The Political Chessboard of Shu Han in 226 AD

In the year 226 AD, the Shu Han dynasty stood at a critical juncture. With the southern rebellions pacified, Chancellor Zhuge Liang turned his attention to the long-awaited Northern Expeditions against the rival state of Wei. However, beneath the surface of military preparations, a delicate power dynamic was unfolding between Zhuge Liang and his co-regent, Li Yan.

That same year, three pivotal events reshaped Shu Han’s political landscape:
– Li Yan, the second-most powerful figure in the regency, relocated to Jiangzhou while leaving his subordinate Chen Dao in charge of Yong’an.
– Emperor Cao Pi of Wei died in May, creating instability in Shu’s northern rival.
– The Wei defector Meng Da began secret communications with both Zhuge Liang and Li Yan, signaling his willingness to switch allegiances again.

These interconnected developments revealed a hidden tension in Shu’s leadership structure—what contemporaries called “Liang Zheng Yan Fu” (Zhuge as principal, Li as deputy).

The Origins of Li Yan’s Rise

Li Yan’s ascent to power was no accident. A capable administrator and military strategist, he had demonstrated his worth repeatedly:

– Early Career: Beginning as a minor county clerk, Li gained fame for his governance skills under Liu Biao before defecting to Liu Zhang when Cao Cao invaded Jing Province.
– Pivotal Defection: As Liu Zhang’s commander at Mianzhu, Li’s surrender to Liu Bei in 214 AD critically weakened Liu Zhang’s defenses, accelerating Shu’s conquest of Yi Province.
– Proven Leadership: As administrator of Qianwei Commandery, Li suppressed major rebellions (218 AD), defeated the southern warlord Gao Ding, and improved infrastructure—digging mountain roads and building river transport networks.

Liu Bei recognized Li’s multifaceted talents, appointing him co-regent alongside Zhuge Liang in 223 AD with authority over military affairs. Yet there was a catch—Li was stationed in Yong’an, far from the capital Chengdu.

The Unspoken Hierarchy of Liu Bei’s Regency

Liu Bei’s deathbed arrangements appeared balanced but contained subtle asymmetries:

| Zhuge Liang | Li Yan |
|—————–|————|
| Chancellor, “Act as you see fit” authority | General Who Upholds Han, military overseer |
| Controlled central administration | Stationed at Yong’an (eastern frontier) |
| Held governorship of Yi Province | Granted ceremonial honors but no territorial base |

The emperor’s unspoken message was clear: Zhuge Liang held real administrative power, while Li Yan served as a safeguard against eastern threats—more a failsafe than an equal partner.

The Cracks in the Regency (226-230 AD)

Tensions emerged when Zhuge Liang sought to redeploy Li Yan:

1. The Hanzi Standoff (226 AD)
– Zhuge proposed moving Li to Hanzhong to prepare for northern campaigns.
– Li refused, countering with a shocking suggestion: that Zhuge accept the Nine Bestowments—a ceremonial honor last used by Cao Cao before usurping the Han throne.
– Zhuge’s rebuke was swift: “When we restore the Han, even Ten Bestowments would be permissible. Now is not the time.”

2. The Bid for Autonomy
– Li then demanded creation of a new Ba Province with himself as governor—a thinly veiled power grab.
– Zhuge rejected this, exposing Li’s ambition to carve out a semi-independent fiefdom.

3. The Meng Da Gambit
– The death of Cao Pi prompted the opportunistic defector Meng Da to seek reconciliation with Shu.
– Li enthusiastically courted Meng, writing: “Both Zhuge and I bear heavy responsibilities—we need allies like you.”
– Zhuge, however, saw Meng as expendable. His eventual abandonment of Meng to Sima Yi’s forces (228 AD) demonstrated ruthless pragmatism.

Zhuge Liang’s Personnel Strategy

While managing Li Yan, Zhuge cultivated a new generation of incorruptible officials—later called the Four Shu Heroes:

– Jiang Wan: Low-key administrator groomed as Zhuge’s successor
– Fei Yi: Diplomat who maintained austerity policies
– Dong Yun: Palace supervisor who kept corrupt eunuchs like Huang Hao in check
– Xiang Chong: Loyal military commander

This stood in stark contrast to Li Yan’s self-serving maneuvers. As Zhuge wrote when dismissing the disgruntled official Liao Li: “Even one disorderly sheep can ruin the flock.”

The Fall of Li Yan (231 AD)

The final rupture came during Zhuge’s fourth northern campaign:

– Li failed to deliver promised supplies, then denied responsibility when heavy rains provided an excuse.
– Faced with irrefutable evidence of duplicity, Zhuge stripped Li of all titles and exiled him—but ensured his son retained official rank.
– The verdict: “Li Yan sought to undermine state affairs while avoiding blame—this is unacceptable for a regent.”

Legacy: Why Shu Han Needed Zhuge Liang’s Rigor

Shu’s survival as the smallest of the Three Kingdoms depended on:

1. Ideological Cohesion: Zhuge’s relentless campaigns kept the “Restore Han” mission alive.
2. Administrative Discipline: His anti-corruption measures (e.g., punishing Liao Li and Lai Min) prevented factionalism.
3. Strategic Focus: Unlike Li Yan’s provincialism, Zhuge always prioritized unifying China.

As the Chronicles of the Three Kingdoms notes, Shu thrived when following Zhuge’s model and declined when abandoning it. The Li Yan episode reveals the fragile balance between ambition and unity that defined Shu Han’s struggle for survival.

In the end, Zhuge Liang’s vision prevailed—but at the cost of sidelining capable but politically unreliable figures like Li Yan. This tension between meritocracy and loyalty would echo through Shu’s final decades.