Battle of Red Cliffs - Background

Background

By the early 3rd century, the Han Dynasty, which had ruled China for almost four centuries (albeit with a 16-year interruption, dividing the dynasty into its Western and Eastern periods), was crumbling. Emperor Xian had been a political figurehead since 189, with no control over the actions of the various warlords controlling their respective territories. One of the most powerful rulers in China was the warlord Cao Cao, who, by the year 207, had unified northern China and retained total control of the North China Plain. He then completed a successful campaign against the Wuhuan in the winter of the same year, thus securing his northern frontier. Upon his return in 208, he was proclaimed to be the Imperial Chancellor of Han, a position that granted him absolute authority over the entire imperial government (de Crespigny 1969:253, 465 6n). Shortly afterwards, in the autumn of 208, his army began a Southern Campaign (Eikenberry 1994; de Crespigny 2003).

The Yangtze River in the area of Jing Province (covering present-day Hubei and Hunan provinces) was key to the success of this strategy. If Cao Cao was to have any hope of reuniting the sundered Han empire, he had to achieve naval control of the middle Yangtze and command the strategic naval base at Jiangling as a means of access to the southern region (de Crespigny 2003). Two warlords controlled the regions of the Yangtze that were key to Cao Cao's success: Liu Biao, Governor of Jing Province, controlled the river west of the mouth of the Han, roughly encompassing the area around the city of Xiakou and all territory south of that region. Sun Quan controlled the river east of the Han and the southeastern territories abutting it (de Crespigny 2007:773). A third ally, Liu Bei, was living in refuge with Liu Biao at the garrison in Fancheng (present-day Xiangyang), having fled from the northeast to Jing Province following a failed plot to assassinate Cao Cao and restore power to the imperial dynasty (de Crespigny 2007:480; de Crespigny 1969:258).

The initial stages of the campaign were an unqualified success for Cao Cao, as the command of Jing Province had been substantially weakened and the Jing armies exhausted by conflict with Sun Quan to the south (de Crespigny 2007:486). Factions had arisen supporting either of Liu Biao's two sons in a struggle for succession. The younger son prevailed, and Liu Biao's dispossessed eldest son, Liu Qi, departed to assume a commandery in Jiangxia (present-day Yunmeng County, Hubei) (de Crespigny 2004:241). Liu Biao died of illness only a few weeks later, while Cao Cao was advancing from the north and, under these circumstances, Liu Biao's younger son and successor, Liu Cong, quickly surrendered. Cao Cao thus captured a sizeable fleet and secured the naval base at Jiangling. This provided him with a key strategic military depot and forward base to harbour his ships (de Crespigny 2004:246,250,255).

When Jing Province fell, Liu Bei quickly fled south, accompanied by a refugee population of civilians and soldiers. This disorganised exodus was pursued by Cao Cao's elite cavalry, and was surrounded and decisively beaten at the Battle of Changban (near present-day Dangyang, Hubei). Liu Bei escaped, however, and fled further east to Xiakou, where he liaised with Sun Quan's emissary Lu Su. At this point historical accounts are inconsistent; Lu Su may have successfully encouraged Liu Bei to move even further east, to Fankou (樊口). In either case, Liu Bei was later joined by Liu Qi and levies from Jiangxia (de Crespigny 2004:255). Liu Bei's main advisor, Zhuge Liang, was sent to Chaisang (柴桑) to negotiate forming a mutual front against Cao Cao with the state of Wu (de Crespigny 1969:263).

By the time Zhuge Liang arrived, Cao Cao had already sent Sun Quan a letter boasting of commanding 800,000 men and demanding Sun Quan's surrender. The faction led by Sun Quan's Chief Clerk, Zhang Zhao, advocated surrender, citing Cao Cao's overwhelming numerical advantage. However, on separate occasions, Lu Su, Zhuge Liang, and Sun Quan's chief commander, Zhou Yu, all presented arguments to persuade Sun Quan to agree to the alliance against the northerners. Sun Quan finally decided upon war, chopping off a corner of his desk during an assembly and stating: "Anyone who still dares argue for surrender will be the same as this desk." He then assigned Zhou Yu, Cheng Pu, and Lu Su with 30,000 men to aid Liu Bei against Cao Cao (de Crespigny 1996).

Although Cao Cao had boasted command of 800,000 men, Zhou Yu estimated Cao Cao's actual troop strength to be closer to 220,000. Furthermore, this total included 70,000 impressed troops from the armies of the recently deceased Liu Biao, so the loyalty and morale of a large number of Cao Cao's force was uncertain (Eikenberry 1994:60). With the 20,000 soldiers that Liu Bei had gathered, the alliance consisted of approximately 50,000 marines who were trained and prepared for battle (de Crespigny 2004:252;255).