The Provisional and Substantive Genbei: On the Similarities and Differences Between the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation in the San-yi Teaching

Abstract

Lin Chao-en founded the San-yi Teaching (三一教) during the late Ming Dynasty, passing down the unique Inner Alchemy practice known as “the Nine Stages of Heart–Mind Cultivation” (九序心法), also referred to as “the Confucian System of Heart–Mind Cultivation” (孔門心法). Analysis shows that the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation both overlap and differ, with the latter covering a broader scope. Centered on the genbei (艮背, stilling the back), the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation present a relationship of convergence and dispersion. The cultivation method of the San-yi Teaching takes the Confucian System of Heart–Mind Cultivation as its framework and the Nine Stages of Heart–Mind Cultivation as its specific operational approach, which is a creative interpretation of the classic Confucian maxim “(the superior man) does not allow his thoughts to go beyond his position.” 思不出其位. The Nine Stages of Heart–Mind Cultivation distinctly resonates with the characteristics of Inner Alchemy in the Ming Dynasty, providing an important sample for understanding the diversity of Inner Alchemy forms during this period and a valuable reference for academic research on Ming Dynasty Inner Alchemy.

1. Introduction

The San-yi Teaching (sanyijiao 三一教), also known as the Xia Cult (xiajiao 夏教), is a folk religion founded by Lin Chao-en (1517–1598), a scholar from Xianyou in the Ming Dynasty, during the Jiajing period. It boasts a unique set of cultivation methods, which have been studied by some scholars under various names such as “the Nine Stages of Heart–Mind Cultivation” (jiuxuxinfa 九序心法) (G. Lin 1992; He 2011), “the Nine-Stage Cultivation Technique” (jiuxugongfa 九序功法) (Zhan 2019), “the ‘Nine Stages’ Qigong” (jiuxuqigong “九序” 氣功) (G. Lin 1985), and “the Internal Cultivation Method of the San-yi Teaching” (sanyijiao neixiufamen 三一教內修法門) (Gai 2019). When Lin Chao-en, the founder of the cult, discussed its cultivation methods, he used two terms: the Nine Stages of Heart–Mind Cultivation (jiuxuxinfa 九序心法) and the Confucian System of Heart–Mind Cultivation (kongmenxinfa 孔門心法). Previous and contemporary scholars have made preliminary differentiations between these two concepts (G. Lin 1992; He 2011). In existing studies, some scholars argue that the two concepts share identical meanings (G. Lin 1992, p. 66), while others maintain that their connotations are roughly equivalent (He 2011, pp. 120–22).

Berling situates Lin Chao-en’s teaching within the broader context of late-Ming religious syncretism (Berling 1980). More recently, Mozias’s study of Lu Xixing shows that Inner Alchemy could be embedded in literati social life and communal practice, providing a useful comparative perspective for understanding genbei as an embodied cultivation technique (Mozias 2018).

However, a notable research gap remains: existing studies have not yet clearly delineated the differences between the two concepts from the perspective of the specific cultivation practices they denote. To address this limitation, this study aims to further clarify the relationship between the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation.

The research questions addressed in this paper are as follows: what are the differences in cultivation steps between the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation? What is the relationship between them? What historical characteristics do they reflect? Integrating the essence of Confucian and Buddhist cultivation, these two methods represent Lin Chao-en’s creative interpretation: “(the superior man) does not allow his thoughts to go beyond his position.”

Lin Chao-en’s unique cultivation system serves as a typical case in the development of Daoist Inner Alchemy during the Ming Dynasty. During this period, the theories and practices of Inner Alchemy exhibited distinct characteristics of emphasizing nature cultivation (xinggong 性功) and ethical education1. The group of practitioners expanded from Daoist priests to people outside the Daoist circle, highlighting the era’s trends of secularization and decentralization. Thus, the non-Daoist Inner Alchemy flourished. The Nine Stages of Heart–Mind Cultivation of the San-yi Teaching emerged precisely against this background. This inner alchemical system combines physical and natural cultivation with ethical practice, demonstrating the diversity of Inner Alchemy forms in the Ming Dynasty and providing an important example for the study of Ming Dynasty Inner Alchemy.

2. Methods

This study adopts documentary analysis as its primary method, supplemented by ethnographic fieldwork. Seven systematic field investigations were conducted over a five-year period in Xianyou, Fujian Province. Five visits took place during activities organized by a local group of San-yi Teaching practitioners, while one included a semi-structured interview. Participants ranged approximately from 35 to 85 years of age. During the fieldwork, the author conducted in-depth interviews with multiple practitioners, generating tens of thousands of words of interview transcripts. Participant A was selected as the principal ethnographic informant following repeated field observations because of his recognized role in the transmission of the tradition. Among these materials, an interview with Participant A, conducted in late August 2021, serves as the principal ethnographic source for this study. The interview materials were interpreted together with primary San-yi Teaching texts through documentary analysis and ethnographic comparison. The above field data and transmitted historical documents complement each other, providing interpretive perspectives on the cultivation paths of the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation, as well as their convergence–dispersion relationship.

3. The Relationship Between the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation

To identify the relationship between the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation, it is first essential to define their respective compositions. “Heart–Mind Cultivation refers to the methods for regulating the heart.”2 (Linzi’s Comprehensive Theory on the Orthodox Unification of the Three Teachings, linzisanjiaozhengzongtonglun 林子三教正宗統論, Z. Lin 2016, p. 12). In the works of the San-yi Teaching, “Heart–Mind Cultivation” (xinfa 心法) denotes the complete system of cultivation practices for body and mind within the cult. The Nine Stages of Heart–Mind Cultivation refer to a relatively specific set of practices, while the Confucian System of Heart–Mind Cultivation has a broader reference. Through in-depth analysis, it can be found that the two concepts overlap and differ.

Lin divided the Nine Stages of Heart–Mind Cultivation into three sections: liben (立本, Confucianism establishes the basis), rumen (入門, Daoism enters the gate), and jize (極則, Buddhism makes principles ultimate). Confucianism was the fundamental starting point; Daoism and Buddhism built on that basis. For a long time, academic circles have generally held that the Nine Stages of Heart–Mind Cultivation, which comprise a nine-step Inner Alchemy method ranging from the first stage of genbei3 to the ninth stage of Shattering the Void (xukongfensui 虚空粉碎), belong to rumen and jize components of “Heart–Mind Cultivation”.4 In Linzi’s Comprehensive Theory on the Orthodox Unification of the Three Teachings (林子三教正宗統論 Linzisanjiaozhengzongtonglun), the terms “the Nine Stages of Heart–Mind Cultivation” and “the Nine Stages” appear five times in total. Previous academic studies have mainly defined the connotation of the Nine Stages of Heart–Mind Cultivation based on the following excerpt from the book Selected sayings on the nine stages (jiuxuzhaiyan 九序摘言): “The first is stilling the back. Stop thoughts with thought in order to seek the Heart–Mind. The second is the revolutions of heaven: Imitate qian and kun in order to establish the Ultimate. The third is penetrating the passes; the brightness penetrates the limbs and apertures to refine the body. The fourth is: Rest it in Earth and sincerely cultivate [the seed of] humanity in order to form the hidden elixir. The fifth: Gather from heaven and earth to collect the drugs. The sixth: Coalesce the spirit in the cavity of vital force. The seventh says: Free yourself from birth and death by embodying heaven and earth. The eighth says: Transcend heaven and earth to embody the Great Void. The ninth says: Shattering the Void in order to realize the ultimate principles”. 其一曰艮背，以念止念以求心。其二曰周天，效乾法坤以立極。其三曰通關，支竅光達以煉形。其四安土敦仁，以結陰丹。其五曰採取天地，以收藥物。其六凝神氣穴，以媾陽丹。其七曰脫離生死，以身天地。其八曰超出天地，以身太虛。其九曰虛空粉碎，以證極則 (Z. Lin 2016, p. 146).

With reference to the True record of the activities of Master Lin (Linzibenxingshilu 林子本行實錄)5, the term “the Nine Stages” appears six times in the letters between Lin Chao-en and his friends. For example, Yuan Yupan 袁玉蟠 asked about “the master’s teachings on the Nine Stages” 師九序之訓, hoping to learn how to proceed to xingting (revolutions of heaven, the second stage of the Nine Stages 行庭) and tongguan (penetrating the passes, the third stage of the Nine Stages; 通關 tongguan) (Lu 2019, p. 143). Another example is Wang Mingshi 王明石, who stated in his letter that: “By practicing genbei to stop delusive thoughts, I hope to gradually ascend the ladder of the Nine Stages after several years of practice”, 循艮背而證息妄念，期以數年之久，漸登九序之階梯 (Lu 2019, p. 148), which reveals his aspiration for the Nine Stages. Meanwhile, Participant A, a senior representative within the San-yi Teaching tradition, holds that “the Nine Stages is an internal cultivation method”.6 It is evident that the Nine Stages, as passed down from master to disciple, refers to the nine-step Inner Alchemy method ranging from the first stage of genbei to the ninth stage of Shattering the Void.

However, there is still room for discussion about whether the Nine Stages of Heart–Mind Cultivation belong solely to the rumen and jize components. Other expositions by Lin Chao-en indicate that genbei remains “outside the gate”. From the materials that directly expound on the Nine Stages of Heart–Mind Cultivation: “Only after liben can one be guided rumen. From the first stage of genbei to the sixth stage of coalesce the spirit in the cavity of vital force, this is what the teaching refers to as ‘entering the gate’.” 既立本矣，而后方可与之以入门，自一序艮背止念，以及六序凝神媾阳，此教之所以入门也 (Z. Lin 2016, p. 145). Completing liben practice is a prerequisite for starting the genbei practice.

Nevertheless, when a disciple asked whether genbei belongs to the liben component, Lin Chao-en replied, “This is still standing outside the gate, looking forward to entering it.” 此猶在門外，而望門以入焉者也 (Z. Lin 2016, p. 16). He thus held that genbei was still “outside the gate”.

Why did Lin Chao-en sometimes regard genbei as “inside the gate” and sometimes as “outside the gate”? Fieldwork conducted in the Putian-Xianyou folk areas7 revealed that contemporary practitioners distinguish the practical practice of genbei into two types: “genbei shouqiao” (genbeishouqiao 艮背守窍) and “genbei xingqi” (genbeixingqi 艮背行气).8 “Genbei shouqiao” requires practitioners to focus their spirit on the back. When one cannot concentrate at the initial stage of practice, they should recite secret incantations to calm the heart–mind. After focusing on the genbei area, it is better to pursue tranquility in movement—practicing while walking, doing housework, and engaging in other daily activities. The ideal state for maintaining and nurturing the spirit lies in being formless and colorless. With the goal of calming the heart–mind, “genbei shouqiao” corresponds to what Lin Chao-en described as “stopping delusive thoughts internally to keep the Heart–Mind undisturbed”; 內念止念 使心不亂. Since it does not involve Qi circulation practice, it remains “outside the gate”. Only after rumen can practitioners learn “genbei xingqi”, which means circulating Qi along the Ren Meridian and Du Meridian. This practice should be maintained at all times—whether walking, staying, sitting, or lying down—and not be separated for even a moment. When not circulating Qi, practitioners must keep the back still. The combination of “genbei shouqiao” and “genbei xingqi” constitutes the complete practice of genbei. Lin Chao-en stated in Direct Pointing to the Heart–Mind as Sage (xinshengzhizhi 心聖直指) that genbei and xingting are esoteric teachings within the cult. The specific “progressive practices and profound meanings”, 次第工夫，微詞奧旨 (Z. Lin 2016, p. 185), may have been transmitted orally between masters and disciples during practical cultivation within the tradition, which explains why such specific cultivation methods were not recorded in the handed-down documents. “Genbei xingqi” may correspond to the progressive practice esoterically passed down in the first stage of genbei. The two types of genbei—“genbei shouqiao” and “genbei xingqi”—discovered during the fieldwork provide a possible interpretive perspective on the apparent contradiction that genbei is described as both “outside the gate” and “inside the gate”, supplementing the limitations of available textual records from an ethnographic perspective.

The initiation ceremony of the San-yi Teaching requires the burning of the Oath of New Disciples to Heaven (chuxuezhushenggaotianshiyan 初學諸生告天矢言). Its Supplementary Note states the following: “I voluntarily pledge that I shall diligently practice all the Heart–Mind Cultivation methods taught to me, and faithfully abide by all the clear instructions given to me.” 自願諸凡所授心法，惟當勤而行之；所示明訓，惟當遵而守之 (Z. Lin 2016, p. 148). The “clear instructions” refer to liben contents such as “taking the Three Cardinal Guides and Five Constant Virtues as daily norms, practicing filial piety at home and respect for elders outside as practical conduct, regarding farming, craftsmanship, commerce and scholar-officialdom as proper occupations, cultivating oneself at home and practicing these principles in the world, thus forming the learning of understanding the essence and applying it in practice”; 以三綱五常為日用，入孝出悌為實履，士農工商為常業，修之於家，行之於天下，以為明體適用之學也 (Z. Lin 2016, p. 148). After rumen, the master will separately teach the disciples “genbei xingqi”. It can be seen that during the liben stage, disciples begin practicing genbei, and after rumen, they continue practicing liben. It is generally believed that liben is a prerequisite for rumen and jize and that one can only begin practicing genbei after completing liben. However, in reality, genbei includes “genbei shouqiao” and “genbei xingqi”. “Genbei shouqiao” can be practiced during the basis stage; after rumen, disciples practice the complete genbei while continuing to uphold the basis. Liben and ju-me are intertwined through genbei, and the Nine Stages span the three components of “Heart–Mind Cultivation”—liben, rumen, and jize.

Compared with the Nine Stages of Heart–Mind Cultivation, the Confucian System of Heart–Mind Cultivation has a more general meaning. Lin Chao-en named this method the “Confucian system of Heart–Mind Cultivation”, which stems from the San-yi Teaching’s principle of upholding Confucian norms of conduct. The Confucian system of Heart–Mind Cultivation is mentioned far more frequently in San-yi Teaching classics than the Nine Stages of Heart–Mind Cultivation: it appears 49 times in Linzi’s Comprehensive Theory on the Orthodox Unification of the Three Teachings (linzisanjiaozhengzongtonglun 林子三教正宗统论), three times in The True Classic of Xia Wu9 (xiawuzhenjing 夏午真經), and 12 times in True record of the activities of Master Lin (linzibenxingshilu 林子本行實錄). In general, the Confucian System of Heart–Mind Cultivation emphasizes that “the Heart–Mind remains in the cavity”, 心在腔子里 (Z. Lin 2016, p. 257), and its practice requires perseverance at all times, whether in movement or stillness. The phrase “the Heart–Mind remains in the cavity” (朱子語類 Zhu Zi Yu Lei, Li 1986, p. 2739) originates from Cheng Hao 程颢 of the Song Dynasty, and it generally means having no wandering thoughts. Later, it became a common term in Song and Ming Confucianism. Lin Chao-en inherited this concept and expanded its connotation. Specifically, the connotation of the Confucian System of Heart–Mind Cultivation can be divided into three categories: tempering oneself in practical affairs (事上磨練), cultivating the mind, and the Nine Stages of Heart–Mind Cultivation. All three categories are closely associated with “Confucianism”.

First of all, the Confucian System of Heart–Mind Cultivation refers to “tempering oneself in practical affairs”. Lin Chao-en used the term “Confucian system of Heart–Mind Cultivation” when expounding on the code of conduct for his disciples.

The “tempering oneself in practical affairs” of the Confucian System of Heart–Mind Cultivation is similar to the liben of the Nine Stages of Heart–Mind Cultivation, which is “upholding the Three Cardinal Guides and Five Constant Virtues, and engaging in the occupations of scholar, farmer, craftsman and merchant 振三綱五常，而業士農工商者也。” (Z. Lin 2016, p. 194). It means that practitioners should abide by the norms of the Three Cardinal Guides and Five Constant Virtues in human relations and engage faithfully in their respective occupations, similar to the “cultivation in engaged situations” (dongshigongfu 动时功夫) advocated by Song Dynasty Confucians. Lin Chao-en believed that everyone must understand and abide by the Confucian System of Heart–Mind Cultivation, which is precisely “the great Dao” he pursued (Z. Lin 2019, p. 11). Proclamation of Admonitions to the Students of the Zongkong Hall (Zongkongtang tiejiezhusheng 宗孔堂帖戒诸生), a frequently cited San-yi Teaching document, also mentions that regardless of whether one is engaged in the occupation of scholar, farmer, craftsman, or merchant, if they can “uphold the Confucian System of Heart–Mind Cultivation, abide by their proper status and engage in their proper occupation”, 持受孔門心法，各守常分，各安常業 (Z. Lin 2016, p. 40), they can become his disciple and be allowed to enter rumen; if they do not do this, they cannot become his disciple. The Confucian system of Heart–Mind Cultivation mentioned here is used in this sense.

Second, the Confucian System of Heart–Mind Cultivation refers to “cultivating the Heart–Mind”, which means that one should not have wandering thoughts when there is no external affair. This is also an inheritance of the “practice in stillness” (jingshigongfu 静时功夫) advocated by Song Dynasty Confucians. When answering his students’ questions about the meaning of the “Confucian system of Heart–Mind Cultivation”, Lin Chao-en also instructed them by taking the method of managing consciousness during leisure time as the connotation of the Confucian System of Heart–Mind Cultivation. A student asked: “Since the Confucian System of Heart–Mind Cultivation is the method for regulating the Heart–Mind, are there specific methods for regulating the Heart–Mind?” Lin Chao-en replied: “Of course, there are. Everyone’s words, deeds, and clothing have norms to follow, and regulating the Heart–Mind is no different.” The method is “when the Heart–Mind has a master, it can remain unshaken 心有主，則能不動” (Z. Lin 2016, p. 794). By regulating the Heart–Mind in accordance with this method, one can wait for the arrival of one’s destiny. The Confucian system of Heart–Mind Cultivation mentioned here refers to cultivating the heart–mind so that it remains still.

Finally, the Confucian System of Heart–Mind Cultivation also refers to the Nine Stages of Heart–Mind Cultivation. A student asked Lin Chao-en whether the practices of the rumen component constitute the Confucian System of Heart–Mind Cultivation, and Lin Chao-en answered affirmatively (Z. Lin 2016, p. 12). Specifically, the Confucian System of Heart–Mind Cultivation is often used interchangeably with the Nine Stages of Heart–Mind Cultivation, with the connotation of “curing diseases” (qbing 祛病). “Some people approach Linzi due to illness, seeking the so-called Confucian system of Heart–Mind Cultivation.” 或以病造林子，而求所謂孔門心法者. In response to this, Lin Chao-en cited the example of “Yanzi passing away at the age of thirty-two” 顏子三十二而卒 to illustrate that even Yanzi, Confucius’ most beloved disciple, could not achieve immortality. Therefore, although practicing the Confucian System of Heart–Mind Cultivation objectively can cure diseases, it cannot save lives. Helping others cure diseases was not the main purpose of Lin Chao-en’s promotion of the Confucian System of Heart–Mind Cultivation. “I only make a small attempt to guide them favorably, hoping for slight effects—perhaps enough to arouse their aspiration to become virtuous and sage, or perhaps enough to clarify chapters such as ‘a peaceful body originates from a peaceful Heart–Mind’. These are by no means deceptive words of Confucius, Zengzi, Zisi, and Mencius.” 余惟小試而利導之，庶有微效，或足以興起其為賢作聖之心，亦或足以發明體胖根心等章，殆非孔曾思孟罔人之語爾 (Z. Lin 2016, p. 426). The Confucian system of Heart–Mind Cultivation requires practitioners to uphold correct conduct, and physical health is the result of correct conduct. Lin Chao-en promoted the Confucian System of Heart–Mind Cultivation, centered on “curing diseases,” with the intention of helping people personally realize the unity of the Heart–Mind and body, thereby arousing their aspiration to become virtuous and sage.

According to Participant A, a senior representative within the San-yi Teaching tradition, “the Confucian System of Heart–Mind Cultivation encompasses all practices for regulating the Heart–Mind, all practices for learning to become a sage, and all practices of the San-yi Teaching. The Confucian system of Heart–Mind Cultivation brings inner peace, eliminates obsessions, and restrains the mind from wandering outward. Sometimes, the Confucian System of Heart–Mind Cultivation is consistent with the Nine Stages of Heart–Mind Cultivation.”10 This is consistent with the interpretation of the Confucian System of Heart–Mind Cultivation proposed in this study.

In summary, the Nine Stages of Heart–Mind Cultivation refers to an Inner Alchemy method comprising three phases (liben, rumen, jize) and nine progressive stages. As for the Confucian System of Heart–Mind Cultivation, which serves as the code of conduct for all disciples, as stipulated in the Proclamation of Admonitions to the Students of the Zongkong Hall, it encompasses all practices of the San-yi Teaching. It can be further subdivided into three categories: tempering oneself in practical affairs, cultivating the Heart–Mind, and health-oriented cultivation practice (气功).

In comparison, the liben component of the Nine Stages of Heart–Mind Cultivation is consistent with the “tempering oneself in practical affairs” of the Confucian System of Heart–Mind Cultivation, and the Nine Stages of Heart–Mind Cultivation as an Inner Alchemy method is consistent with the Confucian System of Heart–Mind Cultivation as a health-oriented cultivation practice. The difference between the two lies in the fact that the Confucian System of Heart–Mind Cultivation can also refer to the “cultivating the mind” advocated by Song Dynasty Confucians, while the Nine Stages of Heart–Mind Cultivation does not have this connotation. Therefore, the scope of reference of the Confucian System of Heart–Mind Cultivation is broader than that of the Nine Stages of Heart–Mind Cultivation.

4. The Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation Connected Through genbei

The discourse systems of the Confucian System of Heart–Mind Cultivation and the Nine Stages of Heart–Mind Cultivation are relatively independent, and the genbei method serves as the key that connects the two. By distinguishing between the provisional genbei (权艮背, the expedient form of stilling the back) (see Note 1) and the substantive genbei (实艮背, the substantive form of stilling the back), Lin Chao-en constructed the concept of genbei, thereby linking the Confucian System of Heart–Mind Cultivation and the Nine Stages of Heart–Mind Cultivation.

(I)

Two Dimensions of genbei Practice: The Expedient and the Fundamental

The genbei method has become almost a hallmark of the San-yi Teaching. According to Lin Chao-en’s own account, after learning the genbei method from his “enlightened master “(mingshi 明师), he attained enlightenment and began to propagate the teaching. Subsequently, Lin Chao-en wrote Direct Pointing to the Heart–Mind as Sage (Xinsheng Zhizhi 心圣直指), which was later compiled into the seventh volume of Linzi’s Comprehensive Theory on the Orthodox Unification of the Three Teachings—one of the most important thematic volumes in the entire book. There are three articles in Direct Pointing to the Heart–Mind as Sage: Genbei Heart–Mind Cultivation method (genbei xinfa 艮背心法), Xingting Heart–Mind Cultivation Method (xingting xinfa 行庭心法), and, directly following, The Void as the Ontology (xukongbenti 虚空本体). This structure clearly demonstrates the important position of genbei in the cultivation methods of the San-yi Teaching.

Earlier fieldwork conducted in the Putian-Xianyou area revealed local usage of the expressions “provisional genbei” and “substantive genbei”. A subsequent examination of the classics and scriptures of the San-yi Teaching suggests that this formulation can be traced to Lin Chao-en’s writings. Both the special topic “Provisional and Substantive” (Quanshi, 权实) in Linzi’s Comprehensive Theory on the Orthodox Unification of the Three Teachings (Linzi Sanjiao Zhengzong Tonglun 林子三教正宗統論) and Volume Three of The Scripture of Universal Brightness (Guangming Puzhao Jing, 光明普照經) in The Genuine Scripture of the Summer Noon (Xia Wu Zhen Jing 夏午真經) elaborate on these two types of genbei. It should be noted that contemporary oral traditions cannot be assumed to be identical to Ming dynasty practices without further historical verification. Therefore, the field materials used in this study are not treated as direct evidence of sixteenth-century practices, but rather as ethnographic materials that provide possible interpretive perspectives for understanding ambiguous textual descriptions.

Lin Chao-en explained the concept of provisional and substantive genbei in Volume Three of The Scripture of Universal Brightness (Guangming Puzhao Jing, 光明普照經) within The Genuine Scripture of the Summer Noon (Xia Wu Zhen Jing, 夏午真經). In Buddhism, a provisional method (quanfa 权法) refers to an expedient method—generally specific and simple, varying according to the context and the recipients of the teaching. A substantive method (shifa 实法), on the other hand, denotes the essential truth—usually more abstract and difficult to comprehend. In Mahāyāna Buddhist thought, the distinction between expedient means (upāya, 方便) and ultimate truth reflects the Buddhist understanding that teachings may be adapted according to different capacities while ultimately leading practitioners toward realization of the Dharma. As Schroeder notes, the doctrine of skillful means emphasizes the flexible and compassionate function of Buddhist teachings, which employ various methods to guide practitioners toward spiritual cultivation and awakening (Schroeder 2001). Lin Chao-en believed that, as in Buddhism, Confucian scholars and Daoist practitioners also differentiated their teaching content according to their students’ aptitudes. For example, when Confucius taught his disciples, he distinguished between “elegant words” (yayan 雅言) and “rarely spoken words” (hanyan 罕言). Confucius’ provisional method was to use simple and practical “elegant words” to teach “ordinary men and women”, 愚夫愚妇 (Z. Lin 2019, p. 214), while his substantive method was to pass on the abstract “Dao that cannot be made known to them”, 不可使知之道 (Z. Lin 2019, p. 214), to more gifted learners. Lin Chao-en borrowed Buddhist terminology, referred to the teaching methods of Confucianism, Buddhism, and Daoism, and classified cultivation practices using the categories of “provisional“ and “substantive”.

In Volume Three of The Scripture of Universal Brightness within The Genuine Scripture of the Summer Noon, Lin Chao-en held that the provisional genbei is the “practice of stopping thoughts“, 止念之功. Since most learners have ordinary aptitude, Lin Chao-en placed the provisional genbei in the initial learning stage. Similarly to Buddhism using metaphors such as “using yellow leaves to stop a child’s crying” (huangyezhiti 黄叶止啼) and “illusory city” (huacheng 化城) to guide people to attain enlightenment, as well as Confucius adapting his teaching through “rarely spoken words” and “elegant words” based on students’ aptitude, the provisional genbei serves the role of guiding and delivering learners. On the Provisional and Substantive Nature of genbei (genbei quanshi 艮背权实) also discusses the provisional genbei. Lin Chao-en said that sometimes he explained genbei as “only practicing at the source of thoughts”, 只从念之路头上做工夫—the genbei mentioned at this time is the provisional genbei. The provisional genbei referred to in Putian-Xianyou folk culture is “stopping thoughts with thoughts to seek peace of Heart–Mind”, which means focusing within the bodily cavity (qiangzili 腔子里), specifically on an acupoint in the back, until a state of emptiness is attained. This is consistent with the description in the scriptures. The key to practicing the Nine Stages of Heart–Mind Cultivation lies in mastering the first step, the provisional genbei—i.e., the aforementioned “genbei shouqiao” and “genbei xingqi”. After that, practitioners will naturally proceed to steps such as xingting and tongguan. During fieldwork in Putian, the author also learned that many practitioners could return to the ontological state of emptiness and achieve the unity of sage, immortal, and Buddha by practicing only the three steps of provisional genbei, xingting, and tongguan. This indicates the importance of provisional genbei in the Nine Stages of Heart–Mind Cultivation.

Lin Chao-en stated that when explaining genbei to the more intelligent “upper-reaching learners 上达者”, he interpreted it as “practicing on the solid ground of the Heart–Mind 从心之实地上做工夫” (Z. Lin 2016, p. 815)—this is the substantive genbei.” Practicing on the solid ground of the Heart–Mind” is the practice of non-thought, meaning maintaining a state of no thoughts in the Heart–Mind. Learners with superior aptitude can become sages through the substantive genbei practice, just as Yao 尧, Shun 舜, and Yu 禹 became the Great Harmony Primordial Qi (taiheyuanqi 太和元气). “When one attains the state of Yao and Shun, they become the Great Harmony Primordial Qi, which can flow throughout the universe.” 达而尧舜也，而太和元气，则能流行于宇宙之内矣. During fieldwork, the author discovered that, in Putian-Xianyou folk culture, substantive genbei is regarded as a superior-level cultivation method. Practitioners believe that maintaining stillness (chijing 持敬) can be regarded as practicing the substantive genbei, and through this, one can also attain jize. In addition, many disciples stated that they had heard of people reaching jize by practicing only genbei. This claim can be corroborated by the scriptures’ description of the substantive genbei.

(II)

The Nine Stages of Heart–Mind Cultivation Centered on the Provisional genbei

The theory of the provisional genbei is the key to the theory of the Nine Stages of Heart–Mind Cultivation. By interpreting the Hexagram Gen (gengua 艮卦) in The Book of Changes (Yi Jing, 易经), Lin Chao-en established the theory of the Nine Stages of Heart–Mind Cultivation centered on the provisional genbei.

Lin Chao-en named the first stage of the Nine Stages of Heart–Mind Cultivation genbei, aiming to establish the Nine Stages of Heart–Mind Cultivation centered on the provisional genbei. Since the extant San-yi Teaching texts associate the systematic interpretation of genbei with Lin Chao-en’s teachings, it is more appropriate to understand Lin Chao-en as the figure who developed and systematized the concept of genbei within the San-yi tradition. Lin Chao-en referred to genbei as “the genbei of The Book of Changes”, 易之艮背. In The Book of Changes, the judgment of the Gen hexagram reads: “Keeping his back still, so that he no longer feels his body; he goes into his courtyard, and does not see his people. There is no error”; 艮其背，不获其身；行其庭，不见其人，无咎. Lin Chao-en chose “genbei” as the name because he believed that using these two characters would allow him to establish the Nine Stages of Heart–Mind Cultivation centered on the provisional genbei by interpreting the Hexagram Gen.

First of all, the provisional genbei directly takes the Hexagram Gen of The Book of Changes as its theoretical foundation, and the Hexagram Gen is also the theoretical core of the Nine Stages of Heart–Mind Cultivation. Therefore, the provisional genbei is the center of the Nine Stages of Heart–Mind Cultivation. Lin Chao-en held that the main theme of The Book of Changes is inherently the method of the Heart–Mind, body, nature, and life: “Yet there are those who do not understand the grandeur of the Heart–Mind and body, nor the subtlety of nature and life, but only focus on words and characters, and trivial matters such as hand gestures and foot postures. Is this really the case? 顾有不明夫心身之大，性命之微，而专有在于言语文字之间，手容足容之细也。岂其然哉” (Z. Lin 2016, p. 171). It is just that most people usually focus on the exegesis and meaning of words in The Book of Changes and thus overlook that it is primarily a book about cultivation. What Lin Chao-en referred to as “the grandeur of the Heart–Mind and body, the subtlety of nature and life” refers to the Nine Stages of Heart–Mind Cultivation. The core theory of the Nine Stages of Heart–Mind Cultivation is embodied in The Book of Changes, and in practice, it manifests as the provisional genbei. “The character ‘背’ (back) consists of ‘北’ (north) and ‘肉’ (body); the back is the flesh of the north. The north belongs to water; now, inferring from the water of the back in the north, the heart in the south is fire. Fire is yang (阳) and resides in the front (south). Water is yin (阴) and resides in the back (north). Now, using the fire of the heart in the south and purifying it with the water of the back in the north—this is what The Book of Changes calls ‘purifying the Heart–Mind and retiring to hide in the secret’, which is the Heart–Mind Cultivation method passed down by the Confucian school ‘背’字从北从肉，背乃北方之肉也。北方属水，今以北方之背之水推之，而南方之心则火矣。火阳也，南之而居前。水阴也，北之而居后。今以心之火之南，而洗之以背之水之北者，《易》之所谓‘洗心退藏于密’，孔门传授心法也” (Z. Lin 2019, p. 215). The passage “purifying the Heart–Mind and retiring to hide in the secret 洗心退藏于密” is the core connotation of the Nine Stages of Heart–Mind Cultivation. In addition, the theoretical foundation of the provisional genbei “hiding the fire of the heart in the south with the water of the back in the north—would not the fire of the heart be extinguished by the water of the back? 夫以心之火之南，而藏之以背之水之北，而心之火也，其不为背之水所熄灭邪” (Z. Lin 2019, p. 215). The character ‘背’ (back) consists of ‘北’ (north) and ‘肉’ (body); the back is the flesh of the north. Using the back to refer to the north replaces the traditional Daoist view that the kidneys represent the north, and it balances fire and water by focusing the Heart–Mind on the back. In addition to the provisional genbei, Lin Chao-en believed that the other main steps of the Nine Stages of Heart–Mind Cultivation, such as xingting and the Yellow Center (Huangzhong 黄中), were also based on the theory of The Book of Changes. Lin Chao-en stated: “The Book of Changes speaks of Yellow Center, and the Dao also speaks of Middle Yellow (Zhonghuang 中黄); The Book of Changes speaks of xingting, and the Dao also speaks of Yellow Court (Huangting 黄庭).” (Z. Lin 2019, p. 215) “Yellow Center”, and xingting in The Book of Changes are the same as Yellow Center and Yellow Court in Daoism. Confucian scholars after Fuxi (fuxi 伏羲), King Wen (wenwang 文王), and Confucius overlooked the cultivation-related terms in The Book of Changes because people had prejudices against Daoist cultivation, fearing “being regarded as heretics人异端之也” (Z. Lin 2019, p. 215). Therefore, not only genbei, but also xingting (行庭), penetrating the passes (tongguan 通关), and other contents are derived from The Book of Changes. Thus, the core of The Book of Changes, “the grandeur of the Heart–Mind and body, the subtlety of nature and life”, is precisely the Nine Stages of Heart–Mind Cultivation, and the provisional genbei is the top priority. Therefore, the theory of the Nine Stages of Heart–Mind Cultivation originates in The Book of Changes and centers on the provisional genbei.

Second, the provisional genbei maintains heartful awareness in daily life, consistent with the worldly connotation of the Nine Stages of Heart–Mind Cultivation, which emphasizes disciples striving for progress in various occupations, such as scholar, farmer, craftsman, and merchant. “Quietness and tranquility are the inherent nature and state of all things; in accordance with this, all things can rectify themselves” (Shen 2017). The San-yi Teaching values practical application; the provisional genbei may seem to have no promoting effect on work and life, so some disciples asked Lin Chao-en whether genbei had any practical value. Lin Chao-en gave an affirmative answer: “Heaven has four seasons, and winter seems to be unused; humans have four limbs, and the back seems to be unused. From this perspective, the human back is like the winter of heaven—how can it be useless? Therefore, people know what is useful, but do not know that what is seemingly useless is also useful. Heaven and humans are one.” 天有四时，而冬则不用矣；人有四肢，而背则不用矣。由是观之，人之背，亦天之冬也，岂其无所用耶？故人知有用之为有用，而不知无用之为有用焉，天人一也 (Z. Lin 2019, p. 215). When the provisional genbei is taken as the initial learning content, i.e., “genbei shouqiao”, it can promote the practice of “establishing the foundation”. Although it seems useless, it actually helps people stay focused and heartful, enabling them to work without distraction and make progress, which conforms to the worldly connotation of the “Confucian school”.

In practical cultivation, the provisional genbei is also a crucial step in the Nine Stages of Heart–Mind Cultivation. Throughout history, most practitioners have regarded the “back” in genbei as the Spinal Gorge (jiaji 夹脊) area. As for the specific location of genbei, Lin Chao-en did not specify it in his books. There is a view that “the sixth and fourth line of the Hexagram Gen (the middle of the body) is located at the central point of the line connecting the tips of the two scapulas, between the seventh and eighth vertebrae, which is called the Zhiyang Acupoint in traditional Chinese medicine meridians.” Some practitioners also indicate that the genbei area is the Xinshu Acupoint (xinshuxue 心俞穴). Subsequently, this location gradually transforms into a field of “neither internal nor external, with no fixed position”. After that, practitioners will naturally proceed to steps such as xingting and penetrating the passes, and gradually mature to attain the ultimate principle.

By interpreting the Gen hexagram in the Book of Changes, Lin Chao-en provided a justification for incorporating the genbei into the Confucian cultivation system. Therefore, the term genbei constitutes his key formulation for presenting the Nine Stages of Heart–Mind Cultivation as a Confucian practice.

(III)

The Confucian System of Heart–Mind Cultivation Centered on the Substantive genbei

Most of the contents directly discussing genbei in San-yi Teaching works refer to the provisional genbei. Compared with the provisional genbei, there is less content discussing the substantive genbei, except for some parts in On the Provisional and Substantive Nature of genbei (genbeiquanshi 艮背权实) that directly mention the substantive genbei; most of the contents about the substantive genbei are scattered in Lin Chao-en’s discussions on the Confucian System of Heart–Mind Cultivation.

Lin Chao-en held that the substantive genbei is the method of “fulfilling one’s nature to attain destiny 尽性至命”. A disciple asked: “If the provisional genbei is only a provisional method, then what is the true meaning of genbei?”. Someone asked: “Since genbei and xingting are said to be provisional, they are like standing at the gate looking forward to entering. Then, what about the so-called ‘believing in the Dao and desiring benevolence’—is this not also the upper-reaching? 或问艮背行庭，既曰权矣，望门而入矣。若所谓信道欲仁，抑非上达欤？” Lin Chao-en replied: “The Book of Changes says: ‘Fulfill one’s nature to attain destiny’—is this not regarded as the upper-reaching and the realm of the ultimate principle 尽性以至于命，不谓之上达而为极则地邪?” (Z. Lin 2019, p. 574). He believed that “fulfilling one’s nature to attain destiny” originated from The Book of Changes and is the core of Confucius and Mencius’ doctrine. “Only then did we know that the learning of fulfilling one’s nature to attain destiny… After Confucius and Mencius passed away, it was not until now that Mr. Lin (Chao-en) re-explained and clarified it” (Z. Lin 2016, p. 922). Lin Chao-en believed that the substantive genbei, centered on fulfilling one’s nature to attain one’s destiny, is a supreme cultivation method, one also advocated by Confucius. Therefore, the substantive genbei is interconnected with the Confucian System of Heart–Mind Cultivation.

First of all, the substantive genbei refers to the “Heart–Mind Cultivation practice” of the Confucian System of Heart–Mind Cultivation. As mentioned earlier, the “Heart–Mind Cultivation practice” of the Confucian System of Heart–Mind Cultivation means that the consciousness does not generate distracting thoughts when there are no external affairs. Lin Chao-en sometimes explained genbei in this sense. A disciple questioned that the method of “stopping thoughts with thoughts 以念止念” in the “genbei practice” was wrong. Lin Chao-en replied: “As for the term ‘genbei’… what I secretly use to guide beginners is probably not the true meaning of The Book of Changes. 夫艮背之言, …… 而余窃之以接初学之士者，殆非易之所谓真实义也” (Z. Lin 2016, p. 815). The provisional genbei of “stopping thoughts with thoughts” is an expedient measure for beginners: “The genbei practice is the Heart–Mind Cultivation method of stopping thoughts with thoughts. Because thoughts that wander outward are delusional, now, we turn them back inward 艮背之功，以念止念之心法也。以其念之逐于外焉者，妄也，今则返之于内矣” (Z. Lin 2016, p. 173). The true meaning of genbei is precisely the state where the consciousness does not generate distracting thoughts when there are no external affairs.

Second, the substantive genbei can also refer to the “tempering oneself in practical affairs” practice of the Confucian System of Heart–Mind Cultivation. As mentioned earlier, the practice of “tempering oneself in practical affairs” in the Confucian System of Heart–Mind Cultivation means that the consciousness focuses on one’s actions when handling matters, a point Lin Chao-en often emphasized when explaining codes of conduct to his disciples. The substantive genbei also emphasizes focus: “If one does not pursue Heart–Mind quiescence, but seeking to stay away from crowds and hide in the deep mountains, how can the mind be peaceful? 若不求艮于心，而求艮于山焉，心岂能静” (Z. Lin 2016, p. 174). Lin Chao-en believed that one should practice genbei in social life. Taking scholars as an example, whether reciting “Master of the Three Teachings 三教先生”, “Learning and constantly practicing what is learned 学而时习之”, or even reading, discussing, and responding to others, all these activities can help one achieve focus. “A scholar takes reading as their occupation. When reading the line ‘Learning and constantly practicing what is learned’, they should recite it just like reciting the four characters ‘Master of the Three Teachings’, integrating the recitation into the back. From one sentence to hundreds of thousands of sentences, it is all the same. 士者以读书为业，或读‘学而时习之’句，即如念‘三教先生’四个字，亦念入于背之腔子里，自一句而至于百千万句，无不皆然” (Z. Lin 2016, p. 173). In the sense of “tempering oneself in practical affairs”, disciples can practice the substantive genbei at all times, which is exactly consistent with the characteristic of the Confucian System of Heart–Mind Cultivation that requires practice at all moments, whether in movement or stillness.

Finally, the theory of the substantive genbei can include the Nine Stages of Heart–Mind Cultivation. “Sometimes I explain genbei of The Book of Changes to upper-reaching learners, and advocate practicing on the solid ground of the Heart–Mind—does this represent the substantive aspect? 余或以易艮背，而与上达者道也，又从心之实地上做工夫者，其实乎”. All practices that involve “practicing on the solid ground of the Heart–Mind” can be called “substantive genbei”, and the solid ground of the Heart–Mind “upholds the ontological nature of the Great Void 总持乎太虚之本体” (Z. Lin 2016, p. 815), which is consistent with the ninth stage of the Nine Stages of Heart–Mind Cultivation “Shattering the Void 虚空粉碎”. Lin Chao-en held that “‘(the superior man) does not allow his thoughts to go beyond his position.’… This is the essential purport of genbei and the fundamental method for entering the gate.‘君子思不出其位。’…… 艮背之要旨，入门之大法也” (Z. Lin 2016, p. 815). This constitutes the theoretical core of genbei. The superior man does not allow his thoughts to go beyond his position, which means that consciousness should remain in its proper place. This includes both the provisional genbei (where consciousness is focused on the Zhiyang Acupoint) and the substantive genbei (encompassing tempering oneself in practical affairs and Heart–Mind Cultivation practice). Therefore, the theory of the substantive genbei can include the Nine Stages of Heart–Mind Cultivation.

The substantive genbei method basically refers to the Confucian System of Heart–Mind Cultivation. In this sense, the Confucian System of Heart–Mind Cultivation is a method of consciousness control centered on non-thought and focus. It has a narrow connotation but a broad extension and can be meticulously implemented in daily life, such as clothing, food, housing, transportation, and cultivation practices. Theoretically, the substantive genbei can include the Nine Stages of Heart–Mind Cultivation, but its operation is not very specific. Therefore, compared with the Nine Stages of Heart–Mind Cultivation, the Confucian System of Heart–Mind Cultivation has a wider scope but is vaguer and does not have specific operational norms to follow.

The relationships among the Nine Stages of Heart–Mind Cultivation, the Confucian System of Heart–Mind Cultivation, provisional genbei, substantive genbei, liben, rumen, and jize are summarized in

Table 1. Relationship between the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation.

Confucian System of Heart-Mind Cultivation	Substantive genbei	Practical affairs	liben “outside the gate”
		Heart-mind cultivation
	Provisional genbei	Nine Stages of Heart-Mind Cultivation	liben “inside the gate” liben continues through rumen and jize
			rumen
			jize

.

(IV)

From the Nine Stages of Heart–Mind Cultivation to the Confucian System of Heart–Mind Cultivation: A Creative Interpretation of “The Superior Man Does Not Allow His Thoughts to Go Beyond His Position”

In summary, through the construction of the genbei method, Lin Chao-en developed a comprehensive cultivation method grounded in a new interpretation of the Book of Changes, integrating the cultivation of the Heart–Mind, the body, human nature, and life.

Each hexagram in The Book of Changes consists of a hexagram text, line texts, Tuan commentary, and Xiang commentary, which are integrated as a whole. The hexagram text interprets each hexagram comprehensively; the Tuan commentary further explains the hexagram text; the Xiang commentary analogizes things based on the hexagram and conveys the hexagram text’s guidance to humans. The hexagram text of the Hexagram Gen is as follows: “Gen (stops) at his back; he loses (the power of) feeling his body; he goes up to his courtyard and does not see any of his people. There will be no error. 艮其背，不获其身；行其庭，不见其人，无咎.” Its original meaning is that if the subject stops before coming into contact with the object, they can avoid disasters.11 The Tuan commentary states: “Gen means stopping 艮，止也.” The Xiang commentary states the following: “(The trigram for) a mountain, doubled, forms Gen. The superior man, in accordance with this, does not allow his thoughts to go beyond his (proper) position. 兼山，艮；君子以思不出其位.” This indicates that at this time, one should restrain their actions to achieve better results.

When Lin Chao-en interpreted “The superior man does not think beyond his position” as upholding one’s proper duty, genbei refers to the Confucian System of Heart–Mind Cultivation. “Is not the ‘position’ mentioned in The Book of Changes the correct position of oneself in the world? 易之所谓‘位’者，非吾身天下之正位乎” (Z. Lin 2016, p. 682). Everyone should have a clear understanding of their own position in the family and work and play the corresponding role well—this is the “correct position”. When Lin Chao-en interpreted “The gentleman does not think beyond his position” as focusing the Heart–Mind on the back, genbei refers to the Nine Stages of Heart–Mind Cultivation. “The body is the body, the form. Qian is the head, Kun is the abdomen, and the abdomen is also part of the form…. Gen says: ‘The superior man, in accordance with this, does not allow his thoughts to go beyond his (proper) position. 身也者，身也，体也。乾为首，坤为腹，腹亦体也。……艮曰‘君子思不出其位” (Z. Lin 2016, p. 30). At this time, the “position” in “The superior man does not think beyond his position” refers to the body. More specifically, the “position” is the genbei area in the middle of the back.

The Book of Changes says the following: “‘The superior man does not think beyond his position.’ May I ask what is meant by position? Is it not the middle of the place where one restrains one’s heart? Master Lin said: ‘The middle of the back is the position; the middle of the courtyard is also the position.’ 《易》曰：‘君子思不出其位。’敢问何者之谓位？岂非其所止之位者中欤？林子曰：‘背之中，位也；庭之中，亦位也’” (Z. Lin 2016, p. 176). When a disciple asked about the meaning of “The superior man does not think beyond his position”, Lin Chao-en clearly replied that the “position” is “the middle of the back”. When interpreting “The superior man does not think beyond his position” through embodied cultivation methods, genbei refers to the Nine Stages of Heart–Mind Cultivation. Through such unification of the Heart–Mind and body, one can attain the realm of the unity of the sage, the immortal, and the Buddha (Z. Lin 2016, p. 176).

The reasons why Lin Chao-en formed the Confucian System of Heart–Mind Cultivation and the Nine Stages of Heart–Mind Cultivation through his new interpretation of “The superior man does not think beyond his position” are roughly as follows.

Lin Chao-en’s reinterpretation can be understood as an attempt to make an embodied Inner Alchemy practice intelligible and legitimate within a Confucian framework. The Gen hexagram offered a semantic bridge between two dimensions already present in his teaching: “stopping” could describe the regulation of thoughts, while “position” could refer both to one’s proper social role and to the bodily location of the back. This double reading allowed Lin to present genbei simultaneously as a concrete technique of Heart–Mind and body cultivation and as a practice consistent with Confucian ethical discipline. It also enabled the Nine Stages to retain their practical and therapeutic functions while being incorporated into the broader Confucian System of Heart–Mind Cultivation.

First, Lin Chao-en’s dual identity led to a dual perspective in his interpretation of issues. As a Confucian scholar, his years of experience taking imperial examinations as a Confucian student gave him a natural sense of belonging to Confucianism and a strong concern for real life—this is one of the reasons he chose the discourse and practice systems of the “Confucian system of Heart–Mind Cultivation”. However, Lin Chao-en’s understanding of traditional Confucianism had its limitations. Combining Chronicle of Linzi (Linzi Nianpu 林子年谱) and A Veritable Record of Master Lin’s Deeds (Linzi Benxing Shilu, 林子本行实录), it can be seen that from the first year of the Jiajing reign (1522), when Lin Chao-en entered primary school, to the eleventh year of the Jiajing reign (1532), when he first gained literary insight, he “could only recognize a few lines of characters after reading them dozens of times 读书数行，方数十遍才能认识” (Lu 2019, p. 17). From the age of sixteen, when he first gained literary insight, to the age of thirty, when he abandoned his career as a candidate for the imperial examination, Lin Chao-en never passed the imperial examination. It can be inferred that Lin Chao-en’s understanding of traditional Confucianism was not deep, which instead led him to view it from a more open perspective. Thus, he interpreted the “position” (位) in “The superior man does not think beyond his position 君子思不出其位” as “the middle of the back 背之中”, enabling the Confucian System of Heart–Mind Cultivation to integrate the Nine Stages of Heart–Mind Cultivation with traditional Confucian self-cultivation practices. As a religious leader, Lin Chao-en used the Nine Stages of Heart–Mind Cultivation to answer his own doubts. Legendary stories such as Lin Chao-en being born because his mother dreamed that “the moon fell into her bosom 月坠于怀” and “only picking up a mirror 独举一镜” (Lin et al. 2017, p. 42) during his drawing of lots at his first birthday endow him with a strong and mysterious aura. In his youth, a strong desire for knowledge drove him to visit all those who had some understanding of the Three Teachings (Confucianism, Buddhism, and Daoism) to seek the Dao, “having only one bowl of porridge in the morning and returning only at night 清晨一粥，至晚方归” (Lu 2019, p. 30), which was regarded as madness by people at that time. Therefore, he connected the practice of “guarding the orifice” (shouqiaofa 守窍法) with Hexagram Gen of The Book of Changes, coined the term genbei, and thereby incorporated the Nine Stages of Heart–Mind Cultivation into the “Confucian school” (kongmen 孔门).

Second, the complex social environment enabled Lin Chao-en to establish himself with a dual-character cultivation method. During the Jiajing reign, the emperor indulged in Daoism; during the Wanli reign, Buddhism was venerated. The economy was sluggish, the country was unsettled, and social strata became increasingly complex. As a scholar-official, Lin Chao-en’s theory, oriented towards becoming a sage, an immortal, and Buddha, made it difficult for him to enter the mainstream literati circle. As a worthy local figure, the strong religious color of his deeds prevented many of his benevolent acts from being officially recognized and recorded in local chronicles. As a local religious leader, Lin Chao-en’s ideas were overly ideological and lacked sufficient “salvation” in their nature, failing to cause much sensation. As for influential private schools such as “Yaojiang” (yaojiang 姚江) and “Ganquan” (ganquan 甘泉), they were mostly popular among senior intellectuals, and Lin Chao-en was also unable to join them. The complex social strata forced Lin Chao-en to separate the Confucian System of Heart–Mind Cultivation from the Nine Stages of Heart–Mind Cultivation, endowing the San-yi Teaching with dual characteristics of “curing diseases” and “Confucianism”, thereby attracting believers of diverse identities and finding a living space in the complex social environment. Lin Chao-en’s dual identity precisely enabled him to develop these dual characteristics.

Third, the practice and theoretical systems from the Nine Stages of Heart–Mind Cultivation to the Confucian System of Heart–Mind Cultivation responded to the era’s demand for methods for the Heart–Mind, body, nature, and life. The corresponding cultural resources in Confucian, Daoist, and Buddhist thought coordinated the tension between individual emotional demands and social norms. However, social changes in the Ming Dynasty made the relationship between freedom and ethics increasingly tense. This contradiction was particularly prominent in the Putian-Xianyou area. The eight years from the 34th to the 42nd year of the Jiajing reign in the Ming Dynasty (1555–1563) were marked by great suffering for the people of Putian. In the 34th year of the Jiajing reign (1555), “Since the end of the Jiajing reign, Japanese pirates have plundered Zhejiang, Zhili, Fujian, Guangdong and other places, and the number of people slaughtered is countless. Taking Fujian as an example, they captured Xinghua, Fuqing, Ningde and other counties and prefectures, burning and killing everything, and Xinghua was the worst, almost being completely sacked.” 倭自嘉靖末抄掠浙直闽广，所屠戮不可胜数。即以吾闽论之，其陷兴化、福清、宁德诸郡县，焚杀一空，而兴化尤甚，几于洗城矣 (Wuzazu, Xie 1959, pp. 122–23). After the war, Putian was covered with corpses, and plague followed. “In the winter of the 40th year of the Jiajing reign (1561), Japanese pirates approached the city, and diseases broke out simultaneously. The dead lay side by side, and coffins were insufficient for all.” 嘉靖四十年(1561)冬，倭夷迫城，疾疠并臻，死者相枕，棺难遍施矣 (Lu 2019, p. 48). Wars and plagues caused social unrest, and the people’s physical and mental health needed to be addressed. Lin Chao-en responded to the people’s demand for life and health during the plague in Putian with the “disease-curing” characteristic and echoed the society’s demand for ethical and moral rules during the war with “the Three Cardinal Guides and Five Constant Virtues”. Through the creative interpretation of “The superior man does not think beyond his position,” he developed the Confucian System of Heart–Mind Cultivation, and the Nine Stages of Heart–Mind Cultivation responded to the era’s demand for methods for Heart–Mind, body, nature, and life.

(V)

A Comparison with Lu Xixing: The Distinctive Features of Lin Chao-en’s Inner Alchemy

The distinctive character of Lin Chao-en’s cultivation system can be further clarified through a comparison with Lu Xixing, a representative late-Ming inner alchemist and the founder of the Eastern School of Inner Alchemy. As a form of non-Daoist Inner Alchemy, the Nine Stages of Heart–Mind Cultivation possess distinctive characteristics different from the common characteristics of Inner Alchemy in the Ming Dynasty. Traditional Inner Alchemy developed alongside its inherent theoretical evolution, with social culture only playing a facilitating role, while the Nine Stages of Heart–Mind Cultivation came into being when Ming social and cultural ideas were deeply integrated into Inner Alchemy theories.

Lu Xixing was a typical inner alchemist in the late Ming Dynasty and is honored as the founder of the Eastern School of Inner Alchemy (Xiao 1984, p. 6). He held that Inner Alchemy practice should start with refining the self, and regarded “Jade Fluid Self-refinement” (玉液煉己) as the primary foundational practice belonging to spiritual cultivation. In his work Discourse on Subtle Embodiment (玄膚論 xuanfulun), he stated that this practice could “cultivate a temperament of gentleness, steadfastness and purity.”溫潤貞純 (Xiao 1984, p. 201). The genbei practice adopted in the Nine Stages also falls into spiritual cultivation. The provisional genbei aims to calm distracting thoughts through concentration, and the substantive genbei pursues a state free from random thinking. Such orientation that lays stress on mental cultivation conforms to the common characteristics of prioritizing nature cultivation in Ming Inner Alchemy.

Nevertheless, the uniqueness of the genbei practice lies in its in-depth integration with social development, which embodies the typical traits of non-Daoist Inner Alchemy. Lu Xixing claimed that “the success and failure of medicinal materials gathering entirely depend on refining fire” 採藥之時，休咎得失，全仗於火 (Xiao 1984, p. 47). As a traditional Daoist inner alchemist, his theories emphasized progressive cultivation procedures and the dynamic relation between medicinal materials and refining fire, and attached little importance to ethical enlightenment. On the contrary, Lin Chao-en highlighted the significance of moral principles in advancing the practice of the Nine Stages, endowing it with dual functions of physical and spiritual cultivation as well as secular moral instruction. He interpreted the connotation of genbei based on the theories of the Gen hexagram in The Book of Changes, and categorized his cultivation methods as the Confucian System of Heart–Mind Cultivation, which echoed the ideological trend of the integration of Confucianism, Buddhism and Daoism in the Ming Dynasty. Recent scholarship has further examined the historical development of the concept of “Three Teachings in One.” Hong Xiuping argues that Lin Chao-en was influenced by the intellectual trend of Three Teachings syncretism and Wang Yangming’s School of Mind, through which he integrated the theoretical and practical dimensions of Three Teachings integration and contributed to the popularization of this doctrinal expression (Hong 2024). Its prominent emphasis on moral norms fully reflects the overall cultural context of the Ming Dynasty and forms its outstanding academic features.

This comparison shows that, although both Lu Xixing and Lin Chao-en emphasized the cultivation of nature and the refinement of the self, Lin’s distinctive contribution was to integrate embodied Inner Alchemy more systematically with Confucian ethical discipline, social practice, and the religious ideal of the unity of the Three Teachings.

5. Conclusions

As discussed earlier, although the Nine Stages of Heart–Mind Cultivation and the “Confucian system of Heart–Mind Cultivation” are used interchangeably in various contexts, this does not alter the fact that the cultivation method of the San-yi Teaching is an Inner Alchemy method. Judith A. Berling discussed the Confucian System of Heart–Mind Cultivation in The Syncretic Religion of Lin Chao-en. She argued that Lin Chao-en used the term “Confucian system of Heart–Mind Cultivation” to describe his method of cultivating the Heart–Mind and nature. Although Confucian scholars also used the term “Confucian system of Heart–Mind Cultivation”, its meaning was different. In Zhu Xi’s introduction to the Doctrine of the Mean (zhongyong 中庸), he remarked, “This is the central way (the method of Heart–Mind Cultivation) in which the doctrines of the Confucian school have been transmitted” (Zhu 2012, p. 17), referring to the core essence of the transmission of the orthodox Confucian tradition. Lin Chao-en’s interpretation inherited the views of Huang Yuanji (黄元吉), a Daoist priest of the Yuan Dynasty, who advocated that the unification of the Three Teachings lies in “upholding the mean” (shou zhong, 守中). Huang held that the “Heart–Mind Cultivation method” was a doctrine of the Heart–Mind, transmitted from Yao and Shun through the Confucian school, embodying the teachings of centrality. Lin interpreted “Heart–Mind Cultivation method” as the “method of serving the original mind” (事心之法), serving the Heart–Mind, here regulating the Heart–Mind. He followed Huang in emphasizing the doctrine as the Confucian teachings on centrality transmitted from the sages. Still, he also emphasized the word fa (method or system) to highlight its function as a way of praxis. This discussion also holds that although the Confucian System of Heart–Mind Cultivation bears the name of the Confucian school, it is essentially an Inner Alchemy method (Berling 1980, p. 283).

From the perspective of the development of Inner Alchemy, the Nine Stages of Heart–Mind Cultivation typically present three major characteristics of Inner Alchemy in the Ming Dynasty. First, the Ming Dynasty Inner Alchemy placed great importance on nature cultivation, prioritizing the cultivation of the Heart–Mind and nature over cultivating qi and refining life. The genbei method is a method of consciousness control within natural cultivation. Shen Wenhua argues that from the Sui and Tang dynasties to the Ming and Qing dynasties, emphasizing that natural cultivation was an overall trend in Inner Alchemy; cultivating the Dao is cultivating the Heart–Mind and nature, which shows a significant difference from the basic definition of “immortal” in early Daoism (Shen 2017). The characteristics of emphasizing natural cultivation and refining the self (lianji 炼己) are also reflected in the Dong School (dongpai 东派) Inner Alchemy methods of the same period in the Ming Dynasty (Zhang 2022). The Nine Stages of Heart–Mind Cultivation, centered on the genbei method, responded to the characteristics of the Inner Alchemy of the Ming Dynasty. Second, the Inner Alchemy of the Ming Dynasty exhibited a “popularization” trend and placed importance on ethical education. The integrated cultivation method of the Nine Stages of Heart–Mind Cultivation and the Confucian System of Heart–Mind Cultivation demonstrated the inner alchemists’ emphasis on Confucian ethics and their innovation of Inner Alchemy in a way that was easy for the general public to understand. This simplified way of practicing Inner Alchemy, which integrated Confucianism and Daoism, was also inherited by Inner Alchemy in the late Ming and early Qing dynasties. For example, Min Yide (MinYide 闵一得)’s Longmen Convenient Dharma Gate (Longmenfangbianfamen, 龙门方便法门) reflects the continuity of the development of Inner Alchemy in the Ming and Qing dynasties (Wu 2022). Third, after the Tang and Song dynasties, the unification of the Three Teachings became the main theme of Chinese social thought. Inner Alchemy absorbed Confucian self-cultivation principles, Buddhist heart–nature theory, and terminology, which had a profound impact on the development of Inner Alchemy in the Ming Dynasty. The cultivation system integrating the Confucian System of Heart–Mind Cultivation and the Nine Stages of Heart–Mind Cultivation developed by Lin Chao-en reflects this broader intellectual trend.

Taking Daoist Inner Alchemy as the core line, Lin Chao-en integrated the essence of cultivation theories of Confucianism and Buddhism, and established a self-cultivation system that combines the merits and avoids the drawbacks of the three teachings. Against the backdrop of social unrest in the late Ming Dynasty, it not only demonstrated the world-saving concern of a scholar/religious leader but also profoundly reflected the core characteristics of a Chinese philosophy that valued cultivation, experience, and spiritual transformation. Furthermore, at the level of practice, it was implemented as a complete cultivation path centered on genbei, guided by the “Confucian system of Heart–Mind Cultivation” as the systematic framework, and with the “Nine Stages” as the specific operational sequence. Therefore, the Nine Stages of Heart–Mind Cultivation is not only the result of individual creation but also gathers and reflects the core characteristics of the development of Inner Alchemy and the overall cultural atmosphere in the Ming Dynasty, becoming a highly typical case for interpreting the evolution of Inner Alchemy during this period. Future research may integrate local religious documents and fieldwork data to further broaden the research horizon of Fujian’s Inner Alchemy and Three Teachings integration and advance the regionalized study of the intellectual history and cultivation practices of Ming Dynasty Inner Alchemy.