior are a centerpiece
of the world of television, which has become an unintended learning resource for
many children as they grow up and develop their attitudes.

Balancing yin and yang (and hard and soft) refers to development of a sense of
appropriate response. Yin is a more withdrawn receptive state of being, while yang
is a more outgoing and active state of being; both have their times for being
appropriate. Remaining in a "yin" condition when yang is needed, or vice versa,
results in disorganization of life and harm to the body and spirit.

What the text is calling upon people to do is to adapt a lifestyle that is, at this
time in history, substantially different than the ordinary. It requires turning to
the health of the spirit, calmness of the emotions, and to worship and prayer
directed at the heavenly influences and away from the unconscious pursuit of
earthly things that lead toward extremes, while remaining intimately in touch with
nature.

At the heart of the matter is the calmness which comes from an understanding of the
relations between heaven, earth, and man. As the scroll describes, emotions in the
extreme, which disrupt calmness, harm the person's spirit (I have inserted
explanatory comments):

Too much joy and happiness can cause the spirit to shrink and scatter and not stay
stored [that is, not return to resting in the heart]. Sorrow and grief can cause qi
to be blocked in the foundations so it does not move [these emotions especially
affect the lung, the seat of po, the vitality does not spread through the body and
the person has difficulty with getting around]. Great anger causes confusion and
doubt and a lack of control [anger is associated with the liver, the seat of hun,
the soul is no longer able to command the person, and seemingly random forces take
control]. Fear and fearing cause the spirit to be unsettled, to shrink away and to
be nonreceptive [fear is the emotion that, more than any of them, adversely affects
the spirit and the body-one's planning, and will to carry out plans, shrink away
and one is even afraid to be helped].

It may seem odd to worry about experiencing too much joy and happiness. People can
place excessive emphasis on the frequent experience of these emotions; so much so
that one ignores other important aspects of life. As a result, the emotion and its
context become false indicators of reality and lead one astray. This is not to
argue against joy and happiness that are a natural outcome of enlightened spiritual
living when harmony has already been attained; rather, it is about a focus on these
emotions apart from such harmonious living. The emotions that have the greatest
potential for harm when excessive, in addition to the dramatic impact of anger, are
fear, fright, worry, and anxiety. As the text goes on to specify: "The heart and
mind with frightened and distressed thoughts and anxiety can result in injury to
the spirit."

The prolonged experience of living a fearful life leads to dysfunction, weakness,

and premature death. The Lingshu scroll continues:

Fear and fearing without release can result in injury to the seminal essence
[jing]. The injured seminal essence can cause the bones to be diseased and
deficient. At the time of reproduction, the seminal essence will not descend [this
refers to the interchange between essential fluids in the brain and in the kidney
as described in the ancient literature]. Thus, the five viscera, which are the
controls and storehouses of the seminal essence, should not be harmed [by excesses
in the emotions; the text includes a description of visceral harm from each type of
emotional excess]. If they are injured it will result in loss of protection, and
the yin [the substance of the body] will become hollow. The yin being hollow will
result in lack of qi [which is important for replenishing the jing]. A lack of qi
will cause death.

The deficiency of bones has many implications. At one level, this applies to the
problem of osteoporosis, where the bones become fragile and readily break (often
contributing to health decline and premature death). It also applies to the bone
marrow, the source of blood cells; the spinal cord and brain are also considered a
type of marrow of the spinal column. Further, this deficiency refers to the
movements of the bones; hence, difficulty in walking is considered one of the
outcomes of bone disease, as are severe pains that afflict the bones and joints,
such as occurs with osteoarthritis. The loss of protection means not only
susceptibility to external influences, such as cold and heat and infectious agents,
but also loss of protection from internal disruptions that may yield growth of
tumors, water swelling, and failure of the organs to carry out their critical
functions.

In sum, shen refers to that aspect of our being that is spiritual and looks to the
universe around, and is not focused on emotions. Shen draws our attention to the
divine, contributes to wisdom, virtue, and calmness, and maintains our whole being
in order. The spirit can be harmed by external factors if we fail to maintain
vitality through good habits, physical strength, and adequate nourishment. The
spirit can also be harmed by internal factors, mainly excessive emotions.

These are things that are, to a certain extent, under our control. While many
external factors are beyond our control, our protection from them through lifestyle
choices is not. While emotional reactions to various situations are spontaneous and
beyond our control, the ability to return to equanimity is a skill that can be
mastered. To investigate further the critical issues, it will be worthwhile to
examine in some detail the matter of flowing with nature, a basic Taoist concept,
so that a path to communion with nature and inner strength can be identified
(Chapter 2), and to look at some of the Chinese ways for controlling the emotions
(Chapter 3). These approaches are said to be related to benefiting the hun
(ordering relations with the outer world) and po (stabilizing the inner world),
respectively. After contemplating these means of staying healthy, it will then be
worthwhile to consider Chinese medical treatments (mainly acupuncture and herb
therapies) that can assist those who have been adversely affected by shen
disorders.
References
Li Leyi, Tracing The Roots of Chinese Characters: 500 Cases, 1993 Beijing Language
and Culture University Press, Beijing.
Wei Tsuei, Roots of Chinese Culture and Medicine, 1989 Chinese Culture Books
Company, Oakland, CA.
Wu Jingnuan (translator), Ling Shu, 1993 Taoist Center, Washington, D.C.
Dharmananda S, Qi: Drawing a concept, 1997 START Manuscripts, ITM, Portland, OR.
Dharmananda S, Disorders caused by demons, 1997 START Manuscripts, ITM, Portland,
OR.
Dharmananda S, Feng: Drawing a concept; the meaning of wind in Chinese medicine,
1999 START Manuscripts, ITM, Portland, OR.
Needham J, Science and Civilisation in China, vol. 2, 1974 Cambridge University
Press, London.
Appendix: Hun and Po
The following introduction to the hun and po was derived primarily from Joseph
Needham's exploration of the subject (7) with supplemental information from a few
other sources.

More than 2,500 years ago in China, the idea developed, or solidified, that the
human body encompassed two types of entities, usually described in English as
"souls," which are called the hun and po. These two types of entities represent the
yang and yin, respectively. The po, of which there are said to be seven, are of
earthly nature, being most closely allied with the body substance, flesh. The hun,
of which there are said to be three, are of heavenly nature. The hun and po are
depicted in the painting below as two groups of wise men in a calm setting and in
friendly discussion.

The hun originates in the heavens (as if from the air) and enters and exits the
body through the hun gate (hunmen, acupuncture point BL-47); upon death, it departs
to heaven. The Chinese practice of ancestor worship encompasses taking care of the
departed hun, which, because of their residence in heaven, are thought to be able
to help mediate the earthly human wishes with the gods. Further, it was thought
that dissatisfied ancestral spirits (those who were not cared for by their
offspring in succeeding generations) could cause illnesses or misfortunes. During
life, the resting place of the hun is in the liver (the hun gate is at the back,
near the liver).

The po is derived from the earth (as if from the soil) and enters and exits the
body through the po door (pohu, acupuncture point BL-42); upon death it returns to
the earth. The Chinese practices of burial of the dead encompass taking care of the
po, which eventually blends into the earth and does not retain separate identity
(as an exception, emperors were embalmed so that both po and hun could remain
viable entities, retaining their original form). During life, the resting place of
the po is in the lungs (the po door is at the back, by the lungs). If the qi and
yin of the lungs is adequate, the po can remain vigorous.

One of the earliest discussions involving the hun and po was recorded in the 6th
Century B.C., in which the following was said: "When a fetus begins to develop
[into a human form and personality], it is due to the po. Then comes the yang part,
hun. The jing [essences] of many things then give strength to these, and so they
acquire the vitality, animation, and good cheer of these essences. Thus, eventually
there arises spirituality and intelligence [shenming]."

There has been some disagreement in the Chinese literature as to when the po and
hun actually arrive. For example, in the Du Shu Bian (16th century A.D.), it is
said that the hun arrives during the seventh month of pregnancy (signaled by the
ability to move the left hand) and the po arrives during the eighth month of
pregnancy (signaled by the ability to move the right hand), rather than the other
way around, with the po being first, which was the more prevalent view; in fact, it
was often suggested that the hun entered the body after birth.

Around 80 A.D., a brief discussion of hun and po was presented in Paihu Tangte Lun
(Discussions in the White Tiger Hall): "Hun expresses the idea of continuous
propagation, unresting flight; it is the qi of the Lesser Yang [associated with
liver/gallbladder], working in man in an external direction, and it governs the
instincts (xing)....Hun is connected with the idea of weeding, for with the
instincts, evil weeds [in man's nature or in his spiritual path] are removed. po
expresses the idea of continuous pressing urge on man; it is the qi of the Lesser
Yin [kidney/heart], and works in him, governing the emotions....Po is connected
with the idea of brightening, for with the emotions the interior [personality] is
governed."

Here, hun is expressed in terms of outer-directed activity: using the instincts to

select a course of action and to avoid the pitfalls (evil weeds); po is expressed
in terms of inner dynamics, adjusting one's emotional reactions and personality.
This reflects the basic yin/yang dichotomy, with yin representing the internal and
yang the external.

In an ancient book describing meditation practice, it was said that one should "be
still, as if one had no hun;" that is, the drive to act, to do things, should be
abandoned during meditation, leaving one able to remain motionless and focused on
the inner condition. In a book on Taoism, it is said that one should "keep your hun
from confusion, and it [the Tao] will come of itself, unify the qi and control the
shen....All categories of things are brought into being by this; this is the door
of power." Thus, the practice of meditation, avoiding the stimuli offered by
civilization, and calming or regulating the ambition for outward change (while
maintaining the drive for inner transformation, which will then affect the outer
conditions) are activities associated with predominance of the po; searching the
outer world for opportunities, applying thought and personal energy towards
significant changes in the world, and relying on pleasurable stimuli that the world
has to offer are associated with predominance of the hun.

The seven po may have originally been thought to be linked with the seven emotions.
The seven emotions are described variously in English, but one such list is joy,
anger, grief, fear, love, hate, and desire. For each of the emotions, there is an
impact on the qi, so that if the emotion is quite intense, the qi may become
significantly disturbed, leading to physical and mental disorders. In the Sanyin Ji
Yi Bingzheng Fang Lun (Treatise on Three Categories of Pathogenic Factors), it is
said that "In the interior of the body reside the jing and shen, the hun and po,
the mind and sentiments, mourning and thoughts. They tend to be harmed by the seven
emotions."

It is possible that the three hun were originally thought to be linked to the three
major objectives of human action: relationship to societal authorities (in China,
the Emperor and his representatives; in the modern world, it would include
employers, law officers, governors, etc.), relationship to one's spouse (this would
apply also to other relatives of the same generation and to neighbors), and
relationship to one's children (this might also apply to others who are dependent
upon your time and resources). It is a key tenet of Chinese philosophy, most
clearly depicted by Confucianism, that relationships with others are important to
both social harmony and to one's own physical and mental health.

It was thought that the hun and po could leave the body, even before death, though
only a few of the 10 entities would be involved. Ge Hong, a famous Taoist, wrote
during the 3rd century A.D. that: "All men, wise or foolish, know that their bodies
contain hun and po. When some of them quit the body, illness ensues; when they all
leave him, a man dies. In the former case, the shamans have formulas for
restraining them; in the latter, the Book of Rites provide ceremonials for
summoning them back. These po and hun are of all things the most intimately bound
up with us, but throughout our lives probably no one ever actually hears or sees
them."

In fact, it has been suggested that the hun, being of yang nature, may often depart
the body during life and travel about, then return. Such adventures include certain
dreams, the quasi-dream state that occurs at the border of sleep and which
sometimes involves the sense of floating or sudden movement, and what we today call
"out of body experiences." It is thought, at least in some Chinese communities,
that insomnia, anxiety, fright and other states of mental agitation might arise if
one of the hun stayed away too long. As a matter of diagnosis, patients reporting
repeated nightmares are thought to be experiencing a disorder of the liver; the
distressed hun give rise to the nightmare.

It was also believed that one or more of the hun could be virtually forced from the
body of a child (less likely, but still possible in an adult) by a frightful
experience; for example, being startled by a stranger. In such case, the child
would become susceptible to disorders such as abdominal distress or epilepsy that
were induced by demons. Other indicators of hun departure include listlessness,
fretfulness, and simple continual sickliness. No doubt, conditions defined in
modern times such as autism, attention deficit disorder, and other mental
dysfunctions and psychological conditions have the potential of being classified,
from the Chinese traditional perspective, as due to soul-loss or soul-disturbance.
In China, that was a widespread scare in 1768, in which it was thought that
sorcerers were stealing the hun of numerous people (and using the power of the
dissociated hun for their own purposes).

The po could depart, or fail to be given sufficient rest and comfort, because of
fright, deficiency of the jing, or constraint of the lung qi (perhaps due to
excessive grief or sadness). In such a case, a person might suffer from weakened
sensory ability, distress of the limbs (such as numbness), or might lose control of
the feces (as the rectum was thought to be regulated by the po; the anus was known
in earlier times as pomen: po gate). In the book Classic of Categories (1624), it
is said that "Po moves and accomplishes things and pain and itching can be felt."
Thus, from a diagnostic point of view, pain, numbness, and itching (as well as
other sensory disturbances) and/or experience of serious elimination disorders
(debilitated intestinal function) might indicate a distress of the po.

At death, the hun, being of yang nature, departs immediately, but the po, being of
yin nature, departs more slowly. For some time, there were Chinese rituals,
practiced at the time a person lost consciousness or died, attempting to call back
the hun, so that it might reunite with the po, thereby restoring life and
consciousness. It was also thought that if a person experienced a sudden and
violent death, the po and hun might not be satisfied in simply dissolving into
earth and heaven, but rather remain close by, as malevolent ghosts (gui). Such
ghosts were thought to be able to cause accidents to happen and illnesses to arise
seemingly out of nowhere.

Detail section of the painting "The Five Hundred Arhats," by Wu Pin (1601) from the
book Eight Dynasties of Chinese Paintings (1980 Cleveland Museum of Art). As
explained in Chapter 2, the Arhats, commonly called Luohan in China, are Buddhist
sages who share many ideals with the Taoists. One of the ideals is the natural
state of mind, in which thoughts and ideas flow like water around obstacles,
represented by the stones in the stream of this painting. The Arhats are crossing a
turbulent section of the stream by making good use of those same obstacles, turning
them to their advantage. The characters on either side have a calm and relaxed
demeanor; those who are crossing the river are concentrating on the task at hand,
which will soon be gone, just like the water rushing down the stream, and they will
continue on with their journey. Two of the Arhats are crossing right, two are
crossing left, and two are enjoying the experience as they pause on stones in the
middle of the stream.