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Processes of State Formation in the Inca Heartland (Cuzco, Peru) Author(s): Brian S. Bauer and R. Alan Covey Reviewed work(s): Source: American Anthropologist, New Series, Vol. 104, No. 3 (Sep., 2002), pp. 846-864 Published by: Blackwell Publishing on behalf of the American Anthropological Association Stable URL: http://www.jstor.org/stable/3567261 . Accessed: 28/06/2012 13:02

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U;- BRIAN S. BAUER R. ALAN COVEY

Processes of State Formation in the Inca

Heartland (Cuzco, Peru)

ABSTRACT This article addresses Inca state formation in the central highlands of Peru. Using ethnohistoric materials and new ar-

chaeological survey data from three areas surrounding Cuzco, the capital of the Inca empire, we argue that rapid Inca expansion after C.E. 1400 was made possible by long-term processes of state formation and regional consolidation. From C.E. 1000-1400, a central- ized state developed in the Cuzco Valley, extending its direct administrative control over numerous neighboring groups. Less powerful neighboring polities accepted Inca administration early on, perhaps even initiating Inca patronage. Strong rivals to Inca control main- tained their independence, at times depopulating intermediate areas and settling in defensive sites to protect settlements and re- sources. Finally, groups of intermediate complexity used alliances and violence to align themselves with the strongest regional competitors. Such variability in regional integration strategies reveals how Inca state formation processes influenced later patterns of

imperial conquest and administration. [Keywords: Inca, state formation, imperialism, archaeology, ethnicity]

N THIS ARTICLE WE EXAMINE the dramatic social transformations that occurred in the Cuzco region be-

tween C.E. 1000-1400, sometimes called the Late Interme- diate Period.1 Conceptually, this encompasses regional de- velopments following the decline of the Wari empire in the south central Andes and leading up to the first Inca territorial expansion outside of the Cuzco region. As such, this era represents the critical time when the Inca trans- formed themselves from one of many competing complex polities on the post-Wari political landscape into a well- integrated state capable of dominating the central Andean highlands.

Because Inca imperialism occurred just before the Spanish conquest of the Andean highlands (C.E. 1532), some information recorded in 16th- and 17th-century co- lonial documents can be compared critically with archae- ological data recovered through excavations and settle- ment surveys in the Cuzco region (Figure 1). References to the interactions between Cuzco's ethnic groups during the Late Intermediate Period facilitate a more detailed discus- sion of Inca state development than would otherwise be possible.

In considering the ethnohistoric record, we acknow- ledge the problems inherent to the study of these docu- ments (see Bauer 1992; Julien 2000; Rowe 1946:192-197), at the same time asserting that their anthropological study can yield important perspectives on long-term regional

EQUATOR o

nba (Cuenca)

PERU

Chiquitoy Viejo

PaIpamo..a auxa U aa

Pachacamac . .

InkawasIVIA

Chala I o Paz)

Areq

A ENTINA

Inca roads ---- Modem boundaries Important cities or sites *

o

anchillos

Santii

FIGURE 1. The Inca Empire, C.E. 1532. The Inca polity expanded from the Cuzco Valley in the south-central Andes of Peru, creating the largest empire of the pre-Hispanic Americas.

AMERICAN ANTHROPOLOGIST 104(3):846-864. COPYRIGHT ? 2002, AMERICAN ANTHROPOLOGICAL ASSOCIATION

Bauer and Covey * Processes of State Formation 847

processes. While individual Inca rulers are often credited with specific events or achievements, we use the docu- ments to construct multiple lines of evidence for state for- mation processes, rather than as historical facts. Our proc- essual focus in this article necessarily leaves many issues of local decision making and individual agency for later dis-

cussion, although we believe that such issues can be ad- dressed more fully once long-term, group-level interac- tions have been described.

STATE FORMATION, REGIONAL CONSOLIDATION, AND IMPERIAL EXPANSION

Some of the contingencies of Inca political origins and im-

perial expansion can be hypothesized through a compara- tive anthropological perspective on empires (see Alcock et al. 2001; Doyle 1986; Sinopoli 1994; Smith and Montiel

2001). Empires often expand rapidly to incorporate groups of varying political complexity (Schreiber 1992), particu- larly in cases where territorial annexation occurs against small, isolated rivals or on a politically balkanized land-

scape (Marcus 1998). More noteworthy cases of rapid terri- torial expansion include Rome (c. 264-146 B.C.E.) (Badian 1958; Harris 1979; Sands 1975; Scullard 1980), the Aztec

Triple Alliance (c. C.E. 1428-1519) (Berdan et al. 1996), Vi-

jayanagar (c. C.E. 1340-1450) (Sinopoli and Morrison

1995), and the Achaemenid empire (c. 550-522 B.C.E.) (Kuhrt 2001). Cases where vast and complex territories were conquered during the reign of a single dynamic indi- vidual include the Macedonian expansion of Alexander the Great (336-324 B.C.E.) and Mongol imperialism under

Genghis Khan (C.E. 1206-1227). Individual rulers do oversee the rapid acquisition of

new imperial territory, but as Carneiro argues, "the actions of individuals, no matter how gifted, count for naught in the absence of certain enabling conditions," (2000:178). Without preexisting patterns of political interaction, mar-

riage alliance, and regional consolidation, Alexander's

campaigns would not have been as successful, while Ro- man incorporation of the Mediterranean region might not have occurred had the Italian peninsula not shared an Ital- ian identity as Rome challenged processes of Punic imperi- alism. Cultural and ecological conditions influence and enable individual action, so that charismatic individuals can affect the tempo of (or come to embody) major social transformations without actually being personally respon- sible for creating the conditions for such changes (Flannery 1999:18; Giddens 1984; see Boyd and Richerson 1985).

One condition for rapid imperial expansion is a well- integrated heartland region. Emerging empires incorpo- rate new territory rapidly, in part, because they can mobi- lize large numbers of people and large amounts of resources from a unified core area, including an army that is prepared to engage in extended campaigns. A central- ized and specialized government must develop an ideol- ogy and exercise control over the military and the econ- omy of the heartland, necessitating the development of

state-level political organization. While anthropologists, archaeologists, and historians have studied how empires expand, few have considered the relationship between

processes of state formation, integration of core or heart- land regions, and imperial expansion.

The development of archaic states is a hotly debated

topic in anthropological archaeology, and this article is not intended as the forum to review such literature (see Fried 1967; Service 1962, 1975; Wright 1977 for classic definitions). We can note that approaches to state forma- tion have included elite managerial functions (Wittfogel 1957), population pressure and violent conflict (Boserup 1965; Carneiro 1970, 1981; cf. Wilson 1983), ecological factors (Sanders and Nichols 1988; Sanders and Price 1968), information exchange (Wright 1977, 1984; Wright and Johnson 1975), and elite interaction (Blanton 1998; Blan- ton et al. 1996). Drawing from a neo-evolutionary theo- retical perspective (e.g., Flannery 1999; Spencer 1990), we will consider both archaeological indicators of state for- mation (e.g., Flannery 1998; Johnson 1980:249; Marcus and Flannery 1996:172-194; Wright 1986:257-258), as well as evidence from written sources, to interpret some of the processes involved in the formation of the Inca state. These can be compared to other ethnohistoric cases of state formation and expansion (e.g., Brown 1979; Dewar and Wright 1993; Flannery 1999; Gluckman 1960; Sidky 1996). Some general transformations involve territoriality, economic management, and intensity of control and ad- ministration.

Territorial Aspects of State Formation One important factor in state formation is the estab- lishment of a well-integrated territory, a process often oc-

curring within a relatively small region. As Spencer (1990: 6-8, 1998) has noted, personal and nonspecialized ad- ministration of a complex polity precludes the delegation of authority, limiting effective control to less than a day's walk from a paramount leader's own community. Ethno-

graphic observations of polity size in such groups are actu-

ally somewhat smaller than Spencer's idealized estimates, and it is rare for centralized, but not internally specialized, administration to extend successfully beyond 1,000 square kilometers (Spencer 1990:7; see also Goldman 1970:169; Helms 1979:53; Redmond and Spencer 1994; Renfrew and Cherry 1986). Although conditions of extreme environ- mental circumscription appear to promote larger territory sizes for some prestate polities (e.g., Carneiro 1991; Earle 1978; Kirch 1984), we consider a 20-kilometer radius to be a reasonable limit for prestate political administration. Ar- chaeologically, one indicator of regional consolidation by an emerging state is evidence of a more complex settle- ment hierarchy signifying direct and sustained control over areas well beyond this territorial limit (Wright 1977; Wright and Johnson 1975).

The successful shift to internally specialized office- holding may take several generations to develop, and this

848 American Anthropologist * Vol. 104, No. 3 * September 2002

process is often followed by a period of rapid territorial ex-

pansion in areas surrounding the emerging state. Expan- sion is often a patchwork affair, and emerging states may focus on formalizing access to long-distance prestige goods or trade routes early on, while leaving some major local or regional rivals independent (see Balkansky 1997; Helms 1991; Marcus 1992; Marcus and Flannery 1996:206; Redmond 1983; Smith and Hodge 1994; Spencer 1982; Spencer and Redmond 2001). This mosaic of regional in- teractions often leads to the rearrangement of local settle- ment, colonization of new areas, internal development around the capital, and the establishment of depopulated buffer zones between major rivals. Anderson (1994:39-41) suggests that extreme territoriality and boundary mainte- nance increase with sociopolitical complexity, and that encroachment on depopulated buffer zones is often an in- dicator of settlement expansion by more complex groups.

The integrated heartland will share a state-directed

economy and ideology, forming the basis for state pro- grams of expansion through diplomacy, alliance, intimi- dation, and military conquest. By the time new states have finished the integration of territory around their capital, they often have a territory of 20,000 square kilometers or more, an area that may include multiple ethnic groups and is well beyond prestate administrative limits. Settle- ment hierarchies and rank-size graphs can be used to in-

vestigate the degree of state control over the core. Settle- ment lattices tend to become more regularized as the core

region becomes well integrated.

Economic Control in Emerging States

The development of state administration involves the in-

tegration of several previously autonomous groups, requir- ing some changes in the regional economic system. Eth-

nographic and ethnohistoric cases indicate that corvie& labor or tribute claimed by elites in complex societies is often mobilized by rulers to create privately owned re- sources for which usufruct involves obligations to the ruler/state that undercut individual autonomy and local

identity (e.g., Bradbury 1967:6-12; Sidky 1996; Spencer 1993). Internally, developing states create new resources

by expanding intensive agriculture into marginal areas or buffer zones, by coordinating the production cycles for ag- riculture and pastoralism, and by restricting nonstate ac- cess to natural resources and exotic goods. Tribute or corv6e labor from local populations provides the basis for developing state incomes, and the reorganization of local production into a high-cost, high-return direct admini- stration may be the most effective development of the core region (Covey 2000). State production policies-par- ticularly intensive monocrop agriculture and major settle- ment shifts-undercut the traditional managerial author- ity of local elites, frequently resulting in local attempts to assert autonomy (see below). Local rebellions (or accusa- tions of collaboration) provide ruling elites with a pretext for replacing local elites with loyal state administrators,

often intensifying the level of state administration and al-

tering local settlement patterns.

Population Growth and Elite Interaction

Territorial expansion and the intensification of natural re- source exploitation require human labor, and successful state development is strongly associated with major popu- lation growth (cf. Boserup 1965; Carneiro 1991). The

populations of emergent states can be most rapidly in- creased by encouraging immigration, developing urban- ized settlements, and annexing nearby groups. Conquest of neighboring groups and appropriation of their re- sources is an especially attractive option since it can aug- ment state resources dramatically. Weak neighbors may be coerced to accept a subaltern position, although some ac-

tually solicit the patronage of stronger, ethnically related

groups to ensure protection against rival polities. Alliances with stronger groups limit the costs of interpolity conflict, and more durable ties, such as elite marriage exchange, may eventually lead to the domination, and later full inte- gration, of subordinate allies. Where a neighboring group is too strong to conquer immediately, an expanding polity may create buffer zones, contract nonaggression treaties, and continue to develop its own resources and alliances until an effective advantage presents itself.

Alliances and indirect control tend to be unstable or less cost-effective in the long term. Local leaders might de- fer group autonomy as an attractive short-term strategy to avoid conflict or increase their personal networks (through intermarriage or access to prestige goods), but they often reassert their independence and break away from the de-

veloping state at a later time. Thus, while incorporation of some groups may not initially require military action, the shift from hegemony to direct administration may ulti-

mately involve military incursions (or reconquests after re- bellions) and the imposition of permanent state adminis- trative facilities. Where archaeologically detectable, the transition from local autonomy to direct state administra- tion may involve multiple settlement shifts resulting in the development of more dependent local economies and settlement locations.

A developing state will be capable of making large, and frequently rapid, territorial conquests outside of its core region once it has eliminated its most powerful local rivals, brought less complex groups under direct control, and developed its political and economic system through- out the heartland. The state should integrate local world- views within a state ideology that justifies territorial ex- pansion (Bauer 1996; Conrad and Demarest 1984). This may take several centuries, particularly in cases where the heartland has considerable cultural or linguistic diversity, where the expanding state is limited by ecological or demographic factors, or where independent political, ideological, and economic structures persist. Archaeologi- cal evidence should indicate a more regular hierarchical settlement system, population growth, local resettlement,

Bauer and Covey * Processes of State Formation 849

the development of state infrastructure (roads, storage fa- cilities), economy/administration (intensive agriculture, increased labor specialization, public architecture), and ideology (state organization of temples and shrines).

PREVIOUS RESEARCH ON THE DEVELOPMENT OF THE INCA HEARTLAND

Before the 1970s, many writers described Inca political ori-

gins in terms of the personal achievements of Inca rulers.

Using certain Spanish chronicles, it has been proposed that the Inca emerged from obscurity in the early 15th

century during the reign of Viracocha Inca and his son Pachacuti. The catalyst for the sudden political growth in the Cuzco region is said to have been the ability of these two Incas to unite the various ethnic groups of the region and to score a decisive military victory over a traditional rival, the Chanka. Davies summarizes the traditional inter-

pretation on Inca political origins: "When he [Pachacuti] became ruler, the Incas formed only a modest village com-

munity; at his death they were the mightiest empire of South America" (1995:59). In recent years, new data have

emerged that force us to reevaluate the accuracy of the chronicles.

While Inca imperial expansion appears to have oc- curred quite rapidly, researchers increasingly view this as the result of antecedent and long-term regional political processes, rather than the serendipitous outcome of a sin-

gle battle and the aspirations of specific individuals. The

chronological scope of such developments exceeds that of the reliable ethnohistoric record. Accordingly, some schol- ars have read the documents for more causal or processual perspectives on Inca state formation. For example, Rost- worowski de Diez Canseco (1978, 1988) suggests that the

manipulation of institutionalized exchange relationships (and not military conquest) led to political integration and Inca territorial expansion. Conversely, Lumbreras

(1978) emphasizes class conflict and traditional interre-

gional hostilities between Cuzco and the Chanka. Murra

(1972), Schaedel (1978), and Isbell (1978) have each stressed the importance of economic management and re- distribution systems in stimulating Inca political centrali-

zation, while others have suggested the Inca system of dual inheritance as the ideological impetus for territorial expansion (Conrad 1981; Conrad and Demarest 1984; De- marest and Conrad 1983; Patterson 1985). Through the investigation of broad categories of social and economic organization, these authors have shifted their interpretive focus from the actions of a single individual to more gen- eral processes of social change. In this article, we expand on this processual orientation by introducing archaeologi- cal data that make explicit the relationship between proc- esses of Inca state formation in the Cuzco region and Inca imperialism.

While earlier theoretical discussions of Inca origins have advanced our interpretive orientation, they have been unable to test ethnohistorically generated hypothe-

ses against independent archaeological data. As Conrad and Demarest observed in the mid-1980s, "archaeology could greatly further our understanding of the pre-impe- rial Inca by revealing the precise chronology of their cul- tural development and by serving as a means of evaluating conflicting hypotheses derived from the chronicles. The practical problem is that the archaeological data available at present are not very extensive" (1984:96). Fortunately, a large body of new survey and excavation data has been collected in the past two decades, and we can now evaluate Inca state formation with two independent lines of evidence.

Traditionally, there has been a general bias in the Cuzco region for conducting archaeological research at sites that contain monumental architecture. Great strides have been made in understanding large imperial Inca sites, such as Machu Picchu (Valencia Zegarra and Gibaja Oviedo 1992), Ollantaytambo (Protzen 1993), Chinchero (Alcina et al. 1976), and Yucay (Niles 1999), while smaller, earlier sites in the region-sites that played a role in early state development processes-have not been as exten-

sively studied. Furthermore, until recently, the interpreta- tion of excavation data has been hindered by a lack of re-

gional settlement pattern data from intensive survey projects. Most archaeological projects in the Cuzco region have either concentrated on conducting excavations at a

single site, or on collecting surface pottery from a limited number of sites. With the possible exception of Kendall's (1976) work in the Cusichaca Valley, located some 60 kilo- meters northwest of the Cuzco Valley, no systematic sur-

vey work was conducted in the Cuzco region prior to the mid-1980s. While excavation data are crucial for under-

standing site-level effects of state formation, only regional settlement data can address the full scope of state forma- tion processes and contextualize the occupations of indi- vidual sites.

Archaeological Surveys in the Inca Heartland The first systematic archaeological survey project in the Inca heartland was conducted by Bauer between 1984 and 1987 in a 600-square-kilometer region directly south of the Cuzco Valley (see Bauer 1990, 1992, 1999).2 The re- sults of this work indicated a greater time depth to a re-

gionally dominant Cuzco polity than suggested by some historical accounts (e.g., Rowe 1944; cf. Means 1931). Bauer expanded on this work in 1994, examining the long-term developmental processes within the Cuzco Val- ley proper in a second regional project. This 350-square- kilometer study region was completed by Bauer and Covey between 1997-99 (Bauer and Covey 1999).3 A third sur- vey, covering over 300 square kilometers in the Vilcanota Valley to the north of Cuzco, was directed by Covey in 2000." Combined, these three contiguous survey projects comprise a total area of over 1,200 square kilometers and document the locations of more than 2,000 archaeological sites (Figure 2). Equally important, the three survey pro- jects form an 80 kilometer north-south transect through

850 American Anthropologist * Vol. 104, No. 3 * September 2002

the Inca heartland. As such, the surveys cover the center of the Inca polity in the Cuzco Valley, as well as the lands of several ethnic groups living to the north and south of its capital.5

These three survey projects provide an unprecedented opportunity to examine the developmental processes of the Inca state. The survey data can be combined with the results of excavations and reconnaissance work conducted to the east and west of Cuzco to assess the changing politi- cal interactions between the emerging Inca state and its

neighbors of other ethnic identities. We find that during the period of state development, as for the better-under- stood period of imperial expansion, the Inca employed a wide range of strategies to extend their influence and to consolidate their control.

Of special interest to this study are those groups iden- tified as "Inca of Privilege," to whom Inca ethnic status was extended at the onset of the imperial period (Figure 3). Subservient to Cuzco and yet allied with it, the Inca of

Privilege represented a large, tribute-paying social stratum that not only supported the ruling elite in Cuzco but also

occupied low-level bureaucratic positions in the empire (see Rowe 1946:260-261). Inca imperial expansion was

predicated on the administrative and ethnic unification of what became the imperial heartland, a dramatic increase in "Inca" population in which different ethnicities partici- pated unequally. The full integration of some groups and the elimination of others marked the point of departure

chu PicchuPaucartambo 9

Cusichac Ollantaytambo Ankasmarka AL Yucay SVAP Huata

Pukara Chincheroe Pantillijlla

HuarocondoOQhapaqkancha As A A Limatambo Anta e

CVAP

Cuzco A

.

Tipon

Chokepukio A Pikillacta S Pacaritambo Yaurisque

Lucre Basin

PAP

Araypallpa

0 10 20 30 40 s Accha

A Archaeological Site I SVAP Sacred Valley Archaeological Project 1999-2000

0 Modern Community S CVAP Cuzco Valley Archaeological Project 1994,1997-1999 PAP Pacariqtambo Archaeological Project 1986-1989

FIGURE 2. Regional settlement surveys in the Cuzco region. Three systematic regional surveys have been conducted in the Inca heart- land to understand the processes of state development. Research was conducted in the areas north and south of Cuzco, as well as within the Cuzco Valley itself.

for Inca imperial expansion into neighboring non-Inca re-

gions. Through a series of case studies, we can now observe

that these strategies targeted different levels of local social

complexity and exploited patterns of elite interaction within the emergent heartland. We will first present a re-

gional picture of the heartland before C.E. 1000, then turn to the sociopolitical conditions in the Cuzco Valley during the Late Intermediate Period. Having considered some of the internal developments of the early Inca state, we then examine its external interactions with other groups living to the south, west, northwest, north, and east of Cuzco.

SETTLEMENT PATTERNS IN THE CUZCO REGION BEFORE C.E. 1000

During the Middle Horizon (c. C.E. 600-1000), the Wari polity dominated the Cuzco region from the immense site of Pikillacta in the Lucre Basin, some 30 kilometers south- east of modern Cuzco. Survey data indicate, however, that Wari administration did not significantly disrupt the local settlement pattern in the Cuzco Valley (Bauer et al. 2001). Both before and throughout the Middle Horizon, a net- work of villages was concentrated along the southern side of the main Cuzco Valley, where large transverse streams drained into the Huatanay River, and where low alluvial terraces provided excellent locations for villages close to

valley bottomlands and rainfall farming on the valley slopes. The Middle Horizon populations to the south of

Cuzco were settled within the maize-producing elevations

Machu Picchu Paucartambo

e

Cusichaca A OLANTAYTAMBO

POQUES

AL Yucay AAnkasmarka

Huarocondo *Ayamarca A

LIMATAMBO

Cuzco, , Tip6n Chokepukio A A Pikillacta

Yaurisquee Lucre Basin

TAMBO MASCA

Pacariqtambo e

HUAROO

N Araypallpa a CHILLQUE

0 10 20 30 40 50 Accha KILOMETERS

A Archaeological Site MASCA Inca-by-Privilege 4 Modern Community CUY0 Other Ethnic Groups

FIGURE 3. Boundaries of the Inca imperial heartland, showing the location of different ethnic groups. These groups were incorpo- rated into the Early Inca state through various strategies, and many (but not all) had Inca ethnic status extended to them during the imperial period.

Bauer and Covey * Processes of State Formation 851

Corp ,Buffer Zo

0. "---

I N

0 3

,25-1 ha

1-5 ha05-10 ha 0 Size Unknown re

arac n

Terracer

( a s t e d\Buffer Zone

*.25-1 ha @1-5 ha@5-10 ha Size Unkown. Tenracing

3

(Surey Boundary (akpproximattely 1t40

smaller sites hravei beena

omit~ted) Sre

FIGURE 4. Late Intermediate Period village sites in the Cuzco Valley, C.E. 1000-1400. After C.E. 1000, a series of large villages and agricultural works was developed in the northern side of the Cuzco Basin. The densely populated basin between the Cuzco and Lucre basins was depopulated, creating an empty buffer zone between Inca villages in the Cuzco Basin and those under the control of the Mohina and Pinahua groups. Tipon, the only Late Intermediate Period site in the buffer zone, contains large fortification walls.

in a series of scattered hamlets and small villages. Wari pottery in this region appears as isolated fragments at a few sites, and the Wari influence over this area may have been limited to religious or economic influence (see Bauer 1999). Although systematic data are lacking for the Middle Horizon to the west and northwest of Cuzco, we hypothe- size that future survey work planned for this area will re- veal a similar low-intensity Wari presence.

To the north of Cuzco, very little Wari pottery is pre- sent in the Vilcanota Valley. Settlement patterns and ce- ramics in the Chit'apampa Basin indicate that this area had political and cultural ties to the Cuzco Valley. Settle- ment in the basin was restricted to areas closest to the Cuzco Valley, located near good valley bottom lands with abundant water. Although most Middle Horizon sites in the Chit'apampa Basin are small, two discrete clusters of settlements were encountered near the modern communi- ties of Huillcapata and Patabamba. Village occupations in these areas displayed a two-tier settlement hierarchy, con- sisting of small villages that were surrounded by hamlets and dispersed households. In other parts of the Sacred Val- ley survey region there is no evidence that more distant villages and hamlets were under the domination of either the Wari or Cuzco polities at this time.

While the full discussion of Middle Horizon settle- ment will be presented elsewhere, it is sufficient to note

that sites at this time favor locations where simple irriga- tion agriculture could be conducted, and where commu- nity defense tended to be a secondary settlement priority.

STATE FORMATION IN THE CUZCO VALLEY, C.E. 1000-1400

Regional settlement changed radically after about C.E. 1000 with the decline of the Wari polity and the abandon- ment of Pikillacta. A regional political vacuum spurred competition among several groups, leading to political de- velopments in the Cuzco Valley proper. Population within the valley appears to have increased significantly at this time. A series of new settlements was established in more remote parts of the southern valley, while most of the well-established valley bottom settlements grew substan- tially. During this same period the northern side of the valley was transformed dramatically (Figure 4).

Because streams in this area were entrenched, the northern part of the valley historically had few horticul- tural/agricultural settlements. During the Late Intermedi- ate Period, however, a series of large villages was constructed on the lower northern valley slopes. The agricultural po- tential of this area was developed through the construc- tion of new terraces and irrigation canals. The canals emerged from ravines near the new villages, supplying water to new agricultural terraces that ran nearly down to

852 American Anthropologist * Vol. 104, No. 3 * September 2002

the Huatanay River. These terraces created hundreds of hectares of improved agricultural land and rank among the largest agricultural projects to be undertaken in the

valley. They would have supplied the developing Cuzco

polity with significant agricultural surpluses while also

presenting the Inca elite with a means of rewarding sup- porters in local communities. It is likely that the Inca built these agricultural works with the use of rotational corv6e labor. The ability to organize and construct large public works, and by doing so create new resources for the Inca elite, represents an important element of the state forma- tion process.

Ethnohistoric sources suggest that some of these new

agricultural resources (probably maize lands, a crop requir- ing a constant water supply) were held by important line-

age groups of the valley, while others may have been

given to groups from outside the main valley that were moved to these lands, either to seek the protection of Cuzco or forcibly resettled after military defeat. Internal development, resettlement, and colonization were impor- tant strategies used by the Inca state not only to increase resources available for regional competition but also to re- duce redundancy within the developing hierarchy (see Flannery 1972). The scale of such processes and their link to dynastic groups indicates political organization beyond the level of prestate societies.

The large agricultural villages in the emerging Inca state were dominated by its rapidly urbanizing capital, Cuzco. Excavations throughout the modern city have re- vealed that the Inca capital grew to perhaps 50 hectares during the Late Intermediate Period, up to ten times larger than most villages in the main valley. Killke pottery (i.e., early Inca pottery) was first identified in the very heart of Cuzco during excavations at the Coricancha (Rowe 1944). Since that time, Killke pottery and building foundations have been found in the surrounding area (Gonzalez Corrales 1984). Excavations conducted in the Jesuit Church beside the plaza and within the plaza itself have also yielded abundant Killke materials (Valencia Zegarra, personal communication, May 16, 1995). Furthermore, substantial deposits of Killke ceramics have been found in each of the major suburbs of the city, including Lucrepata (Bustinza, personal communication, July 20, 2000), Coripata (Cumpa Palacios 1988), Colcapata (Valencia Zegarra, personal com- munication, June 15, 2001), and Killke (Rowe 1944). Large and deep deposits of Killke ceramics have also been found at Sacsayhuaman (Dwyer 1971; Rowe 1944), demonstrating a significant occupation throughout the Late Intermediate Period and into Inca imperial times. In other words, cur- rent data suggest that the Late Intermediate Period occu- pation of Cuzco was quite large, over time approaching that of the city under the mature Inca empire.

The early Inca polity invested in local infrastructure and developed projects that created new resources. Reset- tled populations were dependent on Inca elite control of these resources. They received some benefits from living in the main valley, but would have been obliged to the

rulers of the developing state. Internal political consolida- tion and resource development created settlement buffer zones in the area surrounding much of the main valley, as some small groups were brought more closely into Cuzco's orbit (Figure 5). Not all groups were resettled in the Cuzco

Valley, however. Several small groups located south of Cuzco came under Inca control early in the Late Interme- diate Period without experiencing much of the reorganiza- tion seen within the main valley.

THE REGION SOUTH OF THE CUZCO VALLEY, C.E. 1000-1400

Historic evidence indicates that the region immediately south of the Cuzco Valley was inhabited by at least three

separate ethnic groups during the Late Intermediate and Inca Periods (Poole 1984; see Bauer 1992). The Chillque settlement clustered around the present-day community of Araypallpa, while the Masca were concentrated around the town of Yaurisque and the Tambo were located near the community of Pacariqtambo. Ethnohistoric research indicates that each of these groups was organized into a

regional moiety system at the time of the Spanish Con- quest (Gade and Escobar Moscoso 1982; Poole 1984; Urton 1990). Bauer's regional survey data demonstrate that these systems of dual organization have great antiquity and date to the Late Intermediate Period, if not earlier (Bauer 1987, 1992:124-139). It is important to note that these ethnic

groups were never organized into large polities. In late pre- Hispanic times, the smallest group, the Tambo, comprised several hundred individuals, while the larger Masca and

Chillque polities each numbered only in the low thou- sands. The large-scale complexity of settlement in the Cuzco Valley and the relatively simple organization of Paruro during the Late Intermediate Period demonstrate the historical inaccuracy of migration accounts present in Inca origin myths (see Bauer 1991, 1992:120-123).

Except for the construction of an Inca imperial es- tate/administrative site at Maukallacta, the regional settle- ment pattern continued relatively unchanged from the Middle Horizon through the Inca imperial period. The dis- tribution of Killke pottery at sites in this area indicates that the early Inca state dominated villages as far as the

Apurimac River, or up to 40 kilometers from Cuzco (Bauer 1992) (Figure 6). Furthermore, systematic surveys in this area recorded no obvious evidence of large Late Intermedi- ate Period defensive settlements. The regional settlement system consisted of small, widely scattered, unprotected settlements generally located adjacent to areas of agricul- tural land. The early Inca villages in this area are smaller than those in the Cuzco Valley, the largest being only about four hectares. The absence of any clear indication of Late Intermediate Period warfare and the continuous oc- cupation of all major Late Intermediate Period sites into the Inca period suggests that this region was absorbed rela- tively early into the developing Inca state with little resis- tance (Bauer 1992).

Bauer and Covey * Processes of State Formation 853

tra

Arr

4"4 7....

ANA'.

? . .

! ...

FIGURE 5. The Cuzco Valley, facing southeast. New villages and agricultural infrastructure were developed by the early Inca state on the northern side of the valley (on the left of the photo).

THE REGION WEST AND NORTHWEST OF THE CUZCO

VALLEY, C.E. 1000-1400

Several ethnic groups lived to the west and northwest of the Cuzco Valley, including the Limatambo, Quilliscachis, Mayo, Hequeco, Sanco, Conchacalla, Anta, and Ayarmaca. Among the largest and most powerful of these were the Anta and the Ayarmaca. Killke-related pottery produced in this area has a wide distribution throughout the region, and both groups appear to have had large populations. Al-

though there has been no systematic regional survey in this

region, reconnaissance work by the authors of this article and others (Alcina et al. 1976; Kendall 1974, 1976, 1985; Rostworowski de Diez Canseco 1970a; Rowe 1944) provides some information for preliminary discussion. The Anta were most likely concentrated around the modern town of Anta, which rests above a large pre-Hispanic settlement. This site

may well have been the paramount village for a small

complex polity during the Late Intermediate Period.

10

8

6

4 E

2

0 15 19 23 27 31 35 39 43 47 51 55 59 km

I I I I I Distance from Cuzco

s . E cc U

ccc w

0 E CUC.

.> a- CU c E C U m CL a_ << > C! a

FIGURE 6. Distribution of Early Inca (Killke) pottery south of Cuzco. The number of sites with Killke pottery decreases as a function of distance from Cuzco, with the presence of Killke material identi- fied over 50 kilometers from the Inca capital.

854 American Anthropologist * Vol. 104, No. 3 * September 2002

The Ayarmaca The Ayarmaca are better known than the Anta (Rost- worowski de Diez Canseco 1970a). Their territory extend- ed from the area of Pucyura in the south (where it shared a border with the Anta) to the area of Chinchero in the north (where it shared a border with the Huayllacan). Al-

though the region is largely unexplored archaeologically, the paramount village of the Ayarmaca most likely existed near the modern-day town of Ayarmaca or, perhaps, near Chinchero. Oral histories of the region recorded by the

Spaniards tell of long-term conflicts among the Anta, Ayar- maca, and the Inca (Guaman Poma de Ayala 1980; Sar- miento de Gamboa 1906; Garcilaso de la Vega 1966). These conflicts may have finally subsided after the unification of the groups through a series of strategic elite marriages.

Sarmiento de Gamboa (1906:56) notes that Mama

Runtucaya, the principal wife of Viracocha Inca (the eighth ruler) was from Anta, and descendants of her family still lived there in the Colonial period (Toledo 1940:114) (Ta- ble 1). The legitimate wife of Yahuar Huacac (the seventh ruler), Mama Chicya, was the daughter of an Ayarmaca lord; and the wife of Capac Yupanqui (the fifth ruler), Curi

Hilpay, may have been an Ayarmaca elite as well (Sar- miento de Gamboa (1572: chs. 18, 22). The marriage of Yahuar Huacac to Mama Chicya is of special interest be- cause it appears to have involved an exchange of daugh- ters between rival lords. Sarmiento de Gamboa writes: "Be- fore Inca Roca died he made friends with Tocay Capac [Lord of the Ayarmaca], by way of Mama Chicya, daughter of Tocay Capac, who married Yahuar Huacac, and Inca Roca gave a daughter of his, named Curi Occllo, in mar- riage to Tocay Capac" (1906:54).6

Tracing the intermarriages of elite Incas with men and women from rival ethnic groups reveals the gradual exten- sion of Cuzco-based regional alliances. While the earlier Inca rulers are said to have married the daughters of com- munity leaders from within the Cuzco Valley, and the last Inca emperors considered their full sisters as principal wives, several generations of interethnic regional marriage alliances occurred between Cuzco and other powerful groups of the heartland during the period of state forma-

tion. The Inca modified this practice as their empire spread across the Andes, with the Inca ruler and his kin taking secondary wives (no longer principal wives) from the noble houses of subordinate ethnic groups. This strat-

egy continued well into the postconquest period, with

high-ranking Cuzco elite offering their female relatives to the Spaniards in hopes of building alliances with the newly established colonial conquerors.

The Limatambo It is clear that other groups in this region interacted differ-

ently with the emerging Inca state than the Anta and

Ayarmaca. Heffernan (1989) has conducted intensive ex-

ploration beyond Anta in the Limatambo area, approxi- mately 50 kilometers west of Cuzco. His field conclusions on the Late Intermediate Period settlement pattern in this region are similar to Bauer's for the area south of Cuzco. Heffernan finds that most Late Intermediate Period occu-

pations are located near large cultivable areas and that few (if any) of these sites contain clear evidence of fortifica- tion. While there may have been a small shift in popula- tion from higher to lower altitudes between the Late Inter- mediate Period and Inca Periods in the Limatambo region, the overall settlement pattern of the two periods is very similar. Comparing his field observations with the infor- mation presented in the Spanish chronicles, Heffernan writes, "The mythico-historic characterization of pre-Inca populations as constantly warring, in light of field evi- dence, is imbalanced and fails to appreciate stable ele- ments in the socio-economic landscape of Limatambo" (1989:413).

The Quilliscachis Research in the region farther northwest of Cuzco, beyond the areas controlled by the Ayarmaca, reveals yet a differ- ent scenario. In the area of the Quilliscachis, who were concentrated near present day Huarocondo, there are for- tified Late Intermediate Period sites. The largest of these is Huata (Rowe 1944; Vera Robles 1998), located approxi- mately 40 aerial kilometers northwest of Cuzco on a remote mountain summit and surrounded by a large fortification

TABLE 1. Inca rulers and their principal wives, according to Sarmiento de Gamboa (1906).

Inca Ruler Principal Wife Wife's Identity Comments Manco Capac Mama Ocllo Sister Culture hero, following imperial marriage pattern Sinchi Roca Mama Cuca Elite woman from Saifu Intravalley alliance

Lloque Yupanqui Mama Cava Elite woman from Uma Intravalley alliance

Mayta Capac Mama Tacucaray Elite woman from Tacucaray Intravalley alliance

Capac Yupanqui Curi-Hilpay Elite woman from Ayarmaca Regional alliance Inca Roca Mama Micay Elite woman from Huayllacan Regional alliance that sparks war with Ayarmaca,

leads to alliance with Anta Yahuar Huaccac Mama Chicya Elite woman from Ayarmaca Inca Viracocha Mama Runtucaya Elite woman from Anta Inca Yupanqui Mama Anahuarqui Sister Establishment of imperial marriage pattern Tupac Inca Mama Chimpa Sister

Bauer and Covey * Processes of State Formation 855

wall (Figure 7). Reconnaissance work done by Kendall (1974, 1976, 1985) in the Cusichaca River Valley between

Ollantaytambo and Machu Picchu also located Late Inter- mediate Period sites on extremely steep ridge tops. The

presence of ridge-top sites in the Cusichaca region, as well as the fortified site of Huata, indicates that this area was not directly controlled by the Inca state until the end of the Late Intermediate Period.

THE REGION NORTH OF THE CUZCO VALLEY, C.E. 1000-1400

Important ethnic groups residing in the region north of Cuzco included the Huayllacan, the Cuyo, the Tambo, the

Yucay, and several other unnamed groups such as those

living at Ankasmarca and in the Chit'apampa Basin. Until

recently, what little we knew about these groups was based largely on the oral histories recorded by Sarmiento de Gamboa. Recent archaeological research has provided additional evidence for those of Chit'apampa as well as the Huayllacan and Cuyo, for whom the chronicle references can now be compared with archaeological data (Figure 8).

The Chit'apampa Basin

Major changes in the settlement pattern occurred in

Chit'apampa after C.E. 1000. In the upper part of the ba- sin (closest to Cuzco), a buffer zone formed as the Middle Horizon sites of the basin were abandoned. Populations were either pulled into the Cuzco Valley or moved farther down the basin into a mosaic environment (near maize, tuber, and pasture lands) that had defensive locations for nucleated settlement. The chronicles mention repeated Inca incursions against their neighbors to the north, and

several sites are found in areas with natural (cliffs) and ar- tificial (walls, ditches, etc.) defenses.

As Cuzco gained direct control over the lower

Chit'apampa Basin, parts of the buffer zone were popu- lated with Cuzco allies or newly subjugated local groups, and some sites with almost exclusively Cuzco pottery were established. Permanent Inca control of the Chit'apampa Basin involved the development of state infrastructure, in-

cluding canal and terrace systems, roads, administrative centers, and storage facilities. Under the Inca state, settle- ment became more dispersed and focused on the valley bottom, particularly in lower elevations where irrigated maize agriculture was possible.

The Huayllacan Although the ethnic identity of Chit'apampa inhabitants is unclear, there are some cases where the ethnohistory provides very specific details on ethnic groups to the north of Cuzco. Chronicles and archival land documents locate one group, the Huayllacan, in communities around modern Patabamba (Sarmiento de Gamboa 1906:51) on the southern rim of the Vilcanota Valley just over 15 kilo- meters from Cuzco (Las Casas 1939; Zuidema 1986). Ac-

cording to Sarmiento de Gamboa (1906:49), Inca Roca married Mama Micay of Patahuaillacan, who was the

daughter of the leader of the Huayllacan, Soma Inca, and

may have been a political leader in her own right (Cabello Balboa 1951:293; Cobo 1979:124; Las Casas 1939:91; Muruia 1946:93; cf. Gutierrez de Santa Clara 1963:81). Later, their son, Yahuar Huacac, is said to have destroyed this group after they betrayed him while conspiring to maintain their political autonomy and influence Inca

ro-, 0

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FIGURE 7. The pre-Inca fortress of Huata, to the northwest of Cuzco.

856 American Anthropologist * Vol. 104, No. 3 * September 2002

4300 Ankasmarka

3100

3100

3500 3900

3500

4300uyuch'urqu Qhapaqk ncha ukara

Pantilliji a

Patabamba a30 3100

Huillcapata

Chit'apampa. 390039 3900

Cuzco

1-5 ha Over ha 0 4 km

(Approximately 170 smaller sites have been omitted)

FIGURE 8. Late Intermediate Period village sites in the Vilcanota Valley, C.E. 1000-1400. Groups to the south of the river appear to have shared close cultural ties with Cuzco and were incorporated into the developing state earlier than those of the north side.

royal succession. We are told that Yahuar Huacac then took some Huayllacan lands as a personal estate, and that dur-

ing the colonial period his mummy was found by Polo de

Ondegardo in Paullu (Acosta 1940:491-492; Sarmiento de Gamboa 1906:56).

The archaeology of the Huayllacan area provides some

interesting perspectives on this account. Around C.E. 1000, local populations moved from the Patabamba area to a

large nucleated ridge-top site called Qhapaqkancha (Royal Enclosure). Located 4,000 meters above sea level, the site

comprises over four hectares of densely packed semicircular stone structures, many of which have been badly damaged.' In addition to this small center, there are about 20 other Late Intermediate Period sites nearby, ranging from isolated

households to small villages, situated on the slopes below the main settlement.

The archaeological survey data suggest that Qha- paqkancha was already the center of a small independent polity during the early Late Intermediate Period. It was lo- cated in a defensible area with good views of the main val- ley, while several subordinate villages were situated below it, 100-200 meters above the main valley floor. Additional archaeological data indicate, however, that this center came under the control of Cuzco well before the end of the Late Intermediate Period. A large rectangular platform with three early Inca buildings is located just outside the area of nucleated settlement at Qhapaqkancha. This was probably constructed sometime after C.E. 1300 as a royal estate or a small administrative complex.

Bauer and Covey * Processes of State Formation 857

In sum, the archaeological and ethnohistoric data both suggest how the small Huayllacan polity came under Inca control. Political alliances may have been established initially through marriage exchange, and then trans- formed through military action, well before the period of Inca imperial expansion. Over several generations, direct control was established in the area, and, ultimately, Huayllacan resources came under the direct administra- tion of Inca elites. That the Huayllacan were not made Inca by Privilege during the imperial period may be be- cause of their repeated attempts to throw off Inca control. This certainly appears to be the case for their neighbors, the Cuyo.

The Cuyo The Cuyo occupied the Cuyo Basin, located in the side valley above the Inca site of Pisaq. Like the Huayllacan, Pi- nahua, and Mohina (see below), the oral histories of the Cuyo recorded by Spaniards describe two or more Inca conquests of the region. Several authors suggest that in their first territorial expansion from the Cuzco Valley, the Inca defeated the Cuyo during the reign of the fifth Inca, Capac Yupanqui (Cabello Balboa 1951:290; Pachakuti

Yamqui 1993:209 [f.14-15]; Sarmiento de Gamboa 1906:48). According to Cobo (1979:122), Capac Yupanqui placed Tarco Huaman, a rival brother, as governor over the new

province. This conquest is linked in the various sources to long-distance exchange (the Inca invaded after the Cuyo ruler refused to send exotic birds from the jungle lowlands to Cuzco) and to religion (the Inca visited the principal shrine of the Cuyo and asserted the superiority of the Inca solar cult over the local deity).

Aside from a possible reconquest of the region by Ya- huar Huacac (Sarmiento de Gamboa 1906:54-55), no mention is made of the Cuyo until the reign of Pachacuti (the ninth ruler). Several authors (Pachakuti Yamqui 1993: 226-227 [f. 22v.-23]; Sarmiento de Gamboa 1906:71-72) relate that after defeating the Chanka, Pachacuti held a festival at which an attempt on his life was made. The

Cuyo were blamed, although Cabello Balboa (1951:300) claims that they were falsely accused. In any case, the Inca reaction was to campaign throughout the region, destroy- ing the Cuyo center and killing many of its inhabitants. Although some authors state that the Cuyo were com- pletely killed off, remnants of this group are mentioned in colonial land documents (Espinoza 1977; Toledo 1940:74), and were possibly resettled in the Vilcanota Valley proper or sent to grow coca in the lowlands of Paucartambo.

The archaeological picture from this area also seems to substantiate some of the chronicle accounts. Survey data indicate major population growth during the first part of the Late Intermediate Period, when the Cuyo Basin was dominated by several large nucleated villages, most of them located on ridge tops at high elevation (above 4,000 meters above sea level). The largest of these was Muyu- ch'urqu, a six-hectare village protected by cliffs and defen-

sive walls. Muyuch'urqu was the center of a chiefdom sur- rounded by five or six smaller villages. It was positioned to control caravan traffic between the Vilcanota Valley and the Paucartambo lowlands, and would have commanded a mosaic economy that included agricultural production and herding. The Muyuch'urqu polity, which included a ceramic style and mortuary tradition of funerary towers not found in areas to its south, appears to have been cul- turally (and, perhaps, linguistically) distinct from groups living in the Cuzco Valley.

A major settlement shift in the basin during the latter part of the Late Intermediate Period indicates that Cuzco was developing indirect control over what had been an in- dependent group. The defensive location of their sites and distinctive pottery and mortuary styles suggest that during the first part of the Late Intermediate Period, the people of the Cuyo basin had maintained little peaceful contact with the developing Inca state. The principal early Inca settlement in Cuyo territory is Pukara Pantillijlla, a site lo- cated at about 3,950 meters above sea level on a ridge across the basin from Muyuch'urqu. At more than ten hec- tares, this site is larger than Muyuch'urqu and appears to have administered a greater area. Pukara Pantillijlla has a mix of semicircular and rectangular stone structures. Like Qhapaqkancha, the slopes around the site are heavily ter- raced and would have been used for additional settlement and agriculture. Local Late Intermediate Period wares and a substantial amount of Killke pottery dominate the dense ceramic scatters that cover the surface of the site. Covey's excavations at Pukara Pantillijlla in C.E. 2000 demonstrate that the occupation area expanded toward the end of the Late Intermediate Period, when many of the rectangular buildings were constructed (cf. Dwyer 1971). It is impor- tant to note that only a small component of Inca imperial style shards was identified among the 50,000 fragments analyzed from the excavations, indicating that the main occupation of the site ended before the florescence of the

imperial period. Once this area was well integrated into the Inca heart-

land, settlement shifted to the bottom of the valley (900 meters lower), and was administered by Pisaq, an impres- sive complex of architectural compounds and agricultural terraces that was the private estate of Pachacuti (Toledo 1940; Rostworowski de Diez Canseco 1970b). The con- struction of this site was associated with massive projects to canalize the Vilcanota River and extend irrigated agri- culture onto new terrace groups on the lower valley slopes.

To summarize, the Cuyo were independent during the early part of the Late Intermediate Period. Settlement was then reorganized around Pukara Pantillijlla as the Inca es- tablished control over the region. Before Inca imperial ex- pansion, the occupations in the upper Cuyo Basin were largely abandoned and there was a major settlement shift to the valley bottom, favoring lands associated with inten- sive maize production.

858 American Anthropologist * Vol. 104, No. 3 * September 2002

THE REGION EAST OF THE CUZCO VALLEY, C.E. 1000-1400

It is well documented that the Lucre Basin, which lies to the east of the Cuzco Valley, contained two separate, but

apparently closely related, ethnic groups: the Pinahua (or Pinagua) and the Mohina (or Muyna). Oral histories re- corded by the Spaniards suggest that these groups were

important rivals when the Inca consolidated their control in the region. In 1572 Sarmiento de Gamboa noted that a series of early Inca kings, including Inca Roca (1906:49), Yahuar Huacac (1906:55), Viracocha, and Pachacuti Inca

Yupanqui (1906:56) had each staged military incursions

against the principal Pinahua and Mohina settlements. For example, Sarmiento de Gamboa writes:

And then he [Viracocha Inca] went against the people of Mohina and Pinahua, Casacancha and Rondocancha, five small leagues from Cuzco. They had already made them- selves free, even though Yahuar Huaca had defeated them. And they [the Inca captains] attacked and killed most of the natives and their cinches [leaders], who at that time were named Muyna Pongo and Guaman Topa. They suffered this war and cruelties because they said they were free and would not serve or be his subjects. [Sar- miento de Gamboa 1906:57-58, translation by the authors]8

Unlike some groups north (Huayllacan) and west of Cuzco (Anta and Ayarmaca) with whom the Inca practiced some form of elite marriage exchange early in the period of state

development, it appears that the Inca were locked in pro- longed conflict with the Mohina and Pinahua throughout much of the Late Intermediate Period.

With Inca imperial development under Huascar (who reigned c. 1525-32), many of the Pinahua were removed from their traditional lands and resettled in the coca-pro- ducing lands around of Paucartambo. Huascar, who was born in a town on the shore of Lake Mohina, then built a private estate in the basin. Soon after the Spanish con- quest, the Pinahua petitioned the Spanish courts to have their lost lands returned to them (Espinoza 1974). Docu- ments presented during this 16th-century court case de- scribe the Pinahua territory in detail. It is clear that before their removal, the Pinahua controlled the area on the northern side of the Huatanay River east of the Angostura to its confluence with the Vilcanota River. There is no doubt that the Pinahua once occupied the large site of Chokepukio, because it is specifically and repetitively mentioned as one of their former towns in the earlier documents of the suit. The site was probably the principal city of the Pinahua, referred to as "Pinagua-Chuquima- tero" in the later documents. For example, in 1571 Pedro Lampa states, "there was in past times on one side of the narrow drainage of Lake Muyna in some old buildings, a town that was called Pinagua-Chuquimatero" (Espinoza 1974:205).9

Although the name Lake Mohina is still used for the lake in the Lucre Basin, the area and principal city of the Mohina ethnic group is more difficult to define and no

large collection of documents has yet been found to help reconstruct their holdings. The situation is made more

complex by the fact that the Spaniards and later travelers refer to Pikillacta as the "ruins of Mohina" (e.g., Cieza de Le6n 1979:261; Squier 1877:419-422). Possibly, the Mo- hina controlled the area to the south of the lake, opposite the Pinahua-controlled region. It is known that in 1537 Pizarro awarded Paullu Topa Inca Yupanqui the lands of Mohina (Vazquez de Espinosa 1948:551). By the 17th cen-

tury, some of the Mohina had been reduced to the town of

Oropesa, located between the Cuzco and Lucre basins, close to the fortified Late Intermediate Period site of Tip6n (Stavig 1999:92).

Exploratory work in the Lucre Basin (McEwan 1984) indicates that Chokepukio is its largest Late Intermediate Period settlement, suggesting that the Pinahua quickly filled the power vacuum created by Wari withdrawal from the region. Chokepukio certainly was an impressive site during the Late Intermediate Period, with considerable monumental architecture (McEwan et al. 1995). Dated

samples of organic materials (vines) used during the con- struction of these walls (Kendall 1985: 347; McEwan 1987: 227) suggest that their construction may have begun near the time of Wari's collapse and continued throughout the Late Intermediate Period. Although Chokepukio remains one of the best-preserved Late Intermediate Period sites in the Cuzco region, it was not unique. The city of Cuzco was at least as large, while other nucleated sites existed in the Anta and Chinchero regions.

The regional settlement data from the eastern end of the Cuzco Valley illustrate the interactions between the Inca and ethnic groups of the Lucre Basin. As early as the Formative Period (c. 1000 B.C.E.), the stretch of valley be- tween the Cuzco Basin and the Lucre Basin contained nu- merous dispersed settlements located on alluvial terraces and low slopes bordering the rich maize-producing valley bottom. During the Early Intermediate Period and the Middle Horizon, there was an especially large clustering of hamlets and villages around the Huasao area. With the de- cline of Wari influence in the neighboring Lucre Basin, there was a major disruption in the settlement pattern of this area. Most strikingly, all valley-bottom settlements were abandoned in the early Late Intermediate Period, and a single nucleated settlement, Tip6n, was established on a broad ridge, 300 to 400 meters above the valley floor. This Late Intermediate Period settlement and its agricultural lands and water sources were surrounded by an enormous defensive wall, constructed of rough field stones and mud mortar, approximately five meters in height. In other sec- tions, areas of sheer cliffs blocked access to the site. These defensive features of the site run for several kilometers. The site of Tip6n is even more remarkable when one con- siders that, with the exception of the Inca imperial fortress at Sacsayhuaman, this is the only fortified settlement in the Cuzco Valley.

The complete depopulation of the alluvial terraces and valley floor area between the Cuzco Basin and the Lucre

Bauer and Covey * Processes of State Formation 859

Basin represents the establishment of a well-defined buffer zone between two rival polities (Anderson 1994: 39-41; Marcus and Flannery 1996:124-125). The fact that the

only Late Intermediate Period settlement in this valley area is within a large, nucleated fortification further sup- ports the argument that the two regions were important rivals. From this evidence it is clear that the ethnic groups of the Lucre Basin were sufficiently large and well organ- ized to resist Inca attempts to expand from the Cuzco Val-

ley to the east until most of the region was already under the sway of the early Inca state.

The Tip6n area and Lucre Basin did eventually fall un- der Cuzco domination. According to statements from in-

digenous informants, recorded in a C.E. 1571-90 land dis-

pute over fields within Tip6n, this fortified site fell to Viracocha Inca (La Lone 1985), who then transformed it into a royal estate (Garcilaso de la Vega 1966:286) (Figure 9). Our survey data indicate that numerous new Inca sites were established on the low alluvial terraces and valley floor within the buffer zone once it was incorporated un- der Cuzco control. The Huasao area was resettled with mit-

maqkuna (colonists) who were given their own lands, as well as the task of caring for the lands in Tip6n assigned to the cults of Viracocha Inca and that of the Sun (La Lone

1985). Other tracts in the region were given to members of

important Cuzco-based lineages. For example, various documents in the Cuzco archive indicate that the elite of

Chocco, as the descendants of Mama Anahuarqui, the

principal wife of Pachacuti, were awarded land across the

valley from Huasao (Rostworowski de Diez Canseco 1966:34).

INCA STATE FORMATION AND IMPERIAL ADMINISTRATIVE STRATEGIES

The cases discussed above illuminate how the Inca used diverse strategies to consolidate regional power over allies and rivals of varying ethnicity and organizational com-

plexity. The ethnohistory and archaeology of some areas outside of the current Cuzco survey regions suggest that

early Inca conquests were often ad hoc affairs, and that the patchwork nature of the linguistic, ethnic, and politi- cal landscape favored cases of leapfrogging when making conquests (see Mannheim 1991:31-60). For example, 01- lantaytambo (to the northwest) and Huaro (to the south- east) were both separated from Cuzco by regional rivals (the Ayarmaca and the Pinahua, respectively [Espinoza 1974; Rostworowski de Diez Canseco 1970a]), yet they are mentioned as being early allies of the Inca (Cabello Balboa 1951:283; Cobo 1979:115; Guaman Poma de Ayala 1993: 71). The developing Inca polity is likely to have had direct control over, or close alliances with, some groups outside of the Cuzco Valley even before it was completely consoli- dated, a condition documented in other cases of early state formation (see Algaze 1992; Marcus 1992; Sidky 1996; Spencer and Redmond 2001). The transition from state to empire is subtler than as suggested-by the Spanish chronicles, as alliances and hegemonic control were ex- tended beyond the heartland region prior to the full im-

plementation of direct control. The Inca continued their

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FIGURE 9. Inca terracing at the site of Tip6n. The site was developed as an estate by Viracocha Inca after the conquest of the local Mohina and Pinahua polities.

860 American Anthropologist * Vol. 104, No. 3 * September 2002

processes of consolidation throughout the imperial pe- riod, developing new estate lands and continuing to re- duce the autonomy of remaining local ethnic groups.

The full integration of the Inca heartland was an un- even and unstable process, one whose tempo and duration were influenced by the personalities of elite leadership and the military might that could be mustered. The achievements of one leader's rule did not necessarily con- tinue into a successor's reign, and early territorial con-

quests were frequently challenged when new Inca rulers came to power. Even intergroup elite marriages-whose overall goal was to stabilize cross-generational alliances- often broke down between generations, particularly dur-

ing interregna, a problem that was also common at the

provincial level during the imperial period. The numerous rebellions, reconquests, and negotiations that took place between various groups of the region after the death of an Inca leader underscore the importance that individuals

played in extending Inca control throughout the heart- land. In certain cases, powerful allies are even said to have

played important roles in the promotion of specific Cuzco leaders. Both the Ayarmaca and the Huayllacan are said to have blatantly attempted to manipulate dynamic succes- sion in Cuzco, even to the point of assassinating un- wanted contenders to the throne.

The strategy of internal development accompanied by alliance building, intimidation, and isolation of rivals can be seen as part of the Inca imperial strategy as well. Impe- rial Inca expansion was based on the opportunistic ma-

nipulation of local ethnic and political relationships, and in many cases involved several generations of conquest and reintegration and the establishment of more direct ad- ministration of local populations (e.g., the Colla and Lu-

paqa in the Titicaca Basin [Stanish 1997, 2000]). Popula- tion resettlement (see Murra 1985) and the development of natural resources in ways that undercut local identity (Wachtel 1982) are also imperial strategies whose practice is seen in the Late Intermediate Period development of the

early Inca state. Using the Late Intermediate Period settle- ment patterns and historical sources, we can now discern

greater time depth to the development and practice of Inca expansion and administration.

SUMMARY

Many of the strategies that the Inca empire used to incor- porate and administer new territories and ethnic groups were developed between C.E. 1000-1400, when a central- ized state formed in the Cuzco Valley and extended direct territorial control over surrounding regions (Figure 10). Within the Cuzco Valley, population numbers and den- sity increased dramatically, and the productive landscape was transformed in a way that created stable state incomes while undercutting local and individual autonomy. The city of Cuzco developed as an urbanized center with a se- ries of large satellite villages surrounding it. Outside of the valley, powerful rivals included the Pinahua and Mohina

of the Lucre Basin and the Ayarmaca of the Chinchero area, but there were several other polities of varying size scattered across the region. The Paruro area, which was

sparsely populated, saw little direct manipulation of local settlement by the Inca, while the more densely populated Cuyo Basin was reorganized under Inca control, first

through a secondary center established at Pukara Pantilli-

jlla, then at Pisaq. The unification, or in a few cases the successful elimination, of these groups over the course of several centuries resulted in the creation of an Inca heart- land capable of sustaining rapid Inca imperial expansion.

The colonial documents provide differing, and fre-

quently contradictory, accounts of how and when various

groups within the Cuzco region were incorporated into the emerging Inca state. Nevertheless, the chroniclers stress that several different relationships existed between Cuzco

Paruro 60

so50

40

30

20

12345678

17S Sacred Valley so

50

40

30

20

10

01 2 3 4 5 6 7 8 9 10

160 CUZCO Valley

40

20

0 1" 2 3 4 5 6 7 8 50 Site Size (ha.)

FIGURE 10. Settlement hierarchy in the Cuzco region, C.E. 1000- 1400. The Paruro region displays a low population lacking a clear site hierarchy or evidence of a developed administrative center. Settlement in the Vilcanota Valley has small and large villages, as well as the Inca secondary center at Pukara Pantillijlla. The Cuzco Valley was dominated by Cuzco and had a dense population with large and small villages, but no secondary administrative center.

Bauer and Covey * Processes of State Formation 861

and its neighbors. For example, although frequent conflicts occurred between the groups living to the north and west of Cuzco (including the Anta, Ayarmaca, and Huayllacan) these groups were eventually allied through marriage ex-

changes. In the case of the Huayllacan and Ayarmaca, re-

peated attempts to reassert local autonomy ultimately led to military conquest, while the Anta appear to have main- tained more stable alliances that were held together by elite kin ties and external threats.

To the east of Cuzco, alliance formation failed or was never even attempted, possibly because of ethnic or lin-

guistic differences. The Pinahua remained in a nearly con- stant struggle with Cuzco until they were defeated militar-

ily and a large proportion of their population was sent to colonize remote lowland areas. In the region to the south, where numerous small groups had longstanding contact with Cuzco, cultural affiliation with the Inca led to early political incorporation, without evidence of violent con- flicts. It is clear that differences in ethnicity and local po- litical complexity had a major influence on the development of the Inca heartland. The end result of these conflicts, mar-

riages, and alliances was the formation of a complex social and political hierarchy across the Cuzco region that reduced ethnic diversity, political competition, and administrative re-

dundancy to create an Inca heartland capable of expanding to become the largest native empire of the Americas.

BRIAN S. BAUER Department of Anthropology, University of Illinois, Chicago, IL 60607-7139 R. ALAN COVEY Division of Anthropology, American Mu-

seum of Natural History, New York, NY 10024-5192

NOTES Acknowledgments. The Pacariqtambo Archaeological Project was funded by a Fulbright-Hays fellowship, as well as the Organization of American States, and the L. J. Skaggs and Mary C. Skaggs Foun- dation. The Cuzco Valley Archaeological Project was funded by the National Science Foundation, the National Geographic Society, the National Endowment for the Humanities, the John Heinz III Charitable Trust, and the University of Illinois, Chicago. The Sa- cred Valley Archaeological Project was funded by a Fulbright-Hays fellowship and a Wenner-Gren Individual Grant, as well as the University of Michigan Department of Anthropology and a Na- tional Science Foundation Graduate Research Fellowship. All pro- jects benefited greatly from discussions and collaboration with col- leagues in Peru, including Luis Barreda M., Wilbert San Roman L., Alfredo Valencia Z., Wilfredo Yepez A., and other members of the National Institute of Culture and the Universidad Nacional San Antonio Abad del Cuzco. We thank Timothy Earle, Christina El- son, Joyce Marcus, Charles Spencer, Charles Stanish, and an anonymous reviewer for reading and commenting on earlier ver- sions of this article. 1. The period chronology used in this article is based on that de- veloped by Rowe (1960, 1966). To make it of practical use for the Cuzco region, the dates of the periods, originally developed for the prehistoric occupations of the Ica Valley, have been slightly al- tered. Regarding Quechua orthography, we use common spellings for modern place-names and individuals and groups named in the Spanish chronicles (e.g., Cuzco, and not Cusco, Qosqo, or Qusqu). 2. The Pacariqtambo Archaeological Project. 3. The Cuzco Valley Archaeological Project. 4. The Sacred Valley Archaeological Project.

5. Each of the survey projects followed essentially the same meth- odology, modified from that developed by Parsons and Hastings (1977) for regional survey projects in the Andes. Small crews of three to five members covered all passable areas in lines of approxi- mately 50 meters, recording all prehistoric sites. General ceramic collections were made at all sites, and these collections were ana- lyzed in the laboratory. Observations regarding geomorphology, preservation, and site location were recorded on standard forms. 6. Y antes que Inga Roca muriese, hizo amistades con Tocay Capac por medio de Mama Chicya, hija de Tocay Capac, que cas6 con Yaguar Guaca [sic], y Inga Roca di6 otra su hija, Ilamada Curi Oc- cllo, por mujer a Tocay Capac. 7. The site size is somewhat deceptive because the slopes of the mountain below the principal zones of buildings and domestic ter- races are covered with small irregular agricultural terraces that may have included some habitation. 8. Y luego fur- sobre los pueblos de Mohina y Pinagua, Casacancha y Rondocancha, cinco leguas pequefias del Cuzco, que ya se habian puesto en libertad, aunque Yaguar Guaca los habia destruido. Y los asol6 y mat6 a los mas de los naturals y sus cinches, que tambiin en este tiempo se liamaban Muyna Pongo y Guaman Topa. Hizose- les esta Guerra y crueldades, porque decian que eran libres y no le habian de servir, ni ser sus vasallos. 9. En tiempos pasados en el angostura del desaguadero de la laguna de Muyna estaua en el un lado, en unos edificios viejos, un pueblo que se decia Pinagua-Chuquimatero.

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