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HISTORY RESOURCE GUIDE PAGE 2 OF 83 WORLD SCHOLARS CUP 2008

History Resource2008!2009"Curriculum"

Table of Contents

I. Introducing the Study of Empires ................................................................................. 4!Objectives .......................................................................................................................................... 4!Introduction ....................................................................................................................................... 4!Empire as a Form of Government ...................................................................................................... 5!

Empires in the Singular ................................................................................................................... 6!Center vs. Periphery ........................................................................................................................ 7!

Factors Contributing to the Rise of Empires ...................................................................................... 8!How Long They Last ...................................................................................................................... 8!How Far They Reach ...................................................................................................................... 8!The Cities They Create ................................................................................................................... 9!Land and Sea Empires ................................................................................................................... 10!Conquest: Violence, Trading Networks, and Tolerance ................................................................ 11!

Ethnicity and Empire ....................................................................................................................... 12!Constructing the Barbarian ........................................................................................................ 12!

The Question of Succession ............................................................................................................. 14!Expansion to Consolidation .......................................................................................................... 14!

The Aftermath of Empires................................................................................................................ 15!Multipolar, Bipolar, and Unipolar Systems ................................................................................... 15!Hand-in-Hand: Imperial Overreach and Intolerance ..................................................................... 15!Anti-Imperial Players ..................................................................................................................... 16 !

Conclusion and Review .................................................................................................................... 17!II. By Land or By Sea ..................................................................................................... 18!

Objectives ........................................................................................................................................ 18!Introduction ..................................................................................................................................... 18!Continental Empires ........................................................................................................................ 18!

The New World ............................................................................................................................ 19!The Mayans .................................................................................................................................. 19!

The Incas ......................................................................................................................................... 23!Africa and the Near East ................................................................................................................... 28!

The Asante Empire ....................................................................................................................... 29!The Roman Empire ...................................................................................................................... 32!The Achaemenid Persian Empire .................................................................................................. 35!

Asia .................................................................................................................................................. 39!The Maurya Dynasty .................................................................................................................... 39!The Mongol Empire ..................................................................................................................... 43!


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Maritime Empires ......................................................................................................................... 46!The Old World ............................................................................................................................. 47!The British Empire ....................................................................................................................... 47!The Portuguese Empire ................................................................................................................. 51!

Maritime Empires of the New World: American Imperialism .......................................................... 55!Conclusion and Review .................................................................................................................... 55!

III. Ethnic Nationalism and the Last of Empires ............................................................ 57!

Objectives ........................................................................................................................................ 57!Introduction ..................................................................................................................................... 57!

Tolerance as a Tool: The Ottoman Empire and Han China .......................................................... 58!Ottoman Empire ........................................................................................................................... 58!Han China .................................................................................................................................... 63!

Forces of Intolerance: Nazi Germany and the Empire of Japan ........................................................ 66!Nazi Germany ............................................................................................................................... 66!The Empire of Japan ..................................................................................................................... 69!The Soviet Union .......................................................................................................................... 71!

IV. The Aftermath of Empires ........................................................................................ 72!Objectives ........................................................................................................................................ 72!Introduction ..................................................................................................................................... 72!

The Eastern Roman Empire .......................................................................................................... 73!The British Commonwealth .......................................................................................................... 73!The Former Soviet Bloc ................................................................................................................ 74!

V. The Future of Empire ................................................................................................ 75!Objectives ........................................................................................................................................ 75!Introduction ..................................................................................................................................... 75!The Legacy of American Imperialism ............................................................................................... 75!The European Union ....................................................................................................................... 76!The Rise of China and India ............................................................................................................ 78!Conclusion and Review .................................................................................................................... 79!

Works Consulted ........................................................................................................... 81 !About the Author ........................................................................................................... 82!

by

Kaitlin SolimineHarvard University

edited byTania Asnes

Barnard College 05


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I. Introducing the Study of

EmpiresEmpires rise; they also fall. No empire in the history of the world

has survived the conquest of time.1 Some of the greatest empires inthe world are known not only for their monumental rise (one

thinks of the Romans, the Maya, the Mongols, and the British),

but also their demise. How empires rise and why they fall is the subject of this chapter and the

case studies that follow.

Objectives

By the time you complete this chapter, you should be able to answer the following questions.

!What are some key characteristics of an empire?

! How do empires expand and consolidate their power?! What factors cause the downfall of an empire?

Introduction

The term empire comes from the Latin word imperium. Fittingly, the term was first used during the

time of ancient Rome to signify supreme power. Romans believed imperium resulted from both

command in war and the right of the magistrate2 to implement the rule of law.i

Those two components of an empirea superior military complex (equipped with the best militarytechnology and techniques) and a rule of law (with the ultimate goal of a peaceful civilization)are

crucial to the rise of an empire. Yet these are not the only characteristics of an empire.

We should make an important distinction here at the beginning of our analysis: between an empire and

hegemony. Hegemonic powers are civilizations (or in the modern era, nation-states) that recognize the

equality of other civilizations. They participate in a global system in which all players follow essentially

the same set of rules.3 Empires do not do this. The mindset of the empire is that the empire is the most

powerful political being in the world and everyone else is of lesser significance.

An empire aims to be the pinnacle of civilization, one that can absorb new cultures either by war or

softer forms of coercion. The flip side of this is that when an empire expands too far out it cannot ruledistant regions with as strong a hand. Instead, the periphery finds itself within the empire but without

much oversight. It can often gain power and rebel against the central imperial apparatus. The rise of

anti-imperial players as a result of imperial over-reach drills cracks in the foundation of an empire.

1 Newtons Law of Empires? Tania2 A magistrate is a court official (a sort of civil authority) who has some (but typically a limited) ability to enforce laws.3 Today, one could cite the United Nations as a governing body that ensures all nation-states play by the same rules.


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Empire as a Form of Government

Ahhh the Empire. Youve probably heard of the great onesthe Roman,

Ottoman, British, Maya. But what makes an empire an empire? Why is the term

still so widely debated, even by the most noteworthy scholars?

To begin, empires are not all the same. The reach of the Mongol Empire of Asia, at its height, was

greater than the continental expanse of the British Empire, but the Mongol Empires reign was muchshorter than that of the British. So classifying empires simply by their geographical scope or their

duration will not accomplish much in terms of understanding and measuring them.

Similarly, empires expand in different ways. The British, Portuguese, and Spanish Empires were naval

powerhouses that used their maritime prowesstheir seafaring expertiseto conquer distant regions to

extract wealth and resources. Continental empires like the Asante, Mongol and Mayans expanded

through foot soldiers that conquered surrounding lands, but did not make much headway by sea. Some

empires combined the maritime and continental traditions; one could argue the Romans were one of the

greatest continental powers, but at its heyday the Roman Empire was also proficient at protecting and

patrolling its long naval border around the Mediterranean Sea.

There were also empires the main objectives of which were to

create a world consisting of only one ethnicity or religion. You

may have studied Nazi Germanyand its leaderAdolf Hitlers

obsession with creating an empire consisting solely of blue-

eyed, blonde-haired Nazis.4 With its focus on religion, the

Ottoman Empire allowed only Muslims into the highest ranks

of governance.

Some empires used violence to force rivals into submission

like the Mayans, who would sacrifice enemy kings to their

gods.5 Others employed soft power6 to convince territories

or kingdoms to become part of their empire. The British were

particularly well versed in the benefits of soft power; by

establishing trading networks through colonial outposts, they

could not only expand their economy, but also coerce new

territories (throughout the New World, Africa, and Asia) to

join the British Empire.

In conclusion, there is no single way to categorize an empire.

However, perhaps the easiest way to distinguish what makes an empire an empire is to examine what an

empire is not.

5 For those Academic Decathletes who recently read the social science guide, you probably know a bit too much about the

gruesome rituals used during Mayan human sacrifices. -Kaitlin6 Soft power, as defined by academic Joseph Nye in his bookSoft Power: The Means to Success in World Politics(Public Affairs,

2004), is the ability to get what you want through attraction rather than coercion or payments. It arises from the

attractiveness of a country's culture, political ideals, and policies.

Empires are not

all the same.


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Empires in the Singular

Where there were once empires,

there are now states. Much of the

reason for this comes out of the

Peace of Westphalia in 1648, which

ended the Thirty Years War in

Germany and the Eighty Years Warbetween Spain and the Netherlands.

In the two treaties signed during this

peace process, the parties involved

recognized the sovereignty of other

statesthat is, the power that states

had within their borders and over

their own people. Sovereignty also

typically means that if one nation-

state invades another, it is violating

that nation-states right toindependent rule. Of course,

sovereignty is a touchy subject, especially when it comes to wars, but for the purposes of this discussion,

remember that empires typically do not respect the sovereignty of other nations or kingdoms.

It is also interesting that even after the Peace of Westphalia empires, like the British and Ottoman,

survived. This fact poses an interesting problem in the definition of the empire. Why, one may ask, was

the British Empire of the 16th to 20th centuries an empire and not a nation-state? What makes it a

nation-state now?

For one, nation-states exist in the plural. That is, nation-states recognize the sovereignty of other

nation-states. The world view of those nation-states is pluralistic and multi-polar.7

On the contrary, an empire views itself only in the singular.

For its rulers and citizens, there is only one empire;

everything else is to be conquered, made a tributary, or

ignored. Because of this, empires are not as well integrated

domestically as nation-states. While nation-states give equal

rights to citizens living at the periphery of their territory,

empires consist of an overwhelmingly strong center.

There are several imperial examples of this: Mayans often held power within one ruling city-state (such

as Tikal) but had tributaryrelationships with lesser city-states. During the British Empire, the British

Isles were obviously the seat of power, while colonial regions (like African and Asian outposts) were

expected only to serve the interests of the empire and not to usurp that control.

7 That sentence may have sounded like Greek to you (and given the topic of this guide, that wouldnt be the worst thing).

However, the review box should help to clear up any misunderstandings. - Kaitlin

SOVEREIGNTY

Having power over a group or region

PLURALISTIC

More than one

MULTIPOLAR

More than two centers of power or interest


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This asymmetrycan be applied to any number of empires and is one reason the phrase American

imperialism can be used; the United States to this day can intervene in the sovereignty of certain other

nation-states8 without worrying that those nation-states will in turn intervene in the United States.9/10

While the current international political system consists of only nation-

states, the old imperial system was not as clear-cut. The system of

imperial superpowers allowed empires to take over wide swaths of

territory without much regard to sovereignty. Now, empires must overlaytheir imperial map over that of the nation-state. For example, during the

Cold War, East Germany was viewed as a nation-state but was part of the

Soviet Unions sphere of influence. Other countries, such as Lithuania,

Georgia, and Estonia, were technically part of the Soviet Union, but retained some self-governance. In

much the same way, Puerto Rico has certain sovereign rights but is still, ultimately, under the

jurisdiction of the United States.11 This is the same as well with modern-day China, which lays claim in

one way or another to Tibet, Inner Mongolia, Hong Kong, and Taiwan.

Later in this guide, we will assess whether modern countries qualify as empires.

Center vs. Periphery

While a strong center is important to every empire, the periphery, or the area far from the center, also

matters a great deal. Because empires by their very nature are generally large in area, they tend to

represent diverse societies. The ability to coerce these outlying societies (either by violence, religious

conversion, or soft power) has involved a delicate balancing act for every empire.

Part of this balance has meant

that even the most powerful

empires have had to tolerate

cultural and religious diversity;they had no other choice. The

Achaemenid Persian Empire once ruled 42 million people and its capital Persepolis housed diverse

ethnicities, including Greeks, Sardians,12 Ethiopians, Phoenicians, and Libyans. Although the Persian

Empire often used foot soldiers and horseback riders to conquer outlying territories (typically using

violent measures to do so), the resulting empire was largely tolerant of diversity. Even the Persian king

called himself the king of the peoples of every origin.ii

Therefore, tolerance was key to expansion and continued power. Some of the most successful and

longest-lasting empires were those, like the Achaemenid Persian Empire, the Roman Empire, the Soviet

Union, and the British Empire, that could not only conquer outlying regions and societies, but absorb

them. The United States, sometimes viewed as a modern-day empire,13 has been one of the best at using

8 Read: Iraq and even perhaps Afghanistan. - Kaitlin9 This is perhaps why terrorism has become one of the most successful ways to bring a superpower to its kneesbut thats a

subject for another World Scholars Cup guide. - Kaitlin10 specifically, the World Scholars Cup guide to The Reluctant Fundamentalist! Tania11 Is the United States an empire? Has it ever been? This is something you can decide by the end of this resource. - Kaitlin12 I read this as Sardines the first time. Maybe its time for a snack. Tania13 This will be discussed in more detail in the topic The Legacy of American Imperialism.

Debate it!

Resolved: That the success of an empire is dependent upon its ability

to tolerate the introduction of diverse societies. Take stands, craft

arguments and practice presenting with your team.

A hegemon (orhegemonic power) is

the ruling or dominantpower within a given

context.


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tolerance to take in new people and expand its reach. Its technique has been called empire by

invitation14 and is one in which the periphery is given the choice of participating in the empire.15

As we move forward and examine specific empires, watch out for the relative positioning of the center

and the periphery.

Factors Contributing to the Rise of Empires

No empire comes into being spontaneously.16/17 As

the famous saying goes, Rome wasnt built in a

day. Likewise, the rise of empires is due to a

number of factors: the temporal (time span) and

spatial (physical distance) reach of imperial power,

the creation of cities, expansion methods, and the

overall aims of conquest (also called the imperial project).

How Long They Last

All empires must endure the rise and fall of more than one leaderthat is to say, an empire cannot existsolely under its founder (for example, Mao Zedongs China cannot be judged as an empire without

considering what came after his rule). Therefore, the rise of an empire requires a temporal existence that

outlasts the control of its founder. The empire must exist for long enough to shape an identity separate

from that of its original founder. Great empires, like the Roman and British Empires, obviously qualify

for this. Empires that lasted for lesser amounts of time (and often under only one leader) include Nazi

Germany, Napoleonic France, and the Empire of Japan.18 Although these empires did not last as long as

some of their predecessors, their relatively rapid ascent to power and spheres of influence made them

worthy of imperial status.19

How Far They Reach

In terms of an empires influence, its spatial reach is as important as the original creation of the empire.

Naturally, when one thinks of an empire, one often thinks of a civilization or society with influence over

a wide swath of territoriesand this is quite often the case. But how exactly an imperial power expands

to rule over such large areas is integral to its rise.

Empires often begin by using military and economic superiority to expand power. iii A strong military

allows an empire to take the periphery by way of its superiority in warfare. Continental empires often

14 As quoted in Herfried Mnklers Empires, p. 8.

15 Puerto Rico, for example, periodically votes not to join the United States.16 Because if they did I would immediately proclaim myself Empress of the Kaitlin Empire with a snap of my fingers and a

flick of my wand. Darn, it didnt work - Kaitlin17 The Louis Pasteur Law of Empires? Tania18 Because these empires had less temporal span than others, they are often seen as failed attempts at empire building. This is

obviously a point of contention between scholars of imperial history. - Kaitlin19 Although it must be noted here that some scholars, like Amy Chua, deem these empires failed empires. In other words,

they attempted to become empires but for varying reasons, did not quite make the cut. For the purposes of this guide as well

as our analytical framework, we are deeming them to be empires, just ones that did not last as long as their (perhaps greater)

predecessors. You can see how the classification of what makes an empire can get quite confusing! - Kaitlin

FACTORS LEADING TO AN EMPIRES RISE

The reach of imperial power across time and spaceThe creation of cities

ExpansionOverall aims of conquest (the imperial project)


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employ this tactic. For maritime empires, a combination of naval superiority and control of trading

networks allows the empire to expand its reach.

The Cities They Create

Once an empire has risen, it consolidates its domain and begins to formulate its central ideology. Cities,

therefore as you might guess, are major players in the rise of an empire. Most empires have central cities

from which the imperial bureaucracy issues its directives to the periphery. Rome is perhaps the mostfamous case, but Athens, Persepolis, Constantinople, Beijing, London, and Vienna are still

remembered for their grandiose power and opulence.

Cities consistently play a major role in the creation, expansion, and maintenance of empires. The site of

an empires founding typically becomes a major metropolitan center for the expanding empire. As the

empire expands new cities become bases for imperial politics; the balance between them and the regions

over which they rule can become more problematic over time. For the Maya, it was the city-state of

Tikal that ruled during the Classic Period, but struggles between tributary kingdoms and the seat of the

empire at Tikal caused a post-classic power shift to the city-states of the Yucatan peninsula.

There is also a symbolic significance associated with the major ruling cities of empires. For the Mongol

Empire, conquering the Jurchen Empires stronghold of Zhongdu (now Beijing) and the Song

dynastys capital at Hangzhou was the ultimate goal. There was a symbolic significance often associated

with central cities; if an empire could conquer the central city of a rival, it had in some way succeeded in

conquering that entire kingdom. Imperial cities also often mixed all the peoples of an expansive empire

in one place. For example, Persepolis was home to peoples of the Persian Empire just as much as Rome


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housed scholars, artisans, and even emperors from various provinces of its empire (the emperor Trajan

himself, who ruled from AD 98 to 117, was from Spain).20 Therefore, the ruling cities that acted as the

centers for an empire were important not only logistically, but also ideologicallythey represented the

political aims of the empire as a whole and were a place for the diverse peoples of the empire to live

together and prosper. In a way, cities served as a demographic cross-section for the empire as a whole.21

Below is a list of major imperial cities. You will see that, throughout history, empires have been defined

by their central metropolises and that, at several times, empires in different regions overlapped reigns.

MajorImperial Cities

The EmpireSet the time

machine for22

Fun Fact

PersepolisAchaemenid

Persian559 BC

Although Persepolis served as the empires capital through severaldynasties, royalty also had a summer retreat at Ecbatana (or City ofGatherings).

Tikal Maya 60 ADTikal was not only a major metropolis in its heyday, but it also served as thesetting for several scenes in Star Wars: Episode IV.

Rome Roman 70 AD

The myth goes that in 753 BC, two twin brothers, Romulus and Remusfounded Rome in its present-day site near the Tiber River (where,incidentally, they had been saved from near-drowning and suckled by a she-wolf).

23

Cusco24

Inca 1300 ADFrancisco Pizarro led Spanish forces into Cusco in 1533 in the Battle ofCusco. Although the Inca fought back in the Siege of Cusco, the Spanishconquistadors would eventually winand cause the decline of the Incas.

Constantinople Ottoman 1500 AD

Known in the modern-era as Istanbul, the city Constantinople was firstconquered by the Ottomans and solidified the rise of the Ottoman Empire.Previously, Constantinople was the seat of the Eastern Roman (Byzantine)Empire and a city that experienced several declines and revivals throughouthistory.

Even today, it can be argued that cities still hold rapture over the minds and spirit of civilization; oneneed look no further than the horrific events of September 11th in New York City to understand the

symbolism major cities still hold.

Land and Sea Empires

As previously noted, military and economic power were the first means by which an empire asserted its

dominance over rivals. An empire could use its military to take over an area rich in resources and then

build its economy from those resources. Throughout history this process of expansion has occurred in

two waysby land and by sea.

For earlier empires, a trained army of foot soldiers (sometimes by horseback) was the major way toexpand the empire from the center out. Often this involved the consolidation of several nomadic ethnic

groups under one charismatic leader who would spearhead the empires expansionist effort (as in the case

20 See Chua, p. 32.21 No small feat! Kaitlin22 This date is one at which the capital would have been at its heyday and most worth visiting. Kaitlin23 Seems to me as if Remus got the short end of the stick, since the city ended up as Rome and not Reme. Tania24 The Spanish named the city Cuzco (from the Quechan Qosqo,), but today its spelling is widely accepted as Cusco.


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of the Mongols and Genghis Khan). The Romans consolidated their great continental expanse through

a 53,000-mile network of paved roads and bridges.iv With this infrastructure, the center could stay

physically and culturally connected with its periphery.

Maritime empires took a different path25 than their continental compatriots. With the advent of theAge

of Discoveryin the 15th century, European monarchs began sending explorers into uncharted waters by

ship. These maritime explorers proved more than just supreme navigators. They were also a new way for

European powers to establish trade routes by expanding their presence in distant resource-rich lands.With trade routes blocked after the Ottomans tookConstantinople in 1453, Europeans needed a new

way to reach the East.

Enter the maritime empire. The Portuguese Empire, followed by the Dutch and the British, quickly

became proficient at using sea-based trade and exchange as a way to expand the empire and extract

wealth from colonial outposts. When the Portuguese established key positions in the Indian Ocean, they

named the region a mare clausum,v or a controlled space in which any passing ships or trade would be

charged tolls and duties. This new form of imperial expansion coincided with the burgeoning naval

expertise of several empires and would result in new global borders.

Conquest: Violence, Trading Networks, and Tolerance

Empires are usually large, covering expanses of territory beyond their central cities or administrative

centers. But how do empires get so big? And how do they maintain power over substantial regions (both

continental and maritime)?

It is true thatviolence is one factor in the rise of empires. The idea that empires form through conquest

suggests the conquerors treat the conquered unjustly. This violence is often perpetrated by the empires

military arm.

Indeed, a strong military is often essential in the rise of an empire. In the case of the Spanish Empires

conquest ofMesoamericain the 16th century, there were many violent battles fought between Spanishconquistadors and natives. But violence was not and is still not the only method by which empires assert

and expand their power. Once incorporated into the empire, new regions and citizens find themselves

living in a largely tolerant and accepting society. (Empires, remember, are often the most advanced

civilizations of their time.) Unfortunately, however, this tolerance typically only comes after some

violence has been perpetrated against natives (one need only to look to the treatment of Native

Americans at the arrival of European settlers, or non-Aryans in Nazi Germany for evidence of this). And

yet, violence is not the only method empires use to conquer new territories. A second form of conquest

used by empires is the proliferation oftrading networks.

Trading networks bring new regions into direct contact with the imperial apparatus through economicties. This kind of network, as discussed in the previous section on maritime empires, proves especially

useful for empires that prefer the use of soft power. While a strong military is necessary to an empires

flexing of its power politics, trading networks allow the shaping of a new global economy that extends

well beyond that of the imperial center.26 This economic arm forms the basis of the empires commercial

25 Quite literally. Kaitlin26 But it is one that typically greatly benefits the centers economy. You will find this to be the case in all the examples

mentioned in this guide.


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activities and is yet another exploitative method empires use to extract wealth from the periphery and to

maintain power (besides violence measures). During the British Empires reign, the pound sterlingwas

the highest valued currency in the world economy and therefore British banks and citizens were able to

control the global economy through their policies and practices. One could likely argue that at the

height of the American empire, the American dollar was also one of the strongest currencies in the

world.27 This capacity to guide capital flows in the world economy,vi coupled with an innovative

society, allows empires to control the global system and ensure that their home economies most benefit

from the structure in place.28

It should be noted that as would be expected, most empires shape the global economy. Therefore, at the

fall of those empires, the global economy is greatly affected. Rome and the Soviet Union are good

examples of instances where the economic situation of the imperial center and periphery fell apart at the

fall of the empire. If the United States is to be considered an empire, it goes without saying that its

economic stability is crucial to the overall health of the global economy.

Another softer form of coercion empires use is tolerance. Scholar Amy Chua, in her book Day of

Empire, argues that every major empire throughout world history (she cites those ranging from the

Mongol Empire to the present-day United States of America) has risen to power through an acceptanceof a range of different peoples. This may not mean that these empires were particularly skilled at

upholding universal human rights (especially in the modern conception of the term), but rather that all

successful empires recognize the necessity of incorporating peoples of varying cultures, ethnicities and

religions. Chua calls the practice relative tolerance because the treatment of these incorporated

peoples was sometimes far from civil. Nevertheless, it is an important (and in Chuas opinion, crucial)

way for empires to expand and hold onto their power. How ethnicity is ideologically defined and

handled in the imperial scope is our next topic of discussion.

Ethnicity and Empire

Beyond an empires military and economic influence, its political and cultural ideology is equallyimportant to its rise. One way that empires can assert their ideological worldview is their definition of

ethnicity. It becomes a sort of we versus the other that allows for expansion, tolerance, conversion,

and, ultimately, consolidation.

Constructing the Barbarian

As an empire expands, it needs to justify its presumed right of expansion. This imperial project, as

scholar Herfried Mnkler calls it, is one that goes beyond the material wealth that comes from military

and economic power. Rather, it is a justification process that consolidates the empires mission and

extends well past the goals of one particular individual, administration, or dynasty.29 The imperial

27 Obviously not so much anymore! - Kaitlin28 In the modern era, one needs to only look so far as the United States role in directing World Bank policy and investment.

How this will change with the rise of the economies of China and India will make for an interesting analysis. - Kaitlin29 Arguably, it can be said that the democratization project that the George W. Bush administration set forth in Iraq (from

2003 to the present) is representative of this kind of imperial ideological project. Historically, the United States used

Manifest Destiny to justify its westward expansion. - Kaitlin


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project also utilizes several elements of the empires societynamely intellectuals, religious figures and

artistswho together can brand the empires mission.30

Crucial to the ideological project

is the construction of the

other. In the case of many

major empires, the other is

seen as an uncivilized barbarianincapable of ruling himself. Not only is the barbarian politically unfit, but he is also ideologically

inferior. The concept of the barbarian is useful to the imperial project in that it allows for an empire to

justify its strategic expansion

What empires could offer to barbarians was the prospect for peace. Civilization and peace are

intertwined by definition; it is often philosophized that a truly civilized world cannot be war-torn. The

regions beyond the empires periphery (those targeted for assimilation) would be constructed within the

minds of leaders and scholars of the empire as savage, violent, and prone to domestic wars. If the

ideology of the imperial project was to satisfy the minds of those within the empire, the idea of the

barbarian both defined those beyond the empires border as the other and framed them as somethinginferior, to be suppressed.31

In the case of the British Empire, the idea of the white mans burden (coined byRudyard Kiplingin

his poem of the same title) was necessary in understanding the imperial demand for further expansion

into uncivilized areas where savages, also known as barbarians, ran wild. The White Mans Burden

became a way for Europeans and later, Americans, to justify their imperial conquest; the white man

would teach foreigners the right and civilized way to live. (Civilized in these cases typically refers

to a kind of refined way of living that the colonizer lives but the barbarian does not.) The way in

which the British Empire justified its mission this way was hardly newit was used from the time of the

Greeks and Romans, through the Ottoman Empire and even the Mongols.

In regards to the civilizing project of empires, the Mongolian Empire is an interesting case. Throughout

Asian history, the Mongols were seen as barbarians themselves (especially by Han Chinese). However,

the reason why the Mongols were successful was that the Mongol Empire recognized how its inherent

political system differed from that of the ruling Han Chinese. They knew they could not take on the

Han system, so instead, as they conquered China, they adjusted their model to it. As a result, the

Mongols were able to build one of the worlds largest empires by incorporating and assimilating the Han

administration and culture into their own military complex. The Mongols did this by allowing the Han

to maintain some of their bureaucratic structures within an overall Mongol framework.

Another important device used in conjunction with the imperial project was the promulgation of a

religious or spiritual identity.32 Not only would barbarians be made civilized (read: peaceful and

economically advantageous to the center), but they would also be saved by a process of religious

30 Think of the successful branding campaigns of corporations like Nike and Coca-Cola. Their positive reception worldwide

is crucial to their successmuch like an empires central imperial project and its brand is crucial to its expansion and

consolidation of power. - Kaitlin31 This is a topic that could be applied to the analysis of several modern wars. How did the United States invasion of Iraq fit

this description, or not? A subject to take up with fellow students and teachers. - Kaitlin32 Or, as in the case of the Soviet Union, the extinguishing of religious identity. Tania

Debate it!

Resolved: That an empire requires an imperial project to expand and

consolidate. Take stands, craft arguments and practice presenting

with your team.


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coercion and conversion. When Rome adopted Christianity as its state religion, a new idea of the center

needed to be defined; Rome became not only a great civilization but also a holy place.33 With this new

distinction, the empire could convert the barbarian not only to the ideology of the empire, but also to its

religious beliefs. This ability gave a deeper and often more persuasive flavor to the imperial project and

further justified the definition of the barbarian.

Religious conversion was particularly prevalent in the era of colonial empires. These empires (like the

British and Spanish) utilized missionaries to convert natives to the religion of the state, therebyincorporating them into the empire as well. In the Spanish conquest, colonial administrations worked

closely with Catholic missionary orders to convince natives in Mesoamerica to abandon their old

religious practices.

In both the religious and ideological quest, the barbarian plays an important role in giving the empire a

reason for expansion. It also justifies the role and righteousness of the imperial center. Influenced by the

legacy of the European Enlightenment, Napoleon called this the civilizing mission of European

powers.34 It is a mission that had already been occurring for centuries and one that persists in the

imperial project today.

The Question of Succession

A founder is an integral part of the rise of an empire (what would the Ottoman Empire be without

Osman I, or the Mongols without Genghis Khan?), but he35/36 is not immortal. An empire, those

convinced by the imperial project believe, is immortal. Therefore, the question of succession becomes

extremely important. Who will take over, once the founder is gone? How an empire answers this greatly

affects whether it endures or disintegrates into smaller states.

Expansion to Consolidation

Most empires start from a strong center and build outwards.37 In

doing so, the center needs to not only justify its mission (as weve

already seen), but also to enact a method for successive rule. While

empires handle judicial and administrative affairs differently, one of

the key components of imperial rule is that the leadership in some way represents the empire. This can

be through ideological (belief systems) or ethnic (racial/cultural) similarities; either way, it becomes

representative of the imperial project and is trusted by the citizens to manage a civil, peaceful society.

This is not always the case, however. As will be seen in the case studies that follow, empires fall for a

variety of reasonsone of them being poor leadership. Consider the Achaemenid Empire, where

imperial leadership became increasingly intolerant to the social diversity that it once accepted. Without a

33 Augustine famously defined the distinction as that between the earthly city and the divine city or civitas terren and civitas

Dei(see Mnkler, p. 89).34 Little did the great Emperor know that his most famous namesake would be a combination of ice cream flavors. Tania35 Is there a female founder of an empire? If you find one, please email me. Id like to start a holiday in her name. - Kaitlin36 Well, gee, Kaitlin: it could have been you if your magic wand wasnt out of order. Tania37 The exceptions to this rule are steppe empires which are often more nomadic in nature (e.g. the Mongol Empire). This

distinction (and whether or not it can justifiably be made) will be discussed in more detail in the topic that addresses the

Mongol Empire. - Kaitlin

Most empires start from astrong center and build

outwards.


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common language or even religion, the peoples of the Persian Empire must not have been convinced

that their desires were represented by the imperial center. As a result, Alexander the Greatsucceeded in

toppling the once-great empire by allying with a number of ethnicities that were increasingly feeling

ostracized by the Persians.

Therefore, while strong, and often tolerant, leadership is necessary to create and consolidate an empire.

As soon as this tolerance weakens, the imperial project fails.

The Aftermath of Empires

This leads us to our final and, for the purposes of this guide, most crucial element of the empire: the

empires fall. How and why empires fall is a subject of wide debate. There is no one reason; often

empires are subject to a variety of problems that lead to their fall. Among them are competition from

other empires, imperial overreach, internal intolerance, and a rise in anti-imperial players who want to

break down the imperial system.

Multipolar, Bipolar, and Unipolar Systems

Empires, throughout history, have existed within different global circumstances. And yet, by their verynature, empires expect a unipolar worldthat is, a world that has only one central power. Remember,

empires do not view external or foreign regions as having equal rights. Therefore, for empires to be

successful they not only must see themselves as the sole and strongest power in the world system, but

also must not be threatened by another rising power that sees itself in that light.38

For that very reason, the existence of other empires (especially those at another empires fringes) can

cause an empire to fall by pressuring the center to react to separatist movements. As it has hopefully been

made clear, empires do not like to exist in a world wherein other empires also exist. Therefore, two

empireslike in the case of the American empire and the Soviet Unionwill try to force the other to

fall (and they are usually successful at it!). However, the rise of competing empires is not the only reason

for an empires demise. Oftentimes, the rise of a bipolar or multipolar imperial system coincides with

the previous unipolar empires own internal struggles. That is to say, empires often face a number of

problems that cause them to fallpressure that comes both externally and domestically. These internal

causes will be discussed in greater detail in the following sections.

Hand-in-Hand: Imperial Overreach and Intolerance

Naturally, as an empire expands, it has the capacity to over-expand. While there is always a delicate

balance between the center and the periphery, those central imperial administrations that become too

eager in their imperial projects will often spread too farand when the periphery is too far not only

geographically, but perhaps even ideologically from the center, an empire is doomed.

Over-expansion is often cited as the reason for the fall of the Roman Empire. However, this is only one

side of the story. While expansion implies a tolerance on the part of the empire and an incorporation of

a wide array of cultures and peoples, continued expansion may stress the imperial project of the center.

38 Scholar Amy Chua, in her bookDay of Empire, calls the empires that managed to achieve this vision hyperpowers and

counts the United States as one. Hyperpowers, she says, are the remarkably few societiesbarely more than a handful in

historythat amassed such extraordinary military and economic might that they essentially dominated the world. - Kaitlin


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Early on, Romes heterogeneous nature benefitted the center (the periphery retained some autonomy,

while at the same time it became familiar with Roman culture and ideology). As the empire grew, the

languages spoken and religions practiced wedged a dividing line between the diverse peoples ruled by

Rome. Furthermore, during the third and fourth century, Christianity began to compete with the

pantheon of gods in the Roman tradition. The Roman reactionEmperor Diocletians launch of the

Great Persecution against Christianitywas the proverbial last straw. Not only did the Roman

Empires intolerance create an environment of persecution and fear, but it was also coupled with

uprisings throughout the periphery (the Germanic tribes in the north, the Persians in the east). It is

often the case, therefore, that imperial overreach and a rise in intolerance go hand-in-hand.

Anti-Imperial Players

As empires over-reach and/or become less tolerant

to diverse cultures, there is often a rise in the

number or prevalence of anti-imperial players

who challenge the traditional imperial

arrangement. Empires, by their very nature, create

an asymmetry in their military and economicpower that allows for them to remain in power.

They do this by conquering neighboring lands

and/or establishing trading networks that bring

them great wealth. However, if anti-imperial

players are able to come up with methods that

challenge this asymmetry (either by doing what the

empire does but doing it better or coming up with

an entirely new method), then the anti-imperial

players can succeed at effecting the downfall of the

empire. Typically from the periphery, anti-imperial players are at an advantage in that they are far fromthe center, but at the same time, they have trouble competing with the strength and entrenched

superiority of the empire.

Throughout history, anti-imperial players have been presented with quite the challenge. In continental

empires, the main way they could try to overthrow the empire was to copy the empires military

organization and often to capture or kidnap key imperial agents to take down the empire from the

inside.vii For example, city-states trying to secede from the Mayan empire would often kidnap ruling

kings (sometimes followed by the human sacrifice of said king). While this often affected the tributary

relationship peripheral city-states had with the center (as was the case for Tikal during the Classic

period), it was difficult to take down the entire imperial apparatus by such individual acts.

In maritime empires, the periphery had even more trouble as it was geographically farther from the

center and often did not have the same technology as its ruler (which in the maritime era included

cannons and nautical skills). During the heyday of the Dutch Empire, the maritime prowess of the

empires fleet was truly unmatched: in the Battle of Downs against the Spanish in 1639, the Dutch

demolished nearly one hundred ships and, in 1667, the Dutch destroyed the Royal Charles, the British

navys crown jewel.viii


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The asymmetries between the capabilities of an empire (either on land or on sea) are striking when

judged against an anti-imperial player. However, as stated before, no one factor brings down an empire.

The role of anti-imperial players, in conjunction with several additional factors, is often crucial in an

empires fall.

Conclusion and Review

In general, it is important to remember that an empires fall (like its rise) cannot be attributed to onesingle factor. Empires are, as will hopefully become clear in the case studies that follow, complex societies

that all follow their own models. In this guide, we have classified empires according to set types

continental, maritime, ethnicbut even these are somewhat arbitrary distinctions and serve only to

point out those empires with greater degrees of shared characteristics. It is important to understand the

similarities and differences between empires so as to apply the lessons learned from the past to the world

today.

Hopefully by now you have a good grasp on what factors influence the foundation of an empire and

what are potential reasons for an empires fall. It is important to remember several key elements of an

empires rise, as it is often the decline or change of these elements that then contributes to its fall.

! Empires often use one of two forms of coercion to expand territories and incorporate newpeoples and cultures:violence and tolerance.

! The relationship between the center and the periphery is crucial to the success of the empireand is a balance difficult for many empires to strike. The centers imperial project is also essential

in justifying and expanding the empires rule.

As for the fall of an empire, remember these crucial points.

! The fall of an empire is a complex event. No one factor is an immediate cause.! Typically, empires fall because of a variety of factors, including intolerance, overexpansion, the

rise ofanti-imperial players, and asymmetrybetween the center and periphery.39 These factors

also tend to combine in a variety of ways. For example, an empire may become increasingly

intolerant of diverse peoples, leading anti-imperial players at its periphery to rise up in rebellion,

ultimately overturning the center of the empire.

In your analysis of empires, remember to ask the following questions.

! What factors contribute to the rise of an empire?! How is a certain empire similar and/or different from other empires studied and why?! What factors lead to the fall of an empire and can an empire avoid this? If so, how?

39 Rome wasnt built in a day, but it also didnt fall in a day. Tania


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II. By Land or By SeaEmpires are big. They are often so big that they encompass

entire continents or even span several oceans. While an empires

size does not qualify it for some sort of imperial all-star list, it

certainly exemplifies the power of the central military and politicalapparatus as well as the persuasive capabilities of the empires

imperial project. It is crucial to examine the different ways in

which empires expand and subsequently, how these varying rises affect their falls. Because, if

nothing else, the lesson to be learned is that all empires do indeed fall.

Objectives

By the time you complete this chapter, you should be able to answer the following questions.

!What are the differences between a continental and maritime empire?

! How do continental empires and maritime empires expand their power?! What is typically the reason for the fall of a continental empire? How is this similar or different

from the fall of a maritime empire?

Introduction

For the purposes of this guide, empires have been categorized in three different wayscontinental,

maritime, and ethnic. It is important to note that these categories are somewhat fluid; some empires

could be categorized as both continental and maritime, continental and ethnic, maritime and ethnic,

etc., etc. However, the categories do serve as signifiers to what each empire used as its core method of

expansion, even those that are centered upon an ethnic imperial project. The empires in this chapter are

further placed into categories based on their geographical location (e.g., Africa, Asia) and their

relationship with European civilization (e.g., Old World and New World).

While these categories provide a backbone for the organization of this guide, you should not think of

empires solely based upon their geographical differences. Rather, utilizing the scholastic foundation laid

out in the first chapter, it is necessary to examine each empire on its own and then, in the final analysis,

look at how empires are similar, how they differ, and what these lessons provide to students of the

modern world. In examining the reasons for each empires rise and fall, you will be able to see in what

ways its fall was similar to other major empires and also, perhaps more importantly, in what ways itdiffered. These comparisons will give us clues as to what makes a successful empire and whether or not

the concept and viability of empire will persist in the future.

Continental Empires

The term continental empire implies an empire that spans an entire continent. This is not entirely

accurate; the real definition of a continental empire is one that is based upon the continentin other

words, is pretty strictlyland-based. While it is not uncommon for continental empires to have a


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maritime component (the Romans were very skilled naval patrollers and the Mayans built canoes capable

of expanding trading networks), primarily these continental empires utilize strategies of expansion that

apply directly to land-based operations (such as foot soldiers or conquest by horseback).

It is crucial, in each examination of an empire, to understand why continental expansion was important

to the empire and how each empire accomplished its goals of consolidating rule over a large land-based

region. Oftentimes, the lands that a particular empire conquered were home to a diverse set of people

and this played a role in the type of campaign of conquest an empire launched.

We will begin with two major empires of the New World: the Mayans and the Incas. Both were

prominent civilizations that were among the most developed and sophisticated of their time.

The New World

Despite its name, the New World did not come into being after the creation of the Old World. In fact,

the two worlds existed (and continue to exist) simultaneously. However, it was not until European

powers discovered the Americas and the Australian continent that the misnomer New World came

into being. Previously believing that only Europe, Africa and Asia existed in the world,40 European

explorers thought that they had indeed found a New World. Little did they know that their New World was actually one that had been producing and maintaining extensive and well-developed

civilizations for nearly a thousand years.

The Mayans

There still exists the belief among modern

societies and peoples that Mayan

civilization died off and is considered

extinct. That is not, however, an accurate

description of the Mayan empire. In reality,

the traditions and descendants of theMayan Empire still exist in Mesoamerica41

today. It must be noted at the outset that,

during its heyday, the Mayan Empire was

one of the most advanced civilizations of its

time. And yet, despite the empires

advancements and power, it would

ultimately fall at time of the Spanish

Conquest of Mesoamerica in the 15th

century AD. It is necessary, therefore, to examine the reasons for the Mayan empires rise and to see

what could have contributed to its fall.

The rise of the Mayan empire took place over a span of several hundred years. In what is considered the

Pre-Classic Period, Mayan civilization existed in the form of settled communities that were more

40 Quite an astonishing thing when you think about ones conception of the world today. - Kaitlin41 Mesoamerica is the term used to describe the geographical region encompassing much of southern Mexico, Guatemala,

Belize, and northern parts of Honduras and Costa Rica. This region was home to many of the Pre-Columbian civilizations

that flourished prior to invasion by the Spanish in the 15th century (e.g., the Olmecs, Toltecs, Aztecs, and Maya).


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complex than their predecessors, tribal groups

that roamed Mesoamerica. What made the

civilization so complex? For one, it was divided

into elite and non-elite social classes, a

separation that provided for a stratified and

progressive society. The civilization also believed

in a divine kingship42 and developed its own

forms of writing and pottery (using mostly

polychrome techniques).ix During this time,

Mayan civilization was not extremely powerful,

however, and did not have a great amount of

influence in Mesoamerica. It would not be until

the Classic Period (c. 250-900) that Mayan

civilization would become an empire.

In the Classic Period, Mayan civilization and

the Mayan Empire flourished. Several city-states

expanded and were home to a blossomingculture wherein Mayan traditions and religion

were practiced. One of the strongest city-states

during the Classic Period was Tikal.43

Before delving into the specifics of the Mayan

Empires seat at Tikal, it must be noted that the

Mayan Empire differed slightly from other

empires we will study in that it was divided into

independent city-states.44 While Tikal was one of

the strongest throughout the Classic Period, it would constantly have to establish alliances with

other less powerful city-states. Tikal used different

strategies including inter-marriage with rival

kingdoms, warfare45, and trading networks. All of this made Tikal a formidable powerone that rival

city-states (such as Calakmul and Copan) occasionally tried to take down throughout the Classic

Period.

At its heyday from about 200 to 800 AD, Tikal was the largest city-state in Mayan civilization and was

also its longest-enduring polity.46 This is why, for the purposes of this guide, we are deeming it one of

the most integral cities of the Mayan Empire. The citys architecture was some of the most advanced of

42 One in which the king was seen as a representation of the heavens, much like emperors in imperial China. - Kaitlin43 Tikal is located in the present-day Petn region of Guatemala (a northern state bordering Mexico and Belize).44 A city-state functions much like a nation-state, only its area is confined to that of a city and its adjoining suburbs. For those

of you history buffs, think of Athens (of the Greek Empire) or even the Vatican today. City-states often belong to larger

cultural areas.45 They often did this by ransacking a rival city or kidnapping its king and ritually beheading him in a form of human

sacrifice (those of you who used the AcaDec guides will surely remember this bloody point.) - Kaitlin46 A polity is an organized society with a specific and shared form of government.

Yax Mutul: Not as Cool a Name?

Tikal, which means place of voices in Mayan,was not the original name of the city-state, butwas given to the archaeological site when it wasdiscovered in the 1840s. The original name ofthe city was Y a x M u t u l .


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its time and all major buildings (including the Great Plazaand a number of religious and ceremonial

temples) were connected through a series of causeways. Ballcourts were a staple of Mayan cities and the

stone stadiums were home to a ritual ballgame practiced throughout the empire (the significance of these

games to Mayan culture is still unknown today). Observatories and religious temples dedicated to key

Mayan gods (including Chaak, the rain deity, and Kinich Ajaw, the sun deity) were also central

buildings around which the rest of the city was developed.

While on the topic of religion, it must be noted that a shared religious tradition, which included a beliefin a set of Mayan gods, allowed the Mayan Empire to maintain a consistent and enduring ideological

standard throughout its reign. Furthermore, the belief that each Mayan king was an earthly

representation of Mayan cosmology (giving him the status of a divine king) was also crucial to

justifying a given kingdoms right to rule.

The Mayans also used their own calendars and forms of writing to record their history. A group of

calendars47 allowed the empire to establish a myth of founding (much like the Roman Empires story of

Romulus and Remus). It also gave the empire a chance to show its power by recording historical wars (in

which the Maya triumphed) and the leadership records of various kings. Using their calendars the

Mayans also developed an advanced system of mathematics48

and writing. Using bar-and-dot notation,the Mayans could record dates (confirmed through astronomical observations). They also used head

glyphs (similar to Egyptian hieroglyphs) for this same purpose. All of these important records were kept

on historical stelaas well as carved into the stones along important temples and city buildings.

This shared record, paired with the advanced understanding of mathematics and its system of writing,

allowed the Mayan Empire to continue beyond the fall of an individual city-state. As such, when Tikal

started experiencing problems in the Terminal Classic Period49 (due to a number of factors including

warfare with rival city-states such as Calakmul, overpopulation, and drought), the empire moved its

center of power from the Central and Southern Lowlands of present-day Guatemala to what is today

MexicosYucatan peninsula.

The Mayan Empire was largely decentralized after its move to the Yucatan peninsula, with a breakup

into a number of feuding city-states. This period, known as the Post-Classic Period, occurred from the

10th to 16th centuries. With this decentralization came a decline of the empire and Mayan civilization as

a whole. Though some major developments were made during this timeincluding an increase in sea-

based trade with other Mesoamerican civilizations (such as the Aztecs) in the northseveral city-states

feuded for power during this period, leaving the once-powerful Mayan civilization slightly restless.

The major city-states of the Post-Classic Period were Cobaand Chichen Itza. Coba, which was most

powerful in the late Classic and early Post-Classic period (roughly 730 to 1000 AD), was eventually

sacked by its rival Chichen Itza.50 Chichen Itza then became the Yucatans most powerful polity, filling

the void left by the Terminal Classic declines of Tikal, Calakmul and Copan. It dominated the Yucatan

47 Those of you who studied up for the Academic Decathlon will be familiar with these calendars, which include the Almanac

of 260 Days, the Haab of 365 Days, the Calendar Round of 52 Years, and the Long Count.48 The Maya, it should be noted, were one of the first civilizations to understand the concept of zero (which they wrote in the

form of a shell).49 The Terminal Classic Period is the term used to describe the latter years of the Mayan Classic Period. It occurred from

roughly 800 to 900 AD. - Kaitlin50 Perhaps the lesson is this: Beware your neighbors. - Kaitlin


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from 850 to 1100 AD and was the most successful Mayan city-state to develop trade networks

throughout the Gulf of Mexico. It is necessary to note the central importance of cities to the Mayan

Empire. Although one city may fall, the empire could still exist at another urban center, such as occurred

when the entire empire moved from the area around Tikal to the Yucatan peninsula at Chichen Itza and

Mayapn. A list of major Mayan cities, and their time of power, are listed in the table below.

Mayan city-state Powerful during thePeriod(s)

Tikal Classic

Copan Classic

Calakmul Classic and Terminal Classic

Coba Terminal Classic and early Post-Classic

Chichen Itza Post-Classic

Mayapn League Post-Classic

Chichen Itza, while good at increasing trade

and enhancing the prosperity of the Mayan

empire, was not an especially tolerant city-state.

Because of this, when new peoples such as the

Chontal Maya and the Pipil from Central

Mexico came to the Yucatan seeking resources,

Chichen Itza could not maintain power and was

in decline by 1100 AD. What is now known as

the Mayapn League filled the void left by

Chichen Itza. Centered around the city of

Mayapn in the Yucatan peninsula, this

collective alliance among several Mayan city-

states attempted to revive the Mayan Empire. It

was successful in increasing the Mayan

population (which had declined after Tikals

and then Chichen Itzas fall), but as a whole, the

league would only last from 1200 to 1450 AD.

The Mayan

Empire relied upon this alliance for strength,

but when the Mayapn Leaguestarted to break

up in the 15th century, the Mayan Empire

would be left largely undefended against theSpanish Conquest. This is another crucial

point to consider: when an empire is not unified

domestically, it often has much trouble defending itself from conquest by enemy empires. Of course,

when the Mayapn League broke down it did not yet know of the empires of the Old World (i.e.,

Spain), but nevertheless, it was this break down that left the Mayan Empire unprepared for what was in

store. When the Spanish came to Mexicos shores, the Mayan Empire failed to put up a united front and

ultimately fell.


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Despite the Mayan Empires fall

at the arrival of the Spanish, the

empire is worth analyzing for its

ability to transcend the

individual rule of several city-

states to persist for almost two centuries. Likely because its administration often centered around the

alliance of several city-states or a tribute system,51 the fall of one city-state did not mean the fall of the

entire empire (unlike other empires such as the Roman Empire, which was largely dependent upon the

success and power of Rome). Furthermore, the contributions that the Maya made throughout history

cannot be overstatedtheir astrological observations, calendars, mathematics, and writing were some of

the most advanced of their time. This kept a system of otherwise disparate regions connected and

allowed for a large portion of Mesoamerica to adhere to one set of traditions, language, and culture. This

cohesion has even persisted into the modern era where the Mayan language and some traditions are still

in practice today, having survived the Spanish conquest and the founding of the nation-states of Mexico,

Guatemala, Honduras, and Belize.

The Incas While the Mayan Empire was moving to the

Yucatan peninsula and attempting to remain in

power through the Mayapn League, down south

in present-dayPeru, the Kingdom of the Incas was

gaining in power. Rival kingdoms throughout

Perus highlands in the Andes Mountains were

trying to do the same, competing for the fertile valleys where the Incas ruled. In the early fifteenth

century, the groups would come into contact in a series of battles that the Incas ultimately won.x

With rival kingdoms defeated (including the largest group, the Chancas), the Inca were able to establishtheir capital at Cuzco and expand their empire to neighboring lands. The first king, Pachacuti,52 used

an army of conscripted peasant warriors to conquer an enormous region that extended into modern-day

Boliviaand Chile.xi

Without Pachacutis expansionist efforts, the Inca Kingdom would have remained just thata

kingdomand today likely would not be judged by scholars as an empire worthy of study. The empire

that Pachacuti established was not only one that encompassed a huge region along the western coast of

South America, but also one that represented a diverse set of cultures and ethnicities. This point is

crucial in understanding the success of the Inca Empire; in the empires ability to conquer and

incorporate diverse regions under its rule, it was able to create a system that benefited the Inca leadership

at the center (in the capital of Cuzco).

51 A tribute system is one in which one party (or in this case, city-state) gives wealth or taxes to another more powerful party

in order to receive some benefits (such as trade ties, military protection, etc.).52 Is it terrible that his name reminds me of Cootie Catcher? (That type of origami construction also known as a fortune

teller.) Tania

Debate it!

Resolved: That the Mayan Empire would have remained in power had

the Spanish Conquest not taken place. Take stands, craft arguments

and practice presenting with your team.

Tawantin: The Four Regions

The four regions (or collectively called tawantinor group of four things in the Incan languageQuecha) intersected at the site where Pachacutifounded the Incan capital of Cuzco.


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How the Inca Empire did this is complex. For

one, Pachacutis conquest efforts were bloody.

This was no peaceful affair that he was leading.

Pachacuti set out to unify four regions

(tawantin) that he saw as essential to the Inca

Empire and he did so through a brutal method

of conquest; those who did not immediately

agree to become part of the empire by

negotiation or coercion were treated with the

invasion of Pachacutis fierce army.53 Pachacuti

realized the power of expansion and he used

the new provinces to extract taxes from

peasants, a form of tribute (like in the tribute

systems we discussed in the Mayan study). The

provinces, however, were left mostly

autonomous. The treatment of autonomous

or freely-ruled provinces (typically at the

periphery of the empire) is crucial to many

empires, as we discussed early in this guide.

There is always a delicate balance between the

center and the periphery and many empires

take advantage of the cooperation of local elites

to maintain their central power. Although Inca governors were installed locally to oversee administrative

affairs, other provincial leaders that had been in power prior to the Incan conquest maintained their

status and were especially well-liked and rewarded if they acted in the interest of the Incas.54

In general, this system ultimately benefited

the central imperial apparatus. Thepeasants that worked the lands in the Incan

provinces and peripheries and the goods

that these peasants produced were essential

to the continued wealth and prosperity (and hence, power) of the Incan Empire. The empire also

controlled a taxation system that Pachacuti had installed. This system taxed peasants on their labor and

proved to be an even more formidable wealth-extraction tool than the production of goods (like the

prevalent potatoes or the wool removed from llamas and alpacas55).

Two generations after Pachacutis rule, the Incan Empire was at its largest and most powerful state. The

Incas had conquered all of the civilized regions of South America (those people that were settled and notnomadic). Those who lived what the Incas considered non-civilized lives (i.e., nomadic) were deemed

53 In case youre interested, the four regions were Chinchaysuyu, Cuntisuyu, Collasuyu, and Antisuyu. Now thats a

mouthful! - Kaitlin54 The autonomy of the provinces is an important point to remember throughout this guide and subsequent analyses of

empires. In particular, the Roman Empire did the same thing and as a result, would find that those provincial regions would

eventually become strong enough to fight against the center.55 Hooray for alpacas! - Kaitlin

Peasants, and the goods they produced, wereessential to the continued prosperity (and power)

of the Incan Empire.


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barbarians and left outside the borders of the empire. The Incas maintained their imperial system

through an intricate infrastructure, one with more than 25,000 miles of roads between Cuzco and the

four regions.56

Sadly, however, it was a heyday that would be

short-lived. Pachacutis grandson, the Incan

Emperor Huayna57 Capac (1467 to 1527 AD),

while running a successful empire, heard of Incansdying in what is present-dayEcuador.58 Much like

the Aztec and Mayan Empires, the native Incans

would find themselves incapable of defending what many

scholars consider an even greater adversary than Spanish

naval and military superiority: infectious disease (including

measles, cholera, various plagues, yellow fever, and

smallpox). Soon enough, Huayna Capac would die of an

imported disease, but not before first learning of the huge

ships that had arrived in Incan territory.xii The ships

belonged to Francisco Pizarro, a noteworthy Spanishconquistador, who was on his second expedition to the

continent between 1526 to 1528 AD. Once Pizarro

learned of the Incan Empire, he decided he had to make

Peru and all the regions of the Incan Empire into Spanish

territory.

Pizarro hoped that his conquest would be much like that

of his fellow conquistador Hernan Corts to the north

(Corts led the expedition to conquer the Aztec Empire of

Mexicos Central Valley). While the conquest of the IncanEmpire would not prove quite as easy as that of the Aztec,

there were several events preceding Pizarros arrival that

assisted in the Spanish success. For one, the infectious

disease that preceded the Pizarro expedition into Incan

territory essentially wiped out a large part of the native

population. There was also, simultaneously, a struggle for power upon the death of Huayna Capac.

Because Incan men could sire as many children with as many wives as they wanted, the imperial system

of primogeniture59 was not employed as in other empires in Europe. Instead, the death of a leader

caused a veritable war for power between the emperors various sons. In the case of Huayna Capac, a

battle for leadership of the Incan Empire broke out between his son Huascar (who had been crownedemperor of Cuzco) and another son, Atahualpa, who was in Quito (which Huayna Capac made an

ancillary capital after the conquest ofEcuador).

56 Again, this is another crucial method by which empires maintain their central power.57 Hey, AcaDec people, does this make you want to dance a Huayno? Tania58 By the time of Huayna Capacs rule, Ecuador was subject to Incan rule.59 Primogeniture is when power and possessions are passed from a father to his first-born son with no properties passed to

other children.

Huayna Capac: Father to Fifty?

Although Huayna Capac and his wife (andsister) C oya C us i r i may produced no male heirs,the great emperor fathered over fifty childrenwith a variety of wives. Talk about a father ofIncan civilization (quite literally)!


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Naturally, this civil war, coupled with the debilitating import of a number of deadly infectious diseases,

set the stage nicely for Pizarros invasion. Although Atahualpa had largely succeeded in his campaign,60

the Incan Empire was left divided after the war and the population largely decimated by both warfare

and disease.

Pizarro and his expedition, which included the young conquistador Hernando de Soto (famous in the

United States for his conquest ofFloridaand his discovery of the Mississippi River), were excited for

the prospect of a swift conquest of the Incan Empire, expecting it to be much like that of the SpanishConquest in Mexico. The expedition would be quickly validated. After a failed negotiation with

Atahualpa, on November 15, 1532, the Spanish conquistadors (better-equipped with cannons, guns,

and on horses61) slaughtered Atahualpas army in the city ofCajamarca(several hundred miles north of

Cuzco). The Incan forces found themselves caught largely unawares, unequipped (they had carried no

arms in anticipation of a negotiation), and incapable of fighting against the formidable Spanish army.

Although the Spanish numbered only two hundred, their brutal warfare killed somewhere between six to

seven thousand native Incans. The Spanish didnt lose one man in the fight. What has come to be

known as the Battle of Cajamarca proved to be the meeting of two empiresthe Incan and the

Spanishand one in which the Old Worlds might triumphed over that of the New. It was also the first

time the Incan Empire would come to know Christianity. Pizarro himself was, above all, a devoutChristian and believed that the bloodletting of the battle for the Incan Empire was a divine right. In the

end, the conversion of all the Incan souls would be further proof of the superiority of the Spanish

Empire and its religion, Christianity.

All told, the initial Incan defeat was swift. The

Spanish forces captured Atahualpa, who mistakenly

believed that giving the foreigners all the gold he

could would eventually lead to his release. He told

Pizarro of the great riches he had in the capital of

Cuzco and advised Pizarro how to get there.Previously, the Spanish expedition had no idea of the scope of the Incan Empire; now Pizarro had an

inkling that not only was the empire wealthy, it was also large, the kind of territory for which he and the

Spanish Empire were looking. After all, the ultimate goal of the Spanish Conquest was to expand Spains

territory, giving the empire access to new lands and, most importantly, ownership over peasantry who

would work said lands and allow Spanish elites to sit back on their heels and retire comfortably.

The fall of the Incan Empire would not go quite as smoothly as Pizarro and his Spanish expedition

originally expected, however. After Atahualpa was convicted of treason by the Spanish and executed, the

next Incan in line to the throne was Manco Inca, a brother to Atahualpa and Huascar, and the last of

the Huascar allies. Manco Inca declared himself emperor and the Spanish allowed him to do so, hoping

60 In an effort to prevent nausea, I will not go into the various brutal methods Atahualpa used to force his half-brother

Huascar into retreat. If you are interested you can read The Last Days of the Incaswith particular emphasis on page 53, which

goes into the events in much too bloody detail required for this guide. - Kaitlin61 It must be noted that the arrival of horses shocked the native Incas who had never before seen such domesticated animals.

In fact, Atahualpas original plan was to kill the Spaniards (they seemed like a small enough army) and then steal the horses

and breed them in order to become the most powerful Incan king in history.

Gold: A Step Away from God

Gold, having the same yellow color as the sun,was sacred to Incas who revered the sun god,Inti . As such, gold was not used in a monetarysystem, but kept in the capital under thewatchful eye of the emperor.


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that they could ally with him and use him as a puppet king.6263 This arrangement would not last for

very long.

The Incas seemed determined not to go the way of their Aztec counterparts. Instead, in early November

of 1535, after almost two years of the Spanish occupation, Manco Inca arranged for a secretive meeting

between Inca leaders and decided to stage a rebellion against the Spanish. Fleeing Cuzco, he established a

guerrillabase in the Andes in a city he called Vilcabamba.64 It was to become the capital of the free

Incan world. He conscripted a force of Incan men between one and two hundred thousand men strong.He was prepared to rebel against what he saw as a small and unprepared Spanish force.

Meanwhile, the situation with the Spanish was not going so well. The Spanish Empires King Charles

decided to divide the large Incan Empire into two possessionsa northern half to be ruled by Pizarro

and a southern part to be ruled byDiego de Almagro, another Spanish conquistador that had led forces

into South America. This caused the Spanish territory to disintegrate, as no one under its rule knew to

whom to report (this was especially the case in Cuzco, which both conquistadors claimed to rule).

In the end, however, the Spanish divide did not provide the Incas enough of a chance to succeed in their

rebellion. In a number of battles fought between Mancos generals and the

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