Classic II: Certain Punishment
If a ruler is overly affectionate, the law cannot be established; if he lacks authority, subordinates will encroach upon his superiors. Therefore, if punishments are not absolutely certain, prohibitions cannot be enforced. The proof of this lies in Dongzi’s journey to Shiyi, and Zichan’s instruction to Youji. Thus, Confucius spoke of the fallen frost, and the Yin dynasty penalized the throwing of ashes; the Commander of Chariots left Yuechi, and Gongsun Yang imposed heavy punishments for minor offenses.
Because of this, the gold in the Lishui River could not be guarded, and the fire in the Jize Marsh could not be extinguished. Cheng Huan weakened the State of Qi through excessive benevolence, and Bu Pi brought the King of Wei to ruin through his kindness and generosity. Guan Zhong understood this, and thus punished even the dead; Duke Si of Wei understood this, and thus bought back convicts to punish them.
Note
This excerpt is from “Canon Two: Inevitable Punishment” in Han Feizi · Inner Congeries of Sayings I. Han Fei holds that mercy poisons the rule of law. Unless penalties are certain – lawbreakers are caught and punished – decrees become hollow. Laws must gain inviolable authority through absolute certainty.
Dongzi’s Journey to Shiyi:
Dong Anyu (董安于, 董阏于) was a governor in the State of Zhao. While traveling through Shiyi, he saw a deep gorge and asked if anyone had ever fallen in. When told no one had, he realized that if the penalty for breaking the law was perceived as an inescapable, absolute death (like falling into the gorge), no one would dare to break it. This illustrates the concept of deterrence through certainty.
Zichan’s Instruction to Youji:
Zichan, a famous statesman of the State of Zheng, advised his successor Youji (游吉) on his deathbed: “Fire looks fierce, so few are burned; water looks gentle, so many drown. You must govern with strict severity, lest the people drown in your leniency.”
Confucius on the Fallen Frost:
Confucius commented on a passage in the Spring and Autumn Annals where frost fell in winter but failed to kill the beans. He interpreted this as a cosmic warning: if nature fails to destroy what should be destroyed, the natural order is broken. Han Fei uses this to argue that if a ruler fails to punish the guilty, the political order will collapse.
The Yin Dynasty Penalizing Ashes:
The Shang (Yin) dynasty allegedly had a law punishing those who threw ashes/grey into the street. This represents the Legalist principle of punishing minor offenses heavily to prevent major crimes from developing.
Gongsun Yang’s Heavy Punishments for Minor Offenses:
Gongsun Yang (Shang Yang) believed that if people are forced to avoid minor faults, they will never commit major crimes. This is the core of his deterrent theory.
The Gold in the Lishui River:
People risked being torn apart in the marketplace for gold in the Lishui River because they calculated they would not definitely be caught. Han Fei argues that if death is perceived as a 100% unavoidable certainty, even the entire world would be rejected.
The Fire in the Marsh:
Due to the lack of an effective reward‑and‑punishment system, people preferred chasing beasts for amusement over putting out fires. Consequently, no one responded to the blaze.
Cheng Huan and Bu Pi (成欢与卜皮):
Both were ministers who advised their rulers (of Qi and Wei, respectively) to be excessively kind and merciful. Han Fei cites them as cautionary tales of how misplaced compassion leads to national ruin.
Guan Zhong Punishing the Dead & Duke Si Buying Convicts:
Guan Zhong punished the corpse of a criminal to show that the law applies regardless of circumstances. Duke Si of Wei (嗣公) paid to buy back a convict who had fled, just to execute him and prove that no one could escape the law. Both illustrate that the certainty and inescapability of punishment are what establish authority.
经二 必罚
爱多者则法不立，威寡者则下侵上。是以刑罚不必则禁令不行。其说在董子之行石邑，与子产之教游吉也。故仲尼说陨霜，而殷法刑弃灰；将行去乐池，而公孙鞅重轻罪。是以丽水之金不守，而积泽之火不救。成欢以太仁弱齐国，卜皮以慈惠亡魏王。管仲知之，故断死人；嗣公知之，故买胥靡。
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