“Atahuallpa’s robes had been torn off when the Spaniards pulled him out of his litter. The Governor ordered clothes to be brought to him, and when Atahuallpa was dressed, the Governor ordered Atahuallpa to sit near him and soothed his rage and agitation at finding himself so quickly fallen from his high estate. The Governor said to Atahuallpa, ‘Do not take it as an insult that you have been defeated and taken prisoner, for with the Christians who come with me, though so few in number, I have conquered greater kingdoms than yours, and have defeated other more powerful lords than you, imposing upon them the dominion of the Emperor, whose vassal I am, and who is King of Spain and of the universal world. We come to conquer this land by his command, that all may come to a knowledge of God and of His Holy Catholic Faith; and by reason of our good mission, God, the Creator of heaven and earth and of all things in them, permits this, in order that you may know Him and come out from the bestial and diabolical life that you lead. It is for this reason that we, being so few in number, subjugate that vast host. When you have seen the errors in which you live, you will understand the good that we have done you by coming to your land by order of his Majesty the King of Spain. Our Lord permitted that your pride should be brought low and that no Indian should be able to offend a Christian.’”
LET US NOW trace the chain of causation in this extraordinary confrontation, beginning with the immediate events. When Pizarro and Atahuallpa met at Cajamarca, why did Pizarro capture Atahuallpa and kill so many of his followers, instead of Atahuallpa’s vastly more numerous forces capturing and killing Pizarro? After all, Pizarro had only 62 soldiers mounted on horses, along with 106 foot soldiers, while Atahuallpa commanded an army of about 80,000. As for the antecedents of those events, how did Atahuallpa come to be at Cajamarca at all? How did Pizarro come to be there to capture him, instead of Atahuallpa’s coming to Spain to capture King Charles I? Why did Atahuallpa walk into what seems to us, with the gift of hindsight, to have been such a transparent trap? Did the factors acting in the encounter of Atahuallpa and Pizarro also play a broader role in encounters between Old World and New World peoples and between other peoples?
Why did Pizarro capture Atahuallpa? Pizarro’s military advantages lay in the Spaniards’ steel swords and other weapons, steel armor, guns, and horses. To those weapons, Atahuallpa’s troops, without animals on which to ride into battle, could oppose only stone, bronze, or wooden clubs, maces, and hand axes, plus slingshots and quilted armor. Such imbalances of equipment were decisive in innumerable other confrontations of Europeans with Native Americans and other peoples.
The sole Native Americans able to resist European conquest for many centuries were those tribes that reduced the military disparity by acquiring and mastering both horses and guns. To the average white American, the word “Indian” conjures up an image of a mounted Plains Indian brandishing a rifle, like the Sioux warriors who annihilated General George Custer’s U.S. Army battalion at the famous battle of the Little Big Horn in 1876. We easily forget that horses and rifles were originally unknown to Native Americans. They were brought by Europeans and proceeded to transform the societies of Indian tribes that acquired them. Thanks to their mastery of horses and rifles, the Plains Indians of North America, the Araucanian Indians of southern Chile, and the Pampas Indians of Argentina fought off invading whites longer than did any other Native Americans, succumbing only to massive army operations by white governments in the 1870s and 1880s.
Today, it is hard for us to grasp the enormous numerical odds against which the Spaniards’ military equipment prevailed. At the battle of Cajamarca recounted above, 168 Spaniards crushed a Native American army 500 times more numerous, killing thousands of natives while not losing a single Spaniard. Time and again, accounts of Pizarro’s subsequent battles with the Incas, Cortés’s conquest of the Aztecs, and other early European campaigns against Native Americans describe encounters in which a few dozen European horsemen routed thousands of Indians with great slaughter. During Pizarro’s march from Cajamarca to the Inca capital of Cuzco after Atahuallpa’s death, there were four such battles: at Jauja, Vilcashuaman, Vilcaconga, and Cuzco. Those four battles involved a mere 80, 30, 110, and 40 Spanish horsemen, respectively, in each case ranged against thousands or tens of thousands of Indians.
These Spanish victories cannot be written off as due merely to the help of Native American allies, to the psychological novelty of Spanish weapons and horses, or (as is often claimed) to the Incas’ mistaking Spaniards for their returning god Viracocha. The initial successes of both Pizarro and Cortés did attract native allies. However, many of them would not have become allies if they had not already been persuaded, by earlier devastating successes of unassisted Spaniards, that resistance was futile and that they should side with the likely winners. The novelty of horses, steel weapons, and guns undoubtedly paralyzed the Incas at Cajamarca, but the battles after Cajamarca were fought against determined resistance by Inca armies that had already seen Spanish weapons and horses. Within half a dozen years of the initial conquest, Incas mounted two desperate, large-scale, well-prepared rebellions against the Spaniards. All those efforts failed because of the Spaniards’ far superior armament.
By the 1700s, guns had replaced swords as the main weapon favoring European invaders over Native Americans and other native peoples. For example, in 1808 a British sailor named Charlie Savage equipped with muskets and excellent aim arrived in the Fiji Islands. The aptly named Savage proceeded single-handedly to upset Fiji’s balance of power. Among his many exploits, he paddled his canoe up a river to the Fijian village of Kasavu, halted less than a pistol shot’s length from the village fence, and fired away at the undefended inhabitants. His victims were so numerous that surviving villagers piled up the bodies to take shelter behind them, and the stream beside the village was red with blood. Such examples of the power of guns against native peoples lacking guns could be multiplied indefinitely.
In the Spanish conquest of the Incas, guns played only a minor role. The guns of those times (so-called harquebuses) were difficult to load and fire, and Pizarro had only a dozen of them. They did produce a big psychological effect on those occasions when they managed to fire. Far more important were the Spaniards’ steel swords, lances, and daggers, strong sharp weapons that slaughtered thinly armored Indians. In contrast, Indian blunt clubs, while capable of battering and wounding Spaniards and their horses, rarely succeeded in killing them. The Spaniards’ steel or chain mail armor and, above all, their steel helmets usually provided an effective defense against club blows, while the Indians’ quilted armor offered no protection against steel weapons.
The tremendous advantage that the Spaniards gained from their horses leaps out of the eyewitness accounts. Horsemen could easily outride Indian sentries before the sentries had time to warn Indian troops behind them, and could ride down and kill Indians on foot. The shock of a horse’s charge, its maneuverability, the speed of attack that it permitted, and the raised and protected fighting platform that it provided left foot soldiers nearly helpless in the open. Nor was the effect of horses due only to the terror that they inspired in soldiers fighting against them for the first time. By the time of the great Inca rebellion of 1536, the Incas had learned how best to defend themselves against cavalry, by ambushing and annihilating Spanish horsemen in narrow passes. But the Incas, like all other foot soldiers, were never able to defeat cavalry in the open. When Quizo Yupanqui, the best general of the Inca emperor Manco, who succeeded Atahuallpa, besieged the Spaniards in Lima in 1536 and tried to storm the city, two squadrons of Spanish cavalry charged a much larger Indian force on flat ground, killed Quizo and all of his commanders in the first charge, and routed his army. A similar cavalry charge of 26 horsemen routed the best troops of Emperor Manco himself, as he was besieging the Spaniards in Cuzco.
The transformation of warfare by horses began with their domestication around 4000 B.C., in the steppes north of the Black Sea. Horses permitted people possessing them to cover far greate
r distances than was possible on foot, to attack by surprise, and to flee before a superior defending force could be gathered. Their role at Cajamarca thus exemplifies a military weapon that remained potent for 6,000 years, until the early 20th century, and that was eventually applied on all the continents. Not until the First World War did the military dominance of cavalry finally end. When we consider the advantages that Spaniards derived from horses, steel weapons, and armor against foot soldiers without metal, it should no longer surprise us that Spaniards consistently won battles against enormous odds.
How did Atahuallpa come to be at Cajamarca? Atahuallpa and his army came to be at Cajamarca because they had just won decisive battles in a civil war that left the Incas divided and vulnerable. Pizarro quickly appreciated those divisions and exploited them. The reason for the civil war was that an epidemic of smallpox, spreading overland among South American Indians after its arrival with Spanish settlers in Panama and Colombia, had killed the Inca emperor Huayna Capac and most of his court around 1526, and then immediately killed his designated heir, Ninan Cuyuchi. Those deaths precipitated a contest for the throne between Atahuallpa and his half brother Huascar. If it had not been for the epidemic, the Spaniards would have faced a united empire.
Atahuallpa’s presence at Cajamarca thus highlights one of the key factors in world history: diseases transmitted to peoples lacking immunity by invading peoples with considerable immunity. Smallpox, measles, influenza, typhus, bubonic plague, and other infectious diseases endemic in Europe played a decisive role in European conquests, by decimating many peoples on other continents. For example, a smallpox epidemic devastated the Aztecs after the failure of the first Spanish attack in 1520 and killed Cuitláhuac, the Aztec emperor who briefly succeeded Montezuma. Throughout the Americas, diseases introduced with Europeans spread from tribe to tribe far in advance of the Europeans themselves, killing an estimated 95 percent of the pre-Columbian Native American population. The most populous and highly organized native societies of North America, the Mississippian chiefdoms, disappeared in that way between 1492 and the late 1600s, even before Europeans themselves made their first settlement on the Mississippi River. A smallpox epidemic in 1713 was the biggest single step in the destruction of South Africa’s native San people by European settlers. Soon after the British settlement of Sydney in 1788, the first of the epidemics that decimated Aboriginal Australians began. A well-documented example from Pacific islands is the epidemic that swept over Fiji in 1806, brought by a few European sailors who struggled ashore from the wreck of the ship Argo. Similar epidemics marked the histories of Tonga, Hawaii, and other Pacific islands.
I do not mean to imply, however, that the role of disease in history was confined to paving the way for European expansion. Malaria, yellow fever, and other diseases of tropical Africa, India, Southeast Asia, and New Guinea furnished the most important obstacle to European colonization of those tropical areas.
How did Pizarro come to be at Cajamarca? Why didn’t Atahuallpa instead try to conquer Spain? Pizarro came to Cajamarca by means of European maritime technology, which built the ships that took him across the Atlantic from Spain to Panama, and then in the Pacific from Panama to Peru. Lacking such technology, Atahuallpa did not expand overseas out of South America.
In addition to the ships themselves, Pizarro’s presence depended on the centralized political organization that enabled Spain to finance, build, staff, and equip the ships. The Inca Empire also had a centralized political organization, but that actually worked to its disadvantage, because Pizarro seized the Inca chain of command intact by capturing Atahuallpa. Since the Inca bureaucracy was so strongly identified with its godlike absolute monarch, it disintegrated after Atahuallpa’s death. Maritime technology coupled with political organization was similarly essential for European expansions to other continents, as well as for expansions of many other peoples.
A related factor bringing Spaniards to Peru was the existence of writing. Spain possessed it, while the Inca Empire did not. Information could be spread far more widely, more accurately, and in more detail by writing than it could be transmitted by mouth. That information, coming back to Spain from Columbus’s voyages and from Cortés’s conquest of Mexico, sent Spaniards pouring into the New World. Letters and pamphlets supplied both the motivation and the necessary detailed sailing directions. The first published report of Pizarro’s exploits, by his companion Captain Cristóbal de Mena, was printed in Seville in April 1534, a mere nine months after Atahuallpa’s execution. It became a best-seller, was rapidly translated into other European languages, and sent a further stream of Spanish colonists to tighten Pizarro’s grip on Peru.
Why did Atahuallpa walk into the trap? In hindsight, we find it astonishing that Atahuallpa marched into Pizarro’s obvious trap at Cajamarca. The Spaniards who captured him were equally surprised at their success. The consequences of literacy are prominent in the ultimate explanation.
The immediate explanation is that Atahuallpa had very little information about the Spaniards, their military power, and their intent. He derived that scant information by word of mouth, mainly from an envoy who had visited Pizarro’s force for two days while it was en route inland from the coast. That envoy saw the Spaniards at their most disorganized, told Atahuallpa that they were not fighting men, and that he could tie them all up if given 200 Indians. Understandably, it never occurred to Atahuallpa that the Spaniards were formidable and would attack him without provocation.
In the New World the ability to write was confined to small elites among some peoples of modern Mexico and neighboring areas far to the north of the Inca Empire. Although the Spanish conquest of Panama, a mere 600 miles from the Incas’ northern boundary, began already in 1510, no knowledge even of the Spaniards’ existence appears to have reached the Incas until Pizarro’s first landing on the Peruvian coast in 1527. Atahuallpa remained entirely ignorant about Spain’s conquests of Central America’s most powerful and populous Indian societies.
As surprising to us today as Atahuallpa’s behavior leading to his capture is his behavior thereafter. He offered his famous ransom in the naive belief that, once paid off, the Spaniards would release him and depart. He had no way of understanding that Pizarro’s men formed the spearhead of a force bent on permanent conquest, rather than an isolated raid.
Atahuallpa was not alone in these fatal miscalculations. Even after Atahuallpa had been captured, Francisco Pizarro’s brother Hernando Pizarro deceived Atahuallpa’s leading general, Chalcuchima, commanding a large army, into delivering himself to the Spaniards. Chalcuchima’s miscalculation marked a turning point in the collapse of Inca resistance, a moment almost as significant as the capture of Atahuallpa himself. The Aztec emperor Montezuma miscalculated even more grossly when he took Cortés for a returning god and admitted him and his tiny army into the Aztec capital of Tenochtitlán. The result was that Cortés captured Montezuma, then went on to conquer Tenochtitlán and the Aztec Empire.
On a mundane level, the miscalculations by Atahuallpa, Chalcuchima, Montezuma, and countless other Native American leaders deceived by Europeans were due to the fact that no living inhabitants of the New World had been to the Old World, so of course they could have had no specific information about the Spaniards. Even so, we find it hard to avoid the conclusion that Atahuallpa “should” have been more suspicious, if only his society had experienced a broader range of human behavior. Pizarro too arrived at Cajamarca with no information about the Incas other than what he had learned by interrogating the Inca subjects he encountered in 1527 and 1531. However, while Pizarro himself happened to be illiterate, he belonged to a literate tradition. From books, the Spaniards knew of many contemporary civilizations remote from Europe, and about several thousand years of European history. Pizarro explicitly modeled his ambush of Atahuallpa on the successful strategy of Cortés.
In short, literacy made the Spaniards heirs to a huge body of knowledge about human behavior and history. By contrast, not only did At
ahuallpa have no conception of the Spaniards themselves, and no personal experience of any other invaders from overseas, but he also had not even heard (or read) of similar threats to anyone else, anywhere else, anytime previously in history. That gulf of experience encouraged Pizarro to set his trap and Atahuallpa to walk into it.
THUS, PIZARRO’S CAPTURE of Atahuallpa illustrates the set of proximate factors that resulted in Europeans’ colonizing the New World instead of Native Americans’ colonizing Europe. Immediate reasons for Pizarro’s success included military technology based on guns, steel weapons, and horses; infectious diseases endemic in Eurasia; European maritime technology; the centralized political organization of European states; and writing. The title of this book will serve as shorthand for those proximate factors, which also enabled modern Europeans to conquer peoples of other continents. Long before anyone began manufacturing guns and steel, others of those same factors had led to the expansions of some non-European peoples, as we shall see in later chapters.
But we are still left with the fundamental question why all those immediate advantages came to lie more with Europe than with the New World. Why weren’t the Incas the ones to invent guns and steel swords, to be mounted on animals as fearsome as horses, to bear diseases to which European lacked resistance, to develop oceangoing ships and advanced political organization, and to be able to draw on the experience of thousands of years of written history? Those are no longer the questions of proximate causation that this chapter has been discussing, but questions of ultimate causation that will take up the next two parts of this book.
PART TWO
THE RISE AND SPREAD OF FOOD PRODUCTION
Guns, Germs, and Steel Page 9