Liu the Former Lord sends out his dying decree and entrusts the orphaned heir. Zhuge Liang stabilizes the household and repels five invading routes.

In the second year of the Zhangwu era, in the sixth month of summer, Lu Xun of Wu completely routed Shu troops at Xiaoting in the land of Yiling. The Lord of Shu, Liu Bei, whose courtesy name was Xuande, retreated back to Baidi City, and Zhao Yun, whose courtesy name was Zilong, led troops to defend it.

Suddenly Ma Liang arrived and saw that the main army had already been beaten. Too late to repent, he conveyed Zhuge Liang’s words to the Lord. Liu Bei sighed: “If I had followed the Chancellor’s counsel, this disaster would not have befallen us. How can I return to Chengdu and face the ministers?” He therefore ordered the court to camp at Baidi City, turning the relay station into Yong’an Palace.

An attendant later reported that Feng Xi, Zhang Nan, Fu Tong, Cheng Ji, and Sha Mo Ke had all died for the state. The Lord was deeply pained. Soon afterward another official reported, “Huang Quan brought his northern troops over from the bank and has submitted to Wei. Your Majesty, order us to bring his family before the censorate to be judged.”

Liu Bei answered, “Huang Quan was cut off on the north bank by Wu forces, and there was no road back to Shu. He surrendered because there was no alternative. It is I who failed him, not he failing me. Why punish his family as well?” He ordered grain and rations sent to sustain them.

Later, after Huang Quan had surrendered to Wei, officers led him into the presence of Cao Pi, whose courtesy name was Zihuan. Cao Pi said, “You have just surrendered to me today. Do you come now to imitate the famous ministers of Chen and Han?”

Huang Quan wept and said, “Your Majesty, the Lord of Shu had shown me exceptional favor and entrusted me with command of all our army north of the river, where Lu Xun cut off our retreat. I had no path to return to Shu. To surrender to Wu was impossible; so I came to submit to Your Majesty. A defeated commander might count survival as grace. How dare I now pretend to emulate men of old?”

Cao Pi was greatly pleased and immediately made Huang Quan the General Who Guards the South. Huang Quan humbly refused to accept. Just then, an official from a nearby office reported, “A covert reporter from Shu says that the Lord of Shu intends to execute all of Huang Quan’s household.”

Huang Quan replied, “I and the Lord of Shu share trust and sincerity. He knows my heart and would never consent to killing my family.” Cao Pi accepted this.

Later a verse was written censureing Huang Quan:

I cannot turn back to Wu once I have turned away; I cannot now turn to Cao. How can loyalty and righteousness serve two thrones at once? It is pity that Huang Quan would rather die than yield; even the hand that writes in the style of Ziyang is not easily soft.

Cao Pi asked Jia Xu, whose courtesy name was Wenhe, “I want to unify the realm in one stroke. Should I strike Shu first, or Wu first?”

Jia Xu replied, “Liu Bei has great talent, and Zhuge Liang governs Shu with uncommon skill. Wu’s Sun Quan judges strength and weakness as clearly as daylight. Lu Xun has already posted forces in difficult terrain and is prepared across river and lake. I doubt that even with Heaven’s authority over you this would be a complete victory. For now, hold fast and wait for change between the two states.”

Cao Pi said, “I have already sent three armies against Wu. How could this be a losing undertaking?”

The Minister of the Masters of Writing, Liu Ye, said, “Wu has just suffered repeated defeats by Shu; their momentum has collapsed, and they are easy to strike. Now they have won completely; their spirit is renewed tenfold. They are not yet ready for attack.”

Cao Pi said, “My intention is already fixed; do not counsel me on this again.” He went with the Imperial Guards to reinforce the three armies in person.

Scouts soon reported that Wu had already prepared. Lü Fan was ordered to stop Cao Xiu; Zhuge Jin to stop Cao Zhen at Nan Commandery; and Zhu Huan to hold Nu-Su against Cao Ren.

Liu Ye said, “Now that there is preparation on the Wu side, marching on will likely be of no benefit.” Cao Pi refused the warning and pressed on.

At that time Zhu Huan, age twenty-seven, was exceptionally brave and bold; Sun Quan loved him deeply. He was already commanding troops at Nu-Su. When he learned that Cao Ren had moved with a great army to Xiansi for Xianxi, he moved all his forces to guard Xianxi and left only five thousand cavalry in the city.

Suddenly there was news that Cao Ren had sent his vanguard, Changdiao, with Zhege Qian and Wang Shuang, along with fifty thousand picked troops, to rush Nu-Su. All the armies showed signs of alarm.

Zhu Huan drew his sword and said, “Victory belongs to the commander, not to numbers. As military law says, ‘When one side outnumbers the other two to one, the side with fewer troops may still defeat the larger host.’ Now Cao Ren has marched a thousand li and his men and horses are exhausted. My men and yours occupy the high ground, with the Yangtze to our south and mountain defenses behind us. We wait while preserving strength against a tired enemy; this is a posture to win a hundred battles. Even if Cao Pi himself were present, we need not fear; what chance does he have?”

He ordered everyone to lower flags and keep quiet, making it appear as though no one guarded the city.

At that moment Wei’s vanguard commander Changdiao came on ahead with his elite troops to take Nu-Su. Seeing no horses or infantry on the walls, he pushed the army forward. As soon as the city was still a short distance away, a cannon sounded and the banners went up together.

Zhu Huan leapt from horseback, cross-bladed sword in hand, and charged straight for Changdiao. The combat lasted less than three rounds. Zhu Huan cut down Changdiao under his horse with a single stroke. The Wu force followed the momentum, struck once, and Wei suffered a terrible rout.

Zhu Huan captured countless flags, armaments, and warhorses. Cao Ren came on with the main force shortly thereafter, only to be attacked as the Wu troops surged out from Xianxi. He suffered a great defeat and fell back. He returned to report to the Wei lord in detail. Cao Pi was startled.

As they conferred, a scout reported, “Cao Zhen and Xiahou Shang have been checked at Nan Commandery. Lu Xun ambushed them within and Zhuge Jin outside, and they were crushed between them.” Before he finished, another report arrived: “Cao Xiu too has also been beaten by Lü Fan.”

When Cao Pi heard all three roads had failed, he heaved a sigh: “I did not heed Jia Xu and Liu Ye’s counsel, and this defeat has come!” It was summer, and a severe epidemic spread in camp. Of horse and infantry, six or seven in ten died. He withdrew the army back to Luoyang. From that time, Wei and Wu lost harmony.

In the third year of Zhangwu, in the fourth month, the former Lord at Yong’an Palace fell gravely ill and gradually worsened.

Soon he sensed only his legs and arms failing; then he wept for his brothers Guan and Zhang and his illness deepened. He could barely see clearly, and he tired of his attendants. He shouted them away and lay alone on the dragon couch.

Suddenly, a wind rose in the dark hall, the lamps flickering, going out, and relighting. Beneath the lamp glow, two figures stood in attendance. The former Lord grew angry: “My heart is unsettled. I sent you away. Why have you come back?” They did not withdraw.

He stood and looked at them. At the top was Cloud-Long, and at the bottom Winged Virtue.

Liu Bei cried out in shock, “My two younger brothers are still here!”

Guan Yu said, “Your Majesty, we are not men; we are ghosts. The Son of Heaven sent us both as spirits because all our lives we kept faith and righteousness. Brother and brothers will not be apart much longer.”

Liu Bei collapsed into great weeping. He suddenly realized the figures were gone. He called to those near him, and it was the third watch of night.

He sighed: “I will not remain in this world long.”

He sent a courier to Chengdu for Chancellor Zhuge Liang, whose courtesy name was Kongming, and Li Yan, Master of the Written Records, to come at once to Yong’an Palace and hear his final charge. Kongming and the crown prince Liu Shan, his son and ruler-in-waiting, along with Prince of Lu, Liu Yong, and Prince of Liang, Liu Li, came to the palace and the former Lord.

At this point only Liu Shan remained in Chengdu.

When Zhuge arrived at Yong’an Palace and saw the Lord close to death, he hurriedly knelt under the dragon couch.

Liu Bei ordered him to sit by the side of the couch and, placing a hand on his back, said, “I gained you as Chancellor and prospered the state. How could I have failed to follow your counsel and suffered this defeat through narrow-mindedness? That remorse has become illness, and I may die within a day or two. My successor is weak; I must therefore entrust him with matters of consequence.” He choked with tears.

Kongming wept and said, “May Your Majesty preserve Your holy body to meet Heaven’s charge for all under heaven.”

Liu Bei looked over and saw Ma Su, who was beside him, and ordered him to leave. Ma Su withdrew.

Liu Bei asked Kongming, “How would you judge Ma Su’s talent?”

Kongming replied, “He is among the outstanding men of this age.”

Liu Bei said, “No. I have observed him and found his words exceed his deeds. He should not be trusted with great office. Kongming, examine him deeply.”

After this, he summoned all ministers into the hall, gave paper and brush into Kongming’s hand, and had the final edict written, then handed it over and said with a sigh: “I cannot read deeply, but I know the larger outlines. The sages say, ‘The bird that is about to die cries bitterly; the man who is about to die speaks most clearly.’ I waited to end Cao’s rebels with you and to uphold the Han house together, but we are parting on the way. I ask Kongming to carry this edict to the Crown Prince Shan and let it not be treated as mere form. In everything, trust Kongming above all.”

Kongming and the officials knelt and said, “May Your Majesty rest Your body. We will expend every ounce of our strength and loyalty to repay the grace Your Majesty has shown us.”

Liu Bei had an attendant lift Kongming up. One hand wiped his tears; the other clasped his hand, and he said, “I am dying now. I have words for you from the heart.”

Kongming said, “What is Your Majesty’s command?”

The former Lord wept: “Your talent is ten times that of Cao Pi. You can settle the kingdom and secure the state. If the heir can be guided, guide him. If he is not worthy, you are the one to be lord of Chengdu.”

When Kongming heard this, he sweated all over, his hands and feet shook. He knelt and wept, saying, “How can I, with loyal bones and blood for marrow, not do all I can and uphold my lord to death?” He struck his head against the ground.

Liu Bei asked Kongming again to sit on the couch. He called Liu Yong and Liu Li forward and said, “Remember my words. After I am gone, all three of you must serve Kongming as if he were your father. Do not be remiss.”

After they had knelt, he ordered the two princes to bow before Kongming.

Kongming said, “Though I would spill my liver and brains upon the ground, I could never repay the grace of Your Majesty’s recognition.”

The former Lord addressed all officials: “I have entrusted the child to Kongming and ordered my successor to serve him as father. All of you, do not grow careless, so that you do not fail my hope.”

He also spoke privately to Zhao Yun, whose courtesy name was Zilong: “Through hardship and disaster, we were together until now, and now we part in this place. Recall my old friends. Watch over my sons morning and evening, and do not let me be in vain.”

Zhao Yun knelt and said, “I dare not fail to labor as a dog and horse would.”

The former Lord told all officials again: “I cannot individually instruct you all in detail. May you all take care of yourselves.”

Then he passed away. He was sixty-three years old. It was the twenty-fourth day of the fourth month of the third year of Zhangwu.

Later, poet and official Du Gongbu wrote this verse:

The Lord of Shu gazes toward Wu beyond the Three Gorges, and death comes in Yong’an Palace. His green carriage ought to be in the empty mountain beyond, while his jade hall now lies vacant in a wild chamber. In the ancestral shrine, cypress and pine and wild geese on the water share a sorrowful nest; in the time of the winter solstice, old village elders still walk their rounds. Near the temple of Wuhou, the houses stand side by side; one spirit is worshiped with lord and minister together.

After the former Lord’s passing, officials and soldiers alike wept deeply. Kongming led the whole courtly retinue back to Chengdu with the body in a shrine carriage.

Crown Prince Liu Shan went out to welcome the coffin and rested it in the main hall. After completing mourning rites and offering formal rites, they read the edict:

I was first ill only with flux, but now many diseases have come and gone without recovery. I have heard it said that a man should not die before the age of fifty. Now I am past sixty and have little cause for regret in death. It is my two sons I keep in my mind. Press onward. Press onward. Do not call an evil thing too small to do, and do not refuse a small good because it is small. Only merit and virtue can win men to follow. My own virtue was thin and not enough to copy. After I am gone, with the Chancellor serve in all affairs as sons with a father. Do not fail in this. Do not forget. As you continue, pursue distinction and clear achievement. This is my charge; this is my charge again!

When the reading ended, Kongming said, “The kingdom cannot be without a ruler even for one day. I beg the court to enthrone the heir, that he may inherit the Han line.” They enthroned the Crown Prince Liu Shan and bestowed the Imperial Title, adopting the era name Jianxing. Zhuge Liang was made Marquis of Wuxiang and Governor of Yi Province.

They buried the former Lord in Huiling and gave him the posthumous title Emperor Zhaolie. The empress dowager from the Sun family was raised as Empress Dowager. Lady Gan was made Empress Zhaolie. Lady Mi was also given posthumous title as Empress. The ministers were rewarded and the realm was granted a general amnesty.

Before many days had passed, the Wei army heard this matter and reported to the center. Court officers informed Cao Pi. He said, “Liu Bei has died. I have no cause for worry. Why should I not use this time when his state is headless to raise troops against it?”

Jia Xu remonstrated: “Now that Liu Bei is gone, he has surely entrusted everything to Zhuge Liang. Kongming repays his grace and serves him without reserve, so he will defend the heir with his life. Your Majesty must not rush an attack.”

While he spoke, a man suddenly pushed out from the attendant ranks: it was Sima Yi.

Cao Pi was pleased and asked for counsel. Sima Yi said, “If only China’s armies move, it will be hard to secure victory quickly. Use five large columns and press from four sides so that Kongming cannot meet all at once, and then this can be done.”

Cao Pi asked, “What five routes?”

Sima Yi answered, “First, send one message to King Ke Binen of the Xianbei in Liaodong, bribe him with gold and silk, and order him to raise one hundred thousand Qiang troops from Liao West. They should advance by land first and strike Xianping Pass first.

Second, send orders with official rewards to the southern baron Meng Huo, telling him to raise one hundred thousand wild troops and attack the four commanderies of Yizhou, Yongchang, Zangke, and Yuejun, striking at the southern approaches of Xichuan.

Third, send envoys to Wu and seek alliance, promising land. Order Sun Quan to raise one hundred thousand troops and attack at the two-mouthed passes of Sichuan to take Fucheng.

Fourth, dispatch an envoy to the former defector Meng Da and order the one hundred thousand troops of Shangyong to rise and advance on Hanzhong.

Fifth, make Cao Zhen Supreme General-in-Chief and have him lead one hundred thousand troops out through Yangping Pass by the direct road to Xichuan.

These five columns total five hundred thousand men, with one hundred thousand in each route. Can Zhuge Liang, with the talent of Luwang, truly withstand this?”

Cao Pi was overjoyed and secretly sent four persuasive envoys on the mission. He also ordered Cao Zhen to be Supreme General-in-Chief and lead one hundred thousand men directly toward Yangping Pass.

At that time Zhang Liao and other veteran generals had all been made marquises. They were posted at Jizhou, Xuzhou, Qing Province, and He Fei guarding river crossings and passes, and therefore were not called out.

From then on, the Later Lord Liu Shan, soon enthroned, had many of his old ministers pass away, a number that cannot be detailed. For all court, legal, and fiscal matters, he let Chancellor Kongming adjudicate. Liu Shan had not yet taken an empress. Kongming and the ministers submitted: “A certain daughter of the former General of Chariots and Cavalry Zhang Fei is extremely capable. She is seventeen years old and may be taken as the principal empress.” Liu Shan did so.

In the first year of Jianxing, in the eighth month of autumn, a frontier report arrived: “Wei has raised five large armies to attack Xichuan.

The first route: Cao Zhen, made Great Commander and Supreme Commander, leads one hundred thousand men and comes through Yangping Pass.

The second route: the defector Meng Da raises one hundred thousand men from Shangyong and invades Hanzhong.

The third route: Wu’s Sun Quan raises one hundred thousand elite troops and enters Sichuan through the two gorge mouths.

The fourth route: the barbarian king Meng Huo raises one hundred thousand from the south to invade four commanderies of Yizhou.

The fifth route: the king Ke Binen of the Xianbei raises one hundred thousand Qiang troops and invades through Xianping Pass.

All five routes are grave and dangerous.”

The report had already reached Kongming, but he did not know what to make of it and did not attend court for several days.

The ruler heard this and was shocked. He sent an attendant with his order to summon Kongming to court. The messenger returned saying half the day after: “I have reported to Chancellor Kongming’s house, but Kongming says he is ill and cannot come out.”

The ruler grew frantic. The next day he sent Huangmen Secretary Dongyun and Counselors’ Office official Du Qiong to stand at Kongming’s bed and report this urgent state of affairs.

At their arrival before Kongming’s residence, they could not enter. Du Qiong said, “The former emperor entrusted the child heir to Kongming. The ruler has just ascended the throne and now Wei has sent five invasion columns against him. The emergency is severe. Why does the Chancellor avoid this and remain in bed?”

After some time, a doorkeeper relayed Kongming’s order: he was only slightly unwell and would appear in the Hall of the Capital at first light the next morning. Dongyun and Du Qiong sighed and withdrew.

The next morning, still more officials came and waited at his house and watched through the day and still did not see him emerge.

When the court remained unsettled, Du Qiong reported to the ruler: “Please, sire, descend from the palace and ask Kongming for a strategy in person.”

The ruler went with many officials to the palace and informed the empress dowager. The dowager was alarmed and said, “Why should the Chancellor act so, with the prior imperial charge now our life?” She said she would go herself.

Dongyun said, “The dowager should not go so lightly. I think Kongming has some profound design. Better to let the ruler go first. If he delays, then call for Kongming in the ancestral temple.” The dowager consented.

The next day the ruler made a direct visit to Kongming’s hall. The gatekeepers saw the royal chariot and hurriedly bowed on the ground in welcome.

The ruler asked, “Where is the Chancellor?”

The gatekeeper replied, “I do not know where he is. He has only ordered that officials be stopped from entering.”

He got down and walked alone to the third inner gate. There he saw Kongming leaning on a bamboo staff by a small pond, gazing at fish.

The ruler stood behind him for a while, then spoke softly, “Kongming, are you well?”

Kongming saw who it was, dropped his staff, and knelt: “I am worthy of ten thousand deaths, Your Majesty.” The ruler helped him up and asked, “Now that Cao Pi has split his armies in five routes, why do you not appear and take office?”

Kongming laughed and led him into the inner chamber, seating him, then said, “The five routes have all come. How could I not know? I have not been watching the fish. I have been thinking.”

The ruler asked, “How can this be?”

Kongming said, “King Ke Binen of the Qiang, King Meng Huo, the defector Meng Da, and Cao Zhen—these four roads of troops have already been sent away.

Only Wu’s route under Sun Quan remains. I have a plan for withdrawal, but I need one eloquent envoy to do it, and I have not yet found the right man. Think no more on this, sire.”

The ruler, hearing this, was startled and pleased in turn: “Truly, the Chancellor has a stratagem beyond heaven’s count! I want to hear how to turn back these enemies.”

Kongming answered, “The former Lord entrusted Chengming to me; how dare I be negligent for a day or a night? All the officials in Chengdu do not know the intricacies of military art. Their key is to make others not expect the unexpected. To expose our plan would be a mistake.

I learned earlier that King Ke Binen would lead troops through Xianping Pass. But my former ally Ma Chao, rooted in Xichuan and beloved by the Qiang, is treated by them as if he were a divine Great General. I have sent one messenger through the night to urge Ma Chao to guard Xianping closely and station four-way ambush forces, rotating each day and blocking every approach. That route is secure.

As for Meng Huo, he strikes from the four counties; I also sent Wei Yan with one force to enter and exit by left and right in the manner of a feigned force. The southern tribesmen are fierce and brave and inclined to suspicion; if they see a deceptive force, they will not advance. This route is also not cause for worry.

I learned Meng Da had led troops out of Hanzhong. He and Li Yan had once sworn life and death in friendship. When I returned to Chengdu, I left Li Yan in charge of Yong’an Palace. I already wrote one letter in Li Yan’s own hand and had it sent to Meng Da; he will certainly claim sickness and not march, delaying the army’s spirit. This route also is no longer to worry over.

I learned that Cao Zhen had brought troops through Yangping Pass. The terrain there is rugged and fit for defense, and I have ordered Zhao Yun to hold that pass with one force and not go out to battle. If he sees our army not striking first, Cao Zhen will withdraw soon on his own.

These four routes do not worry me. I have still sent Guan Xing and Zhang Bao with thirty thousand men each to key points as a further safeguard and reserve response. None of these deployments passed through Chengdu, so no one noticed. The only uncertain route is the one from Wu.

If four routes stand in danger, Wu will join and strike in a crisis. If four fail, it will not come to that. I believe Sun Quan still resents Cao Pi’s three-route invasion of Wu, and so he will not join their plan. Even so, we need one person with eloquent tongue to go directly to Wu and explain the peril clearly. That one man may force Wu to retreat first; then where could the other four frighten us? Until such a messenger is found, why should I trouble Your Majesty with the burden of a journey?”

The ruler replied, “The empress dowager also wanted to come to meet my Chancellor-father. After hearing your words, my confusion has lifted. What then remains to fear?”

Kongming drank several cups with the ruler and saw him out. The officials gathered outside the gates saw joy on the ruler’s face.

After taking leave of Kongming, the ruler entered his carriage and returned to court. The assembled officials were full of doubt.

Kongming noticed one officer outside standing beneath the sky and laughing with cheer. He had a bright expression. It was Deng Zhi, a man from Xiyang’s Xinye, surname Deng, name Zhi, courtesy name Bomei. He was now Minister of Revenue and a descendant of the Han officer Deng Yu.

Kongming quietly had Deng Zhi detained and asked him privately in the study. “Now Shu, Wei, and Wu are split across three realms. If we can first strike two and unite the land under one order, should we move against which state first?”

Deng Zhi said, “To my mind, Wei is indeed a bandit usurper, but its force is vast and hard to shake quickly. We should make a gradual plan. The ruler has just ascended and the people are not yet settled, so we should ally with Eastern Wu as close teeth and gums, and wash away old grievances with one imperial state. That is the long plan.”

Kongming laughed, “I have had these thoughts for a long time and could not find a man to speak it aloud. Today I have finally found you.”

Deng Zhi asked, “Who do you want to send, and for what?”

Kongming said, “I want one person to go to Wu and make this bond. Since you have grasped the point, you cannot fail this command. The mission to Wu is nothing but for you.”

Deng Zhi said, “I am shallow in talent and fear I cannot bear so heavy a charge.”

Kongming said, “Tomorrow I will report to the ruler and ask that you be sent. Do not refuse.”

Deng Zhi agreed and withdrew.

The next day Kongming reported to the ruler and appointed Deng Zhi for the mission. Deng Zhi bowed and departed toward Wu. In the words of the scene’s closing verse:

The people of Wu have only just seen the clash of arms to cease, and the envoy from Shu will return to exchange jade and silk. How this turned out will be told in the next chapter.