Battle of Xiaoting

Background

In late 219, Lü Meng, one of Sun Quan's generals, led an army to invade Liu Bei's territory in Jing Province (covering parts of present-day Hubei and Hunan). Guan Yu, the general appointed by Liu Bei to guard Jing Province, was away at the Battle of Fancheng and did not know about the invasion until after he returned from the battle. He was surrounded by Sun Quan's forces in Maicheng (麥城; present-day Maicheng Village, Lianghe Town, Dangyang, Hubei) and captured in an ambush while trying to break out of the siege. Sun Quan had him executed in Linju (臨沮; in present-day Nanzhang County, Xiangyang, Hubei).

In the tenth lunar month of 220, Cao Pi forced Emperor Xian to abdicate in his favour and effectively ended the Eastern Han dynasty. He established the state of Wei and became its first emperor. In the fourth month of 221, Liu Bei declared himself Emperor at the south of Wudan (武擔; in present-day Chengdu, Sichuan) and established a new state, historically known as Shu Han, to contest Cao Pi's claim to the Han throne. Around the same time, Sun Quan shifted the capital of his territories from Gong'an (公安; present-day Gong'an County, Jingzhou, Hubei) to E (鄂; present-day Ezhou, Hubei), which he renamed "Wuchang" (武昌). In the eighth month of 221, Sun Quan pledged allegiance to Cao Pi and became a vassal under the Wei regime, after which Cao conferred the title "King of Wu" (吳王) on him.

Prelude

Liu Bei desired to avenge Guan Yu and seize back Jing Province, so he made preparations for a campaign against Sun Quan. Zhao Yun tried to dissuade him from going to war with Sun Quan, but was ignored. Later, when Liu Bei launched the campaign, he left Zhao Yun behind to guard Jiangzhou (江州; around present-day Yuzhong District, Chongqing). Qin Mi also advised Liu Bei against going to war with Sun Quan, but Liu had him imprisoned.

Liu Bei ordered Zhang Fei to lead 10,000 troops from Langzhong to join him at Jiangzhou. During the mobilisation, Zhang Fei was assassinated by his subordinates Fan Qiang (范彊) and Zhang Da (張達), who cut off his head and brought it along with them and defected to Wu. Zhang Fei's camp commandant wrote a report to Liu Bei. When Liu Bei heard that Zhang Fei's camp commandant sent him a report, he exclaimed, "Oh! (Zhang) Fei is dead."

In the seventh lunar month of 221, Liu Bei personally led his army to attack Sun Quan, who sent Zhuge Jin as his representative to meet Liu and negotiate for peace. Zhuge Jin tried to persuade Liu Bei to withdraw his forces by asking, "Your Majesty, how was your relationship with Guan Yu as compared to that with the Late Emperor (Emperor Xian)? How big is Jing Province as compared to the whole Empire? Among your hated enemies, who is number one? If you consider your answers to these questions carefully, it will be as easy for you to make your decision as if you were to turn your hand from palm up to palm down." Liu Bei refused to listen to him.

Opening moves

In the seventh lunar month of 221, Liu Bei sent his generals Wu Ban and Feng Xi to attack the Wu positions at the Wu Gorge, which were guarded by Li Yi (李異) and Liu E (劉阿). After Wu Ban and Feng Xi achieved success, the Shu army, comprising over 50,000 troops, advanced further to Zigui. Liu Bei also sent messengers to request for reinforcements from the local tribes living in the Five Creeks (五谿) area in Wuling (武陵; around present-day Dingcheng District, Changde, Hunan). At Zigui, Liu Bei was pleased when he encountered Liao Hua, a former subordinate of Guan Yu. Liao Hua became a prisoner-of-war in Wu after Guan Yu's death but managed to escape and make his way back to Shu. Liu Bei appointed him as the Administrator (太守) of Yidu (宜都; around present-day Yidu, Yichang, Hubei).

In response to the Shu invasion, Sun Quan appointed Lu Xun as his Grand Viceroy (大都督) and ordered him to lead 50,000 troops to resist the enemy. Lu Xun had under his command several Wu officers such as Zhu Ran, Pan Zhang, Song Qian, Han Dang, Xu Sheng, Xianyu Dan (鮮于丹) and Sun Huan.

The Shu army's approach

In the first lunar month of 222, Liu Bei planned to lead his army from Zigui further into Jing Province to reclaim the province. However, the Shu general Huang Quan noted that the Wu forces were powerful and had the Yangtze River to their advantage, so he volunteered to lead the attack and suggested that Liu Bei remain behind as backup. Liu Bei refused to listen to him, appointed him as "General Who Guards the North" (鎮北將軍), and put him in a charge of a separate Shu army to defend the northern flank (the northern bank of the Yangtze) from any possible attack by Wei forces. He then personally led the main Shu army, which travelled along the southern bank of the Yangtze.

Liu Bei also ordered Wu Ban and Chen Shi to lead the Shu navy to station at Yiling (夷陵; southeast of present-day Yichang, Hubei) in between the east and west banks of the Yangtze. In the meantime, he also sent Ma Liang as an envoy to meet the tribes in Wuling and bribe their chiefs with wealth and official titles to win their support. As the tribes in Wuling grew restless upon the Shu army's approach, Sun Quan sent Bu Zhi to guard Yiyang and deal with any unrest.

The Wu generals wanted to attack the Shu army as it approached, but Lu Xun objected and said, "Liu Bei is leading an army east to attack us and his army's morale is very high. Besides, his forces are based in high and mountainous terrain, so it's difficult for us to attack them. Even if we manage to win them, we cannot completely defeat them. If we suffer any setback, our morale will be largely affected and this isn't a small issue. Now, we should raise our troops' morale and make plans while waiting for changes in the situation. If we're on plains and flat ground, we should be worrying about sustaining heavy losses in skirmishes and charges. However, since the enemy is on mountainous terrain, they cannot conduct an all-out assault because they are sandwiched between wood and rocks. We should take advantage of this weakness of theirs." The Wu generals did not understand Lu Xun's reasoning and thought that he feared the enemy so they were very unhappy with him.

Stalemate

The Shu army passed through the Wu Gorge, Jianping (建平), Lianping (連平) and Lianwei (連圍), and arrived at the border of Yiling (夷陵; southeast of present-day Yichang, Hubei), where they constructed about 10 fortified garrisons. Liu Bei appointed Feng Xi as the Grand Viceroy (大督), Zhang Nan as the Vanguard (前部督), and Fu Kuang (輔匡), Zhao Rong (趙融), Liao Hua and Fu Rong as Detachment Commanders (別督). The Shu and Wu forces were locked in a stalemate from the first lunar month of 222 to the sixth month.

Liu Bei ordered Wu Ban to lead a few thousand soldiers out of the mountainous regions to set up camps on flat terrain and provoke the Wu forces to attack them. The Wu officers wanted to respond to the taunts and attack the enemy, but Lu Xun said, "This must be a trick. We should observe first."

As Lu Xun suspected, there were actually 8,000 Shu troops waiting in ambush in the nearby valleys. Since the Wu forces did not respond to the taunts, Liu Bei abandoned his plan to lure the enemy into the ambush and ordered the 8,000 soldiers to come out of the valleys. When Lu Xun heard about it, he told the Wu officers, "The reason why I did not follow your suggestions to attack the enemy is because I suspected there was something fishy about it." He then wrote a memorial to Sun Quan to emphasise the strategic importance of Yiling, point out some of Liu Bei's weaknesses, and reassure Sun Quan that he would defeat the enemy.

The Wu counter-attack and the burning of the Shu camps

Several days later, the Wu officers told Lu Xun, "We should have attacked Liu Bei in the initial stages. Now, he has advanced further in by 500-600 li and we have been locked in a stalemate for seven to eight months. He has reinforced all his crucial positions, so even if we attack them it will yield nothing." Lu Xun replied, "Liu Bei is cunning and experienced. In the initial stage, his army was very focused and its morale was very high, so we could not defeat them then. Now, however, since it has been quite some time, they are already weary, low on morale, and out of ideas. Now is the time for us to launch a multi-pronged assault on them."

Lu Xun then targeted one enemy camp and attacked it but failed to capture it. The Wu officers complained, "We're sacrificing our soldiers' lives for nothing." Lu Xun replied, "I have devised a strategy for defeating the enemy." He then ordered his men to carry a pile of straw each and launch a fire attack on the enemy. Upon the commencement of the fire attack, Lu Xun led all the Wu units on an all-out assault on the Shu forces. Zhu Ran defeated the Shu vanguard force, cut off its retreat route and forced Liu Bei to retreat. Pan Zhang's subordinates killed Feng Xi and inflicted heavy casualties on Feng's unit. Song Qian also destroyed five Shu garrisons and killed its defending officers. Zhang Nan, Shamoke (a tribal king allied with Shu), Ma Liang and Wang Fu were killed in action, while Du Lu (杜路) and Liu Ning (劉寧) were forced to surrender to Wu. Over 40 Shu camps were destroyed by the Wu forces. Throughout the Shu army, only Xiang Chong's unit managed to retreat without sustaining any losses.

The actual present-day location of the battle is at the juncture between the west of Yidu County and east of Changyang County in Yichang, Hubei.

Liu Bei's retreat to Baidicheng

Liu Bei and his remaining troops retreated to the Ma'an Hills (馬鞍山; east of present-day Changyang County, Yichang, Hubei), where they continued to be fiercely assaulted by the Wu forces from all directions. At the same time, landslides occurred at the Ma'an Hills and caused the Shu forces to sustain thousands of casualties. The Wu general Sun Huan (a relative of Sun Quan) fought with his life and managed to break through enemy lines and capture the key positions in the hills. Liu Bei was forced to retreat through the hazardous mountainous terrain and barely escaped alive at night. During the retreat, he ordered his men to pile up their armour and set them on fire to create barriers for the pursuing Wu forces.

Liu Bei regrouped his scattered forces and ordered them to abandon their boats and travel on foot towards Yufu County (魚復縣; present-day Fengjie County, Chongqing), which he renamed "Yong'an" (永安; lit. "everlasting peace"). The Wu officers Li Yi (李異) and Liu E (劉阿) led their troops in pursuit of Liu Bei and garrisoned at Nanshan (南山). In the eighth lunar month of 222, Liu Bei and his forces retreated further to the Wu Gorge.

By the time Liu Bei reached the safety of Baidicheng (near present-day Fengjie County, Chongqing), all his boats, military equipment and supplies had been captured by Wu forces. The dead bodies of Shu soldiers floated in the river and obstructed its flow. Liu Bei was extremely upset and furious with his defeat. He exclaimed, "Is it not the will of Heaven that I must be humiliated by Lu Xun?" When Zhao Yun showed up at Yong'an with reinforcements from Jiangzhou (江州; around present-day Yuzhong District, Chongqing), the pursuing Wu forces had already retreated on their own.

Lu Xun refusing to help Sun Huan

In the earlier stages of the battle, Sun Huan led a separate force to attack the Shu vanguard force at Yidao (夷道; in present-day Yidu, Yichang, Hubei) but ended up being besieged by the enemy. He requested for reinforcements from Lu Xun but was denied. The other Wu officers told Lu Xun, "General Sun is a relative of our lord. He is currently under siege, so shouldn't we help him?" Lu Xun replied, "He has the support of his men, his base is well defended, and he has sufficient supplies. There is nothing to worry about. When my plans are in motion, even if we don't help him, the siege on him will automatically be lifted." After the Wu victory at Xiaoting, Sun Huan came to see Lu Xun and said, "Earlier on, I was indeed very resentful when you refused to help me. But now, after the victory, I see that you have your own way of doing things."

Wu officers' reluctance to follow Lu Xun's orders

Many of the Wu officers who participated in the battle had either served in Wu since Sun Ce's time or were relatives of Sun Quan's family, so they viewed themselves highly and were unwilling to follow Lu Xun's orders. Lu Xun placed his sword on the desk and said, "Liu Bei is well known throughout the Empire, and even Cao Cao feared him. Now, he is at our borders and we have a tough fight ahead. All of you gentlemen have received grace from the State, so you should cooperate harmoniously and work together to defeat the enemy in order to repay the State's kindness. You should not be behaving as you are now. I may be a mere scholar, but I have received orders from our Lord. The reason why the State asks you to lower yourselves and submit to my command is because I have a modicum of value and I can endure humiliation for the sake of fulfilling a greater task. Each of you has your own duties so you cannot excuse yourselves from them! Military rules are long established. You shouldn't break them."

The Wu officers began to show greater respect for Lu Xun after the Wu victory, which was largely due to his strategies. Lu Xun did not report this incident to Sun Quan, who found out about it himself after the battle. When Sun Quan asked Lu Xun about it, Lu replied that he valued those officers even though they were insubordinate towards him, and decided to put up with them because he felt it was important to maintain good working relationships with them to fulfil their common goal of resisting the Shu invasion. Sun Quan praised him and rewarded him handsomely.

Heroics of Fu Rong and Cheng Ji

Fu Rong volunteered to cover the rear while the Shu forces were retreating from Yiling and Xiaoting. He continued to hold his ground firmly and vent his fury on the enemy even though all his comrades had already been killed. When the Wu soldiers called for him to surrender, he replied, "Dogs of Wu! Do you think a Han officer will ever surrender?" He was eventually killed in action.

Cheng Ji also covered the rear during the Shu retreat. As the enemy approached, someone urged him to abandon his boat and escape, but he replied, "I have never fled from battle throughout my military career. Besides, the Emperor is currently in a dangerous situation." When the Wu forces showed up, Cheng Ji wielded a ji, fought fiercely and managed to sink some enemy boats before he was eventually overwhelmed by the enemy and killed.

Cao Pi foreseeing Liu Bei's defeat

When Cao Pi received news that the Shu forces had set up linked camps over a distance of more than 700 li, he told his subjects, "(Liu) Bei does not know military strategy. How can anyone fight a war with camps laid out over a distance of 700 li? 'A person who deploys troops in forested and damp areas with obstacles is bound to be captured by the enemy.' This is something to be avoided in war. I will hear from Sun Quan very soon." He received a report about the Wu victory seven days later.

Aftermath

Huang Quan and the separate Shu army on the northern bank of the Yangtze River were cut off from the main Shu army during the Wu counter-attack and could not return to Shu. In desperation, Huang Quan, along with Pang Lin and others, instead of letting some several thousand troops starve decided to defect to the state of Wei.

Small rebellions broke out in Lingling (零陵; around present-day Yongzhou, Hunan) and Guiyang (桂陽; around present-day Hengyang, Hunan) after the Shu forces retreated. Bu Zhi, who was stationed at Yiyang before the battle, led Wu forces to suppress them.

After the battle, Xu Sheng, Pan Zhang, Song Qian and other Wu officers suggested attacking Baidicheng to capture Liu Bei. When Sun Quan asked Lu Xun for his opinion, Lu, along with Zhu Ran and Luo Tong, said that when Cao Pi amassed his forces and seemed like he was going to help Wu attack Shu, he actually harboured sinister intentions. They cautioned Sun Quan about this and suggested to abandon their pursuit of Liu Bei and return to Wu. Sun Quan heeded their advice. Not long later, Cao Pi led the Wei armies to invade Wu from three directions. When Liu Bei heard of the Wei invasion of Wu, he wrote to Lu Xun: "The enemy (Wei) is at Jiangling now. If I launch another attack again, in your opinion, do you think I will succeed?" Lu Xun replied, "I am afraid your army has recently suffered defeats and has yet to recover. Now is the time for you to make reconciliations, rest and recuperate. This is not the time for you to launch another assault on us again. However, if you do not consider carefully and plan to despatch all your remaining forces on another attack, I assure you none of those you send here will return alive."

Liu Bei became critically ill in the third lunar month of 223. Before he died in the following month, he named his son Liu Shan as his successor and appointed Zhuge Liang and Li Yan as regents to assist Liu Shan. After taking over the reins of power, Zhuge Liang made peace with Wu and re-established the Wu–Shu alliance against Wei.

In Romance of the Three Kingdoms

The events before, during, and after the Battle of Xiaoting are mentioned in chapters 81–84 of the historical novel Romance of the Three Kingdoms (Sanguo Yanyi) by Luo Guanzhong. Some fictitious stories were included and actual events were exaggerated for dramatic effect. The following are some notable events related to the battle, as described in the novel:

Opposition to Liu Bei's decision to go to war

Liu Bei plans to go to war with Sun Quan to avenge Guan Yu and retake Jing Province, but his decision is opposed by many of his subjects. The first person who attempts to dissuade him from going to war is Zhao Yun, who is ignored. After that, other Shu officials such as Ma Liang and Chen Zhen urge Zhuge Liang to stop Liu Bei, so Zhuge brings them along to meet Liu and advise him against his decision, but Liu refuses to accept their advice. Just when Liu Bei is preparing for war, Qin Mi opposes his decision. Liu Bei is so angry that he wants to execute Qin Mi. However, Qin Mi is spared after Zhuge Liang and the rest of the Shu imperial court plead with Liu Bei. Zhuge Liang then writes a memorial to Liu Bei to explain why he should not go to war with Sun Quan, but Liu throws the memorial to the ground after reading it and exclaims, "My decision is final. There is no need to advise me against my decision anymore!"

The historical text Sanguozhi did not mention anything about Zhuge Liang opposing Liu Bei's decision to go to war with Sun Quan. However, it did mention that Zhao Yun and Qin Mi attempted to dissuade Liu Bei: Zhao Yun advised Liu Bei against attacking Sun Quan, but was ignored. Qin Mi was imprisoned by Liu Bei when he advised him against the campaign, but was released later.

Huang Zhong's death

The Shu general Huang Zhong participates in the campaign even though he is already over 70 years old at the time. He slays Pan Zhang's subordinate, Shi Ji (史蹟), and defeats Pan in an engagement on the first day. On the second day, while pursuing the retreating Pan Zhang, he falls into an ambush and is surrounded by Zhou Tai, Han Dang, Ling Tong and Pan. He is hit by an arrow fired by Ma Zhong. Guan Xing and Zhang Bao save him, but he dies from his wound that night. Liu Bei mourns his death. Since the Battle of Xiaoting historically took place between 221–222, going by the novel's account, Huang Zhong's year of death should be around 221–222.

Huang Zhong's biography in the Sanguozhi stated that Huang Zhong died in 220, a year after the Hanzhong Campaign ended. His cause of death is unknown.

Guan Xing killing Pan Zhang

In one of the early engagements, Guan Xing encounters Pan Zhang, who captured his father Guan Yu in an ambush during the Battle of Maicheng. In his eagerness to avenge his father, Guan Xing pursues Pan Zhang into a valley but loses his way inside. After nightfall, Guan Xing wanders around until he finds a house inhabited by an old man and stays there for the night. He sees his father's portrait on the wall in the house. Later that night, Pan Zhang also finds his way to the house and asks to stay there. Guan Xing sees Pan Zhang and shouts at him. Just as Pan Zhang is about to leave, he encounters Guan Yu's ghost and is petrified. Guan Xing catches up with Pan Zhang, kills him, digs out his heart and places it on the altar as a sacrifice to his father's spirit.

Pan Zhang's biography in the Sanguozhi stated that he died in 234 – more than 10 years after the Battle of Xiaoting. His cause of death is unknown. Guan Yu's biography mentioned that Guan Xing served as a civil official in Shu after reaching adulthood (around the age of 19) and died a few years later while in office, so Guan Xing was most probably not involved in the battle.

Gan Ning's death

Gan Ning is down with dysentery around the time of the Battle of Xiaoting, but he still participates in the battle regardless of his illness. He is resting when he hears enemy forces approaching, so he quickly mounts his horse and prepares for battle. He encounters a group of tribal warriors led by Shamoke. He sees that the enemy force is too large and decides to withdraw. While retreating on horseback, Gan Ning is hit in the head by an arrow fired by Shamoke. He flees, with the arrow still embedded in his head, reaches Fuchi (富池; in present-day Yangxin County, Hubei), sits down under a tree and dies. Dozens of crows on the tree fly around his body. When Sun Quan learns of Gan Ning's death, he is deeply saddened and gives orders for Gan to be buried with full honours.

No details were provided on Gan Ning's cause and time of death in his biography in the Sanguozhi. Gan Ning's death was briefly stated as follows: When Gan Ning died, Sun Quan deeply lamented his death.

Zhao Yun killing Zhu Ran

Liu Bei retreats under the protection of Guan Xing and Zhang Bao after his camps are set on fire by the Wu forces, who continue to pursue him. At a critical moment, Zhao Yun shows up and blocks the attacks from the enemy. Zhao Yun encounters Zhu Ran during the battle and kills him. He protects Liu Bei while the latter heads towards Baidicheng.

The Zhao Yun Biezhuan stated that Zhao Yun did not participate in the Battle of Xiaoting. Before the battle, Zhao Yun advised Liu Bei against going to war with Sun Quan but was ignored. Liu Bei ordered him to remain behind and guard Jiangzhou. When Zhao Yun learnt that Liu Bei had been defeated at Zigui, he led troops from Jiangzhou to Yong'an to help his lord.

Zhu Ran's biography in the Sanguozhi stated that he died in 249 at the age of 68 (by East Asian age reckoning) – about 27 years after the Battle of Xiaoting. Besides, he outlived Zhao Yun, who historically died in 229.

Lady Sun's death

News of Liu Bei's defeat in the battle reach his ex-wife Lady Sun, who had returned to Wu. After hearing rumours that Liu Bei had been killed in battle, Lady Sun ventures out to the bank of the Yangtze River, where she faces the west and cries before drowning herself.

Nothing was recorded in history about what happened to Lady Sun after she left Liu Bei and returned to Wu territory.

In popular culture

The battle is featured as a playable stage in Koei's video game series Dynasty Warriors, in which it is known as the "Battle of Yi Ling" or "Battle of Yiling". It has a follow-up, the "Battle of Baidi Castle", which is based on a hypothetical scenario of the Wu forces pressing on to attack Baidicheng, where the Shu forces retreated to after their defeat.