history resource
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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