The Strategic Prelude to Zhuge Liang’s Northern Expedition

In the early years of the Three Kingdoms period, the state of Shu Han, under the leadership of Chancellor Zhuge Liang, sought to fulfill its founder Liu Bei’s vision of restoring the Han dynasty. By 227 AD, Zhuge Liang had consolidated Shu’s internal affairs and turned his attention to the northern rival, Wei. That year, he presented the famous Chu Shi Biao (Memorial on the Expedition) to the young emperor Liu Shan, articulating the necessity of “stabilizing the Central Plains” through military action.

Zhuge Liang’s strategic preparations were meticulous. He moved his forces to Hanzhong, a critical base for northern campaigns, and spent months training troops and stockpiling supplies. His ultimate goal was to weaken Wei’s grip on the northwest and create an opening for a decisive push toward the Wei capital. The first major offensive, launched in 228 AD, would become known as the First Northern Expedition—a campaign marked by bold maneuvers, initial success, and a devastating tactical error.

The Two-Pronged Offensive and Early Victories

Zhuge Liang’s plan was a masterclass in deception. Publicly, he announced an attack through the Xie Valley, aiming for Mei County (modern-day Shaanxi). However, his real strategy involved a diversionary force and a main assault.

The diversion, led by veteran generals Zhao Yun and Deng Zhi, advanced into the Ji Valley (near present-day Taibai County) to feign a major strike. This maneuver successfully drew Wei’s attention eastward, diverting their forces. Meanwhile, Zhuge Liang personally commanded the main army, marching northwest toward Qishan (near today’s Xihe County, Gansu). His disciplined troops moved swiftly, catching Wei forces off guard.

The psychological impact was immediate. Three key Wei-controlled commanderies—Tianshui, Nan’an, and Anding—defected to Shu, swayed by Zhuge Liang’s reputation and the suddenness of his advance. Among the defectors was a young Wei officer named Jiang Wei, who would later become one of Shu’s most celebrated generals. The Wei court, panicked by these losses, prepared for Emperor Cao Rui to lead a counteroffensive, while general Zhang He rushed westward to stabilize the front.

The Catastrophic Mistake at Jieting

Despite the early momentum, the campaign’s fate hinged on a critical bottleneck: the mountain pass at Jieting. Zhuge Liang assigned Ma Su, a trusted but inexperienced strategist, to defend this vital position. Disregarding orders, Ma Su abandoned the secure town and instead stationed his troops on nearby hills, believing the high ground would offer an advantage.

This decision proved disastrous. Zhang He, a seasoned Wei commander, exploited the blunder by cutting off Ma Su’s water supply. The Shu forces, trapped and dehydrated, collapsed in disarray. Only Wang Ping, Ma Su’s deputy, managed an orderly retreat by maintaining drum signals and disciplined formations.

With Jieting lost, Zhuge Liang’s supply lines were severed, and his advance became untenable. Recognizing the futility of pressing forward, he ordered a full withdrawal to Hanzhong. In a display of accountability, he demoted himself by three ranks, temporarily relinquishing his title of chancellor. He also executed Ma Su—a decision said to have moved him to tears—while promoting Wang Ping for his composure in crisis.

The Cultural and Psychological Aftermath

The First Northern Expedition, though ultimately unsuccessful, left deep impressions on both Shu and Wei. For Shu, it demonstrated Zhuge Liang’s ability to inspire defections and disrupt Wei’s control, proving that a smaller state could challenge a larger adversary. The defection of Jiang Wei, in particular, became a symbolic victory, as he later emerged as a key defender of Shu’s legacy.

For Wei, the initial shock of losing three commanderies exposed vulnerabilities in its frontier defenses. The crisis prompted Wei to strengthen its western garrisons and refine its intelligence networks to anticipate future Shu offensives.

Culturally, the campaign reinforced Zhuge Liang’s image as a brilliant but tragic strategist—a figure whose loyalty and intellect were undermined by the limitations of his resources and personnel. The Chu Shi Biao, with its stirring rhetoric about fulfilling a moral duty, became a literary classic, celebrated for its emotional depth and patriotic fervor.

The Legacy of the First Northern Expedition

Zhuge Liang would launch four more northern campaigns, but none replicated the initial shock of the 228 offensive. The failure at Jieting became a cautionary tale about the perils of overestimating one’s subordinates—a lesson that resonated through Chinese military history.

Modern historians debate whether Shu ever had a realistic chance of defeating Wei. Some argue that Zhuge Liang’s campaigns were as much about maintaining Shu’s legitimacy as they were about territorial conquest. By continuously asserting aggression, he prevented Wei from fully focusing on Shu’s destruction.

Today, the First Northern Expedition is remembered not just as a military operation but as a defining moment in the Zhuge Liang legend. His meticulous planning, personal accountability, and unwavering dedication to a seemingly impossible cause have cemented his place as one of China’s most revered historical figures. The echoes of 228 AD endure in literature, opera, and popular culture, where Zhuge Liang remains the archetype of the scholar-general—flawed, human, yet extraordinary.