Dong Anyu, serving as the governor of the Shangdi region in Zhao, was traveling through the mountains of Shiyi when he saw a deep gorge as steep as a wall and a hundred fathoms deep. He asked the locals, “Has anyone ever fallen into this?” They replied, “No.” He asked, “Have infants, the blind, the deaf, or the insane ever fallen in?” They replied, “No.” “Have cattle, horses, dogs, or pigs ever fallen in?” They replied, “No.” Dong Anyu sighed deeply and said, “I know how to govern now! If I govern with absolutely no pardons, making the punishment as inescapable as falling into this gorge, then no one will dare to violate the law. How could the state not be well-governed?”
When Zichan served as Prime Minister of Zheng and was on his deathbed, he said to Youji, “After I die, you will govern Zheng. You must rule with strict severity. Fire appears fierce, so few are burned; water appears gentle, so many drown. You must be as fierce as fire; do not let people drown in your leniency.” After Zichan died, Youji refused to be strict. The young men of Zheng formed gangs of robbers in the marshes, becoming a disaster for the state. Youji led chariots and cavalry to fight them, taking a full day and night to barely suppress them. He sighed, “If I had followed the Master’s teachings earlier, I would not have regretted this.”
Duke Ai of Lu asked Confucius, “The Spring and Autumn Annals records: ‘In the twelfth month of winter, frost fell but did not kill the beans.’ Why is this recorded?” Confucius replied, “It means what should be destroyed was not destroyed. If what should be destroyed is spared, peach and plum trees will bear fruit in winter. When Heaven loses its Way, even grass and trees defy it; how much more so human rulers?”
The laws of the Yin (Shang) dynasty penalized throwing ashes into the street. Zigong thought this was too heavy and asked Confucius. Confucius said, “This is the Way of governance. Throwing ashes in the street blows into people’s eyes; this angers them; anger leads to fighting; fighting leads to mutual slaughter between three clans. Punishing the ashes prevents the slaughter of three clans. Moreover, people hate heavy punishments, but refraining from dumping ashes is easy. Forcing people to do what is easy so they never approach what they hate is the Way of governance.”
Le Chi, the Prime Minister of Zhongshan, was sent to Zhao with a hundred chariots. He selected a wise and capable retainer to lead the expedition, but chaos broke out midway. Le Chi asked why. The retainer resigned and replied, “You do not understand governance. One can only govern if one has the authority to inspire awe and the power to bestow profit. I am merely a minor retainer. Ordering the noble by the lowly, without holding the handle of reward and punishment to control them, is why chaos occurred. If you gave me the power to make good men ministers and behead bad men, how could it not be governed?”
Gongsun Yang (Shang Yang) also punished light offenses heavily. People naturally avoid heavy offenses; small faults are easy for people to eliminate. Forcing people to eliminate what is easy so they never approach severe punishment is the Way of governance. If small faults do not arise, great crimes never arrive. Thus, it is called “using punishment to eliminate punishment.”
In the southern region of Chu, the Lishui River produced gold. Many people secretly mined it. The penalty for mining gold was being torn apart in the marketplace. Despite the massive casualties blocking the river, people did not stop. Because they calculated they would not definitely be caught. Therefore, if someone is told today, “I will give you the entire world, but I will definitely kill you,” even a fool would refuse. Though the world is a great profit, they refuse because death here is an absolute certainty. When death is not perceived as inevitable, people risk being torn apart for gold; when death is perceived as inevitable, they refuse the entire world.
The people of Lu set a marsh on fire. With a north wind, the fire spread south toward the capital. Duke Ai was terrified and led the people to fight the fire, but no one came; everyone was chasing wild beasts. Confucius advised him, “Chasing beasts is joyful and unpunished; fighting fire is bitter and unrewarded. This is why the fire is not fought. In an emergency, there is no time to distribute rewards. Please use only punishments.” Duke Ai agreed. Confucius ordered, “Those who do not fight the fire will be punished as deserters in battle; those who chase beasts will be punished for trespassing in forbidden zones.” Before the order was fully spread, the fire was extinguished.
Cheng Huan told the King of Qi, “Your Majesty is too benevolent and cannot bear to punish.” The King asked, “Is being benevolent not a good reputation?” Cheng Huan replied, “It is a virtue for ministers, but ruinous for a ruler. If you are too benevolent to Lord Xue, your ministers will lack authority; if you cannot bear to punish the Tian clan, your royal relatives will break the law. Weak armies abroad and chaotic politics at home are the roots of a state’s destruction.”
King Hui of Wei asked Bu Pi about his reputation. Bu Pi replied, “I hear Your Majesty is kind and generous.” The King rejoiced, “Then what achievements will I reach?” Bu Pi replied, “Your achievements will reach the point of ruin. Kindness means不忍 (not bearing to punish); generosity means loving to give. Not bearing to punish means no punishment for faults; loving to give means rewarding without merit. Rewarding without merit and not punishing faults—ruin is inevitable.”
The state of Qi was fond of extravagant funerals, exhausting cloth and timber. Duke Huan asked Guan Zhong how to stop it. Guan Zhong replied, “People act for either fame or profit.” He then ordered, “Those who use excessive coffins shall have their corpses mutilated, and the mourners shall be punished.” Since mutilating corpses brings no fame and punishing mourners brings no profit, no one continued the practice.
During the reign of Duke Si of Wei, a convict fled to Wei and became a physician for the queen. Duke Si offered fifty gold to buy him back. After five refusals, he offered the city of Zuo Shi in exchange. His ministers protested, “Is it worth trading a city for a convict?” The Duke replied, “You do not understand. There is no small order or great chaos. If laws are not established and punishments are not inevitable, having ten Zuo Shis is useless. If laws are established and punishments are inevitable, losing ten Zuo Shis is harmless.” The King of Wei heard this and said, “If a ruler desires order and I do not comply, it is inauspicious.” He then sent the convict back in a carriage.
Note
This excerpt is from “Explanation Two” in Han Feizi · Inner Congeries of Sayings I, elaborating on “Canon Two: Certain Punishment”. Deterrence lies not in cruelty but in the certainty of penalty. Only when violations bring unavoidable consequences can the law establish its inviolable authority.
Certain Punishment:
The core of this chapter. The law’s power comes from eliminating the offender’s hope of a lucky escape.
Using Punishment to Eliminate Punishment:
The ultimate goal of Legalist justice. By making the cost of any crime prohibitively and inevitably high, society reaches a state where no crimes are committed, and thus no punishments are actually needed.
Two Handles:
The twin instruments of reward and punishment. As Le Chi’s story shows, a leader without these handles is merely a figurehead.
Dong Anyu and the Deep Gorge:
Dong Anyu (董阏于, 董安于) was a governor in Zhao. His realization about the gorge illustrates the Legalist concept of deterrence through absolute certainty. The gorge is a metaphor for an inescapable legal penalty.
Zichan’s Fire and Water:
Zichan (子产), a famous statesman of Zheng, used the elements to explain that strict laws (fire) deter crime through fear, while lenient laws (water) invite disaster through complacency.
The Yin Dynasty Penalizing Ashes:
The Shang dynasty’s harsh law against dumping ashes represents the Legalist principle of nipping crime in the bud. Han Fei uses Confucius to justify this seemingly disproportionate punishment as a logical chain reaction prevention.
Le Chi’s Missing Authority:
Le Chi (Yue Chi, 乐池) was a native of the State of Zhongshan during the Warring‑States Period. A descendant of the renowned general Yue Yang (allegedly Yue Shu’s son), he himself was a distinguished Zhongshan general. Having defeated Zhao troops decisively, he was appointed prime minister by Duke Huan of Zhongshan, serving both as general and statesman.
Le Chi’s failure to control his expedition highlights that authority must be institutional, not personal. Without the “Two Handles” (reward and punishment), a leader is powerless.
Gongsun Yang’s Heavy Punishments:
Gongsun Yang, also known as Wei Yang or Shang Yang, was a celebrated statesman of the State of Qin in the Warring‑States Period. He spearheaded the Shang Yang Reforms, laying the foundation for Qin’s hegemony.
Shang Yang’s policy of punishing light offenses heavily is the foundation of the Legalist maxim “using punishment to eliminate punishment”.
The Gold in the Lishui River (丽水):
This is Han Fei’s most striking thought experiment. It proves that human greed overrides the fear of gruesome death only when there is a chance of escape. When death is framed as a 100% certainty, even the ultimate profit (the world) is rejected.
Confucius and the Burning Marsh:
Confucius is used here not as a moralist, but as a pragmatic manager. He recognizes that in emergencies, negative incentives (punishments) are faster and more effective than positive incentives (rewards).
Guan Zhong Banning Extravagant Funerals:
Duke Si Buying a Convict:
Duke Si’s (卫嗣公) willingness to trade a city for a single convict is the ultimate demonstration of institutional credibility. He proved to his people and neighboring states that no one is beyond the reach of his laws.
说二
董阏于为赵上地守，行石邑山中，见深涧，峭如墙，深百仞，因问其旁乡左右曰：”人尝有入此者乎？”对曰：”无有。”曰：”婴兒、盲聋、狂悖之人尝有入此者乎？”对曰：”无有。””牛马犬彘尝有入此者乎？”对曰：”无有。”董阏于喟然太息曰：”吾能治矣。使吾治之无赦，犹入涧之必死也，则人莫之敢犯也，何为不治？”
子产相郑，病将死，谓游吉曰：”我死后，子必用郑，必以严莅人。夫火形严，故人鲜灼；水形懦，人多溺。子必严子之形，无令溺子之懦。”子产死。游吉不肯严形，郑少年相率为盗，处于萑泽，将遂以为郑祸。游吉率车骑与战，一日一夜仅能克之。游吉喟然叹曰：”吾蚤行夫子之教，必不悔至于此矣。”
鲁哀公问于仲尼曰：”《春秋》之记曰：’冬十二月陨霜不杀菽。’何为记此？”仲尼对曰：”此言可以杀而不杀也。夫宜杀而不杀，桃李冬实。天失道，草木犹犯干之，而况于人君乎？”
殷之法，刑弃灰于街者。子贡以为重，问之仲尼。仲尼曰：”知治之道也。夫弃灰于街必掩人，掩人，人必怒，怒则斗，斗必三族相残也。此残三族之道也，虽刑之可也。且夫重罚者，人之所恶也；而无弃灰，人之所易也。使人行之所易，而无离所恶，此治之道也。”
一曰：殷之法，刑弃灰于公道者断其手。子贡曰：”弃灰之罪轻，断手之罚重，古人何太毅也？”曰：”无弃灰，所易也；断手，所恶也。行所易，不关所恶，古人以为易，故行之。”
中山之相乐池，以车百乘使赵，选其客之有智能者以为将行，中道而乱。乐池曰：”吾以公为有智，而使公为将行，今中道而乱，何也？”客因辞而去，曰：”公不知治。有威足以服之人，而利足以劝之，故能治之。今臣，君之少客也。夫从少正长，从贱治贵，而不得操其利害之柄以制之，此所以乱也。尝试使臣，彼之善者我能以为卿相，彼不善者我得以斩其首，何故而不治！”
公孙鞅之法也重轻罪。重罪者，人之所难犯也；而小过者，人之所易去也。使人去其所易，无离其所难，此治之道。夫小过不生，大罪不至，是人无罪而乱不生也。
一曰：公孙鞅曰：”行刑重其轻者，轻者不至，重者不来，是谓以刑去刑也。”
荆南之地，丽水之中生金，人多窃采金。采金之禁：得而辄辜磔于市。甚众，壅离其水也，而人窃金不止。大罪莫重辜磔于市，犹不止者，不必得也。故今有于此，曰：”予汝天下而杀汝身。”庸人不为也。夫有天下，大利也，犹不为者，知必死。故不必得也，则虽辜磔，窃金不止；知必死，则有天下不为也。
鲁人烧积泽。天北风，火南倚，恐烧国。哀公惧，自将众趣救火。左右无人，尽逐兽而火不救，乃召问仲尼。仲尼曰：”夫逐兽者乐而无罚，救火者苦而无赏，此火之所以无救也。”哀公曰：”善。”仲尼曰：”事急不及以赏。救火者尽赏之，则国不足以赏于人。请徒行罚。”哀公曰：”善。”于是仲尼乃下令曰：”不救火者比降北之罪，逐兽者比入禁之罪。”令下未遍而火已救矣。
成驩谓齐王曰：”王太仁，太不忍人。”王曰：”太仁，太不忍人，非善名邪？”对曰：”此人臣之善也，非人主之所行也。夫人臣必仁而后可与谋，不忍人而后可近也；不仁则不可与谋，忍人则不可近也。”王曰：”然则寡人安所太仁，安不忍人？”对曰：”王太仁于薛公，而太不忍于诸田。太仁薛公，则大臣无重；太不忍诸田，则父兄犯法。大臣无重，则兵弱于外；父兄犯法，则政乱于内。兵弱于外，政乱于内，此亡国之本也。”
魏惠王谓卜皮曰：”子闻寡人之声闻亦何如焉？”对曰：”臣闻王之慈惠也。”王欣然喜曰：”然则功且安至？”对曰：”王之功至于亡。”王曰：”慈惠，行善也。行之而亡，何也？”卜皮对曰：”夫慈者不忍，而惠者好与也。不忍则不诛有过，好予则不待有功而赏。有过不罪，无功受赏，虽亡，不亦可乎？”
齐国好厚葬，布帛尽于衣衾，材木尽于棺椁。桓公患之，以告管仲曰：”布帛尽则无以为蔽，材木尽则无以为守备，而人厚葬之不休，禁之奈何？”管仲对曰：”凡人之有为也，非名之则利之也。”于是乃下令曰：”棺椁过度者戮其尸，罪夫当丧者。”夫戮死无名，罪当丧者无利，人何故为之也？
卫嗣君之时，有胥靡逃之魏，因为襄王之后治病。卫嗣君闻之，使人请以五十金买之，五反而魏王不予，乃以左氏易之。群臣左右谏曰：”夫以一都买胥靡，可乎？”王曰：”非子之所知也。夫治无小而乱无大。法不立而诛不必，虽有十左氏无益也；法立而诛必，虽失十左氏无害也。”魏王闻之，曰：”主欲治而不听之，不祥。”因载而往，徒献之。
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