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In the year 228 AD, the renowned founding emperor of Cao Wei, Cao Pi, passed away. At that time, Wei Mingdi had just ascended the throne, but the court was still politically unstable, with various officials both inside and outside harboring ambitions of autonomy. Seizing this favorable moment, Zhuge Liang, the sworn enemy of Cao Wei, mobilized forces from all corners, amassing around 100,000 troops and launched a grand campaign against Wei within the same year.
This campaign is historically known as Zhuge Liang’s first Northern Expedition. At the outset, the prospects looked very promising for Zhuge Liang. However, the tide turned when the crucial strategic location of Jieting was lost, forcing Zhuge Liang into a reluctant retreat and marking the expedition as a failure.
展开剩余91%Although Zhuge Liang launched several more northern campaigns later, none matched the intensity or scale of the first. Paradoxically, while this initial expedition terrified the Wei court, it also exhausted much of Shu Han’s elite forces, leading many to question Zhuge Liang’s military acumen. So, what exactly happened during this highly debated and divisive conflict?
Before the battle began, Zhuge Liang was filled with great anticipation. For him, this first northern expedition symbolized his commitment to the Liu Bei legacy, the fulfillment of the Longzhong Plan, and the crucial first step toward restoring the Han dynasty. Victory was essential, so Zhuge Liang adopted the most cautious and reliable strategy available, aiming to maximize his chances of success.
This cautious approach triggered one of the most famous historical controversies—the so-called “Wei Yan’s Ziwu Valley Stratagem.” As depicted in the Romance of the Three Kingdoms, Wei Yan suggested that the Wei garrison in Guanzhong was weak and that he could lead 5,000 elite troops through the Qinling Mountains for a surprise attack, which would likely deal a fatal blow to Wei.
This plan was undeniably bold and ingenious—had it succeeded, future incursions like Deng Ai’s surprise attack would have been unnecessary. Unfortunately, Zhuge Liang’s urgent need for a guaranteed victory made him reject this daring proposal in favor of a safer approach. This decision has been a source of criticism among historians ever since.
Nonetheless, Zhuge Liang pressed on with his original plan. According to historical records in the Records of the Three Kingdoms, Wei was caught unprepared. Zhuge Liang dispatched Zhao Yun with 10,000 troops to feign an attack on Guanzhong, diverting Wei’s main forces, while he himself led the main army toward Qishan.
The campaign began successfully; Zhuge Liang swiftly captured three of the five counties in Longyou, and the governors of Tianshui and Nan’an abandoned their posts and fled. Historical texts describe how the Wei court was thrown into panic, with rumors and anxiety spreading throughout the capital and beyond.
However, as is often the case with smaller states challenging larger powers, cunning is needed to overcome strength. Zhuge Liang’s steady, methodical tactics, though initially successful, ultimately provoked a full-scale mobilization by Wei.
Wei promptly assigned General Cao Zhen to counter Zhao Yun and veteran commander Zhang He to confront Zhuge Liang. Given Wei’s superior numbers and resources, Zhuge Liang soon found himself in a difficult position. To maintain the initiative, he had to defend the critical chokepoint of the campaign.
This led to the famous episode in the Romance of the Three Kingdoms, where Zhuge Liang entrusted Ma Su with the defense of Jieting. Historians have often criticized Zhuge Liang’s judgment here, accusing him of poor personnel choices. However, given the strategic importance of the post, Zhuge Liang needed a loyal and trusted subordinate to hold the position—someone who would strictly follow his orders.
Regrettably, Ma Su did not fully heed Zhuge Liang’s instructions, and his forces were outnumbered and outmatched by Zhang He’s experienced troops. As a result, Jieting fell, cutting off Zhuge Liang’s supply lines and putting his army at grave risk of being isolated.
Records show that Wei Yan, facing encirclement, had to withdraw despite holding a tactical advantage. Zhao Yun, known for his undefeated record, was also forced to retreat under heavy pressure. The strategically vital Anding Commandery, previously won by Shu, was soon retaken by Wei.
Thus, Zhuge Liang’s first northern expedition ended in complete collapse.
This raises the question: did Zhuge Liang win or lose this battle?
Objectively speaking, Zhuge Liang was defeated. He failed to accomplish his primary objectives and suffered heavy losses, forcing a hasty withdrawal that drained resources and morale.
Given this defeat, it is important to review the gains and losses of Zhuge Liang’s first northern expedition.
First, the achievements: 1) Zhuge Liang instilled significant fear within the Wei court, which greatly boosted the confidence of the Shu regime. It demonstrated that a smaller state could mount an offensive against a larger power, maintaining Shu’s offensive advantage politically and psychologically. 2) Shu briefly controlled three counties in Longyou, and according to the Stone Chronicles, Zhuge Liang returned with over a thousand households and population from the captured regions. During wartime, manpower is a crucial asset; while land was not fully secured, gaining people was still a meaningful gain. 3) Zhuge Liang secured the allegiance of several Wei generals, including Jiang Wei, Liang Xu, Yin Shang, and Shangguan Yun, with Jiang Wei eventually becoming his successor.
On the surface, these gains appear substantial. However, when weighed against the losses, they seem minimal and inadequate.
The losses from the northern expedition were severe: 1) Shu’s elite forces were nearly wiped out. The “Later Memorial on the Expedition” records: “We lost Zhao Yun, Yang Qun, Ma Yu, Yan Zhi, Ding Li, Bai Shou, Liu He, Deng Tong, and over seventy officers, along with more than a thousand warriors from various divisions—these were the elite troops gathered over decades from all directions.” This passage is poignant, underscoring how many skilled commanders, though not widely known in the Romance of the Three Kingdoms, were lost in this single campaign.
Most heartbreaking was the death of Zhao Yun, the steadfast and undefeated general of Shu Han. Already weakened and aging, Zhao Yun succumbed to illness exacerbated by the campaign’s stresses and the setbacks following Cao Wei’s counterattacks. His death alone cast a long shadow over the entire northern expedition.
Beyond these eight noted commanders, three others—Ma Su, Zhang Xiu, and Li Sheng—also perished. Their deaths struck an even deeper blow to Zhuge Liang. Ma Su’s appointment, despite opposition, reflected how crucial Zhuge Liang regarded this campaign. Ma Su’s disastrous defeat at Jieting, subsequent escape from custody, and Zhuge Liang’s tearful decision to execute him symbolized a devastating loss of trust and morale.
Zhang Xiu and Li Sheng were executed as part of the fallout from the Jieting disaster, representing a political compromise and internal conflict sparked by the failure. This internal strife further drained Shu’s political capital and military strength.
In summary, Zhuge Liang’s first northern expedition reveals a man of remarkable ideals and capable command, but it was ultimately a costly failure. Although it unsettled Wei in the short term, the heavy losses imposed a tremendous burden on Shu Han, a small state ill-equipped for such attrition.
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