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Exploring Leadership
Drivers and Blockers
Ian C. Woodward
Samah Shaffakat
Vincent H. Dominé
Exploring Leadership Drivers and Blockers
 Ian C. Woodward • Samah Shaffakat
Vincent H. Dominé

Exploring Leadership
Drivers and Blockers
Ian C. Woodward Samah Shaffakat
Professor of Management Practice Senior Lecturer
INSEAD Liverpool Business School
Asia Campus, Singapore Liverpool, UK

Vincent H. Dominé
Adjunct Professor of Leadership
INSEAD
Fontainebleau, France

ISBN 978-981-13-6275-0    ISBN 978-981-13-6276-7 (eBook)

https://doi.org/10.1007/978-981-13-6276-7

Library of Congress Control Number: 2019934465

© The Editor(s) (if applicable) and The Author(s), under exclusive licence to Springer
Nature Singapore Pte Ltd. 2019
This work is subject to copyright. All rights are solely and exclusively licensed by the
Publisher, whether the whole or part of the material is concerned, specifically the rights of
translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on
microfilms or in any other physical way, and transmission or information storage and retrieval,
electronic adaptation, computer software, or by similar or dissimilar methodology now
known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are
exempt from the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information
in this book are believed to be true and accurate at the date of publication. Neither the pub-
lisher nor the authors or the editors give a warranty, express or implied, with respect to the
material contained herein or for any errors or omissions that may have been made. The
publisher remains neutral with regard to jurisdictional claims in published maps and institu-
tional affiliations.

Cover Image: © Science Photo Library / Alamy Stock Photo

This Palgrave Macmillan imprint is published by the registered company Springer Nature
Singapore Pte Ltd.
The registered company address is: 152 Beach Road, #21-­01/04 Gateway East, Singapore
189721, Singapore
Keywords Leadership development • Self-awareness • Conscious and
unconscious • Drivers • Blockers • Drivers and blockers • Immunity to
change • Insightfully aware leadership • Leadership transformation •
Individual change • Leadership development objectives • Coaching
approaches and tools
 Preface

The three of us share a commitment to helping leaders to achieve transfor-

mation and become the “best version” of themselves that they can imag-
ine. Through our leadership development research, teaching and coaching
work over the past decade, we have become increasingly interested in
examining ways to accelerate leadership development change and to
increase levels of profound self-awareness.
So, our book—Exploring Leadership Drivers and Blockers—is a multi-­
author monograph, presenting research on one area that we have seen as
increasingly important in our leadership development and change support
mission. This is the idea of exploring both conscious and unconscious
drivers and blockers related to a leader’s development objectives and their
personal change or leadership transformation efforts.
In the book, we argue that exploring drivers and blockers is a prerequi-
site to enhanced and profound levels of self-awareness. Drivers are those
“assumptions” and “forces” in people that create, promote and power
activity, as well as give impetus and desire to personal change action.
Drivers guide and sustain objectives and goal-directed behaviors. Blockers,
on the other hand, are those “assumptions” and “forces” in us that
obstruct and impede by screening out, or standing in the way, of making
change—even when we are consciously or rationally determined or com-
mitted to making an important personal change.
Drivers and blockers are powerful forces, yet previous research has
largely focused on the role of either drivers or blockers, not integrating the
two to consider that the same factor can be both a driver and a blocker for
different people and in different contexts. Our research makes that

vii
viii PREFACE

c­ onnection and integration, employing a systems psychodynamic perspec-

tive and drawing upon well-established conceptual frameworks (such as
Intentional Change Theory and positive psychology).
In particular, we acknowledge that the most important foundation for
our research is the work of Robert Kegan and Lisa Lahey (2001a, 2009),
whose groundbreaking research on understanding “immunity to change”
and “competing commitments” exemplifies a deep understanding of poten-
tial blockers in leaders’ change efforts. Their work has made an extremely
significant contribution to leadership development research, practice and
coaching during the past decade and half, and will continue to do so.

What Is This Book About?

Our book is designed to encapsulate and synthesize the relevant academic
literature relating to drivers and blockers; share our own research includ-
ing field research examples; and provide leadership development scholars
and practitioners (such as leadership faculty, coaches and consultants) with
concrete approaches and practical material to help explore drivers and
blockers. Throughout the book, we show more than 40 examples of driv-
ers and blockers from our field research—including four complete mini
case studies—to illuminate the concepts. There is also a copy of our
“Drivers and Blockers Exploration Tool” for use or adaptation. We have
used that surfacing tool and exploration method with more than 2000
global executives in the past five years.
Throughout the book, we argue that allowing a person to explore both
the conscious and unconscious sources and attributes of their drivers and
blockers deepens awareness, creates profound insights and increases the
chances that meaningful change can occur in the leader’s development.
We also note the complementarity of the concept of exploring drivers and
blockers to a wide range of leadership development approaches including
adaptive leadership and personalization, as well as to emotional intelli-
gence. The book also highlights that exploring drivers and blockers in and
of itself does not constitute integrated leadership development—rather, it
is aimed at increasing profound self-awareness. To be meaningful and
actionable, exploring drivers and blockers should be part of a well-designed
and integrated leadership development approach that includes feedback,
reflection, practice, coaching/mentoring and a support system—all
designed to help an individual develop themselves and achieve their
desired transformational change over time.
 PREFACE ix

Acknowledgments and Information

This book progressively developed in its research and writing across the
period 2013–2018. The work began when we were all involved at
INSEAD—the Business School for the World. We acknowledge the sig-
nificant assistance in review of the ideas and concepts in this book by a
range of current and former INSEAD faculty, including Professors
Herminia Ibarra, Eric Uhlmann, Schon Beechler and Narayan Pant.
We also express our gratitude for the review assistance given by Professor
Tatiana Bachkirova of Oxford Brookes University (whose work on devel-
opmental coaching is extensively cited in our work) and Professor Elizabeth
A. More (of the Australian Institute of Management).
During our working time on the book, we were able to provide an ear-
lier draft of our work for reference to Dr. Lisa Lahey of the Harvard
Graduate School of Education (whose work on Immunity to Change with
Robert Kegan is one of the main academic foundations for our work).
Very importantly, we are extremely appreciative of the feedback on
exploring drivers and blockers we received from so many INSEAD and
other executive program participants and their dedicated coaches (such as
Els Valk and Kavitha Iyer—the INSEAD Advanced Management Program
coaching directors) as they worked with the concept of drivers and block-
ers. Program participant and coach feedback contributed strongly to our
research. We also acknowledge the numerous examples of exploring driv-
ers and blockers drawn from participants in our programs and coaching
work that we have cited throughout the book as anonymized examples.
We acknowledge the permission from British poet William Ayot to
reprint one of his poems as a final reflection in the book. We are also thank-
ful for the assistance of Dr. Archana Das Goveravaram at INSEAD, with
some of the specialist research editorial work. We are grateful for the edito-
rial work and support of Karthiga Ramu at Springer Nature; as well as to the
editorial leaders and staff, including Vishal Daryanomel, the editor, Political
Sciences and Business/Economics for Palgrave Macmillan at Springer
Nature, who encouraged us in this project and saw it through to completion.
The drivers and blockers information in the book and its exploration
tool are presented for reference and use by scholars and practitioners in
the field of leadership development, including faculty, coaches and ­training
consultants. We are providing permission for anyone interested in using
the tool to do so (see Sect. 10.7). We recognize that our work covers a
wide range of research and literature sources—and there are active schol-
x PREFACE

arly debates in many of the areas we raise. So, comments and insights from
scholars and practitioners on using the book’s concepts and exploration
tool will be warmly welcomed—as we will be continuing our work (appli-
cation and research) on drivers and blockers well into the future. We have
all found that exploring drivers and blockers together has led to profound
and invaluable insights for leaders trying to create an actionable agenda of
transformational change in their leadership development.

Pebble Bay, Singapore Ian C. Woodward

Liverpool, UK Samah Shaffakat
Fontainebleau, France Vincent H. Dominé
November 2018

For information: “Drivers and Blockers Exploration Tool”. Access to the

tool questions and methodology is found in Sect. 10.8. It is also avail-
able with information about the Drivers and Blockers concepts at: www.
driversandblockers.com.

References
Kegan, R., & Lahey, L. (2001a). The real reason people won’t change. Harvard
Business Review, 79(10), 85–92.
Kegan, R., & Lahey, L. (2009). Immunity to change: How to overcome it and
unlock the potential in yourself and in your organization. Boston: Harvard
Business Press.
 Contents

1 Introduction  1
1.1 What Are Drivers and Blockers?  3
1.2 Overview of the Chapters  4

2 Profound Self-Awareness and the Need to Explore

Drivers and Blockers  9
2.1 Adult Mind Development Stages and the “Immunity to
Change” Process 13
2.1.1 Adult Mind Development and Stages 14
2.1.2 The “Immunity to Change” Process 17

3 Exploring the Reservoirs of Drivers and Blockers:

Conscious and Unconscious Selves 21
3.1 The Role of Conscious and Unconscious Mind, Mini-selves
and Possible-Selves 22
3.2 The Conscious and Unconscious Mind 22
3.3 Ego and Mini-selves 25
3.4 Possible-Selves and Identity 27

xi
xii CONTENTS

4 Exploring the Reservoirs of Drivers and Blockers

(Conscious and Unconscious): Worldviews and
Emotions 31
4.1 Worldviews 31
4.2 Emotions 34
4.2.1 Emotions in Our Lives 35
4.2.2 Emotions and Change 36

5 Exploring the Reservoirs of Drivers and Blockers

(Conscious and Unconscious): Big Five Personality Traits 41
5.1 Personality Traits: The Five Factor Model 42

6 Exploring the Reservoirs of Drivers and Blockers

(Conscious and Unconscious): Other Personality Traits
and Characteristics 51
6.1 Self-Esteem 51
6.2 Locus of Control  54
6.3 Self-Efficacy  55
6.4 Positive and Negative Affectivity  57
6.5 Risk Aversion  58
6.6 Tolerance for Ambiguity  59
6.7 Other Potential Areas Related to Drivers and Blockers 60

7 Exploring the Reservoirs of Drivers and Blockers

(Conscious and Unconscious): Values and Motivators 63
7.1 Values  63
7.2 Extrinsic and Intrinsic Motivators  65
7.3 Summary of the Reservoirs and Sources of Drivers and
Blockers 69

8 Uncovering, Understanding, Unleashing, Overcoming:

Exploring Drivers and Blockers in Leadership
Development Practice 71
8.1 The “Drivers and Blockers Exploration Tool”  71
8.2 Drivers and Blockers Exploration in Action: The Case of
Jennifer 77
8.3 Integrating Drivers and Blockers Exploration with
Leadership Development 86
 CONTENTS xiii

9 Conclusion and Opportunities for Further Research and

Application 89
9.1 Afterword: Drivers and Blockers: A Final Reflection 92

10 Appendices 95
10.1 Appendix 1: List of Participant Field Research Examples
Demonstrating Drivers and Blockers 95
10.2 Appendix 2: “Orders of Mind” (Adapted from Kegan,
1994 and Additional Sources as Cited)100
10.3 Appendix 3: Overcoming Immunity to Change—Kegan
and Lahey’s (2009) Four Column “Immunity Map”—
Information Overview102
10.4 Appendix 4: System 1 and System 2—Automatic and
Controlled Mind105
10.5 Appendix 5: Comparing Five Factor NEO-P (Big Five)
with MBTI105
10.6 Appendix 6: Summary Description of Various Reservoirs
and Sources of Drivers and Blockers107
10.7 Appendix 7: Drivers and Blockers Exploration Tool for
Use and Adaptation113
10.8 Appendix 8: Drivers and Blockers Exploration Tool—
Mini Case Study Full Research Examples117
10.8.1 Example A: Stefanie—Female—Chief
Operating Officer, Energy Company117
10.8.2 Example B: Markus—Male—Chief Executive
Officer, Regional Consumer Retail Company124
10.8.3 Example C: John—Male—Chief Operating
Officer, Transport Company130
10.9 Appendix 9: Potential Relationship of Exploring Drivers
and Blockers with a Selection of Leadership and
Development Theories, Models, Frames and Approaches134

References139

Author Index159

Subject Index161
 List of Figures

Fig. 2.1 Intentional change theory process. (Adapted from Boyatzis

(2006))11
Fig. 7.1 Motivation matrix. (Derived and adapted from Herzberg
(1959), Ryan & Deci (2000) and Taylor (2012)) 67
Fig. 7.2 Reservoir: conscious and unconscious sources of drivers and
blockers70
Fig. 8.1 Drivers and blockers exploration tool overview (2018).
(Published with kind permission of the authors © I.C.
Woodward, S. Shaffakat and V.H. Dominé (2018). All Rights
Reserved. Section 10.7 provides the full tool, its steps and its
questions)73
Fig. 8.2 Insightfully aware leadership development framework (2017).
(Published with kind permission of the author © I.C. Woodward
(2017). All Rights Reserved) 87
Fig. 10.1 Drivers and blockers exploration tool (2018 version) (The
“Drivers and Blockers Exploration Tool” (2018) is published
with kind permission of the authors © I.C. Woodward,
S. Shaffakat and V.H. Dominé (2018). All Rights Reserved.
The authors also provide that this tool may be copied or
disseminated with source attribution, citation and
acknowledgement for legitimate use by leadership development
researchers and practitioners) 113

xv
 List of Tables

Table 5.1 Big Five personality traits—drivers and blockers examples from
our research 43
Table 8.1 Leadership development application example of the drivers and
blockers exploration process Mini case example—Jennifer—
female—chief financial officer, Specialist Financial Services
Firm Development objective explored: lack of active listening
with impatience in interactions with others 78

xvii
 CHAPTER 1

Introduction

Until you make the unconscious conscious, it will direct your life and
you will call it fate.
Carl Gustav Jung

Despite good intentions, prioritizing and promising to change,1 leaders

often fail to achieve their personal or professional development objectives,
and the changes they desire. Drawing upon academic research, executive
development practices and our field research, we advocate an approach to
deepen self-awareness, combined with a more integrated development
process, that together offer a better chance of accomplishing the develop-
ment objectives leaders set for themselves. Like other scholars (e.g. Allen
& Hartman, 2008; Collingwood, 2001; Hall, 2004; Mayo, Kakarika,
Pastor, & Brutus, 2012; Petriglieri, Wood, & Petriglieri, 2011; Yammarino
& Atwater, 1993), we see self-awareness as the critical underpinning of
effective leadership development.
We argue that profound levels of self-awareness (part of what might be
called a leader’s “insightful awareness” of self, others, context and

1
Change here refers to any change which is “adaptive” (Heifetz et al., 2009) and involves
“the challenge of developing the whole person” (Boyatzis et al., 2002, p. 151) at an intrap-
ersonal level. We note that there is also an extensive literature on organizational change and
resistance that is neither the focus of our research studies nor the findings presented in this
book.

© The Author(s) 2019 1

I. C. Woodward et al., Exploring Leadership Drivers and Blockers,
https://doi.org/10.1007/978-981-13-6276-7_1
2 I. C. WOODWARD ET AL.

­ urpose2) (Woodward & Shaffakat, 2016) can be achieved when leaders

p
understand the influence of conscious and unconscious forces that could
promote or impede their efforts to change. It is the psychodynamic
approach that most consistently emphasizes the role of these forces as
major hurdles to an individual’s development (Lee, 2010). Our research
reviews these different psychological forces—which we call drivers and
blockers—in depth. We promote a leadership development approach that
includes exploring and understanding drivers and blockers to deepen lead-
ers’ self-awareness and help them take actions for change. Insights from
this deeper level of self-awareness are then integrated into the overall
development activities platform for that leader, and supported by other
development initiatives such as reflection, coaching, feedback and a change
support system.
Derived from our literature review and field research, we also provide
a tool developed for exploring drivers and blockers designed to help
leaders (and development practitioners) uncover and turn these to
advantage. We found that the “Drivers and Blockers Exploration Tool”
is an effective diagnostic tool involving a surfacing and discovery process
for leaders. The tool helps them seek insights for change or transforma-
tion as part of a scenario-building approach and assists them to envision
a better future, recasting their situation in a positive light by overcoming
potential blockers. By putting a positive spin on their situation, leaders
can leverage their drivers to their advantage. Likewise, the tool helps
leaders envision situations where blockers can be used as opportunities—
turning them into drivers (transforming weaknesses into strengths), as
well as avoiding situations where drivers become counterproduc-
tive blockers.

2
For further information on the construct of “insightfully aware leaders” and “insightful
awareness”, readers can access some online content from Professor Ian C. Woodward at:

• https://knowledge.insead.edu/blog/insead-blog/leadership-is-a-journey-not-a-
destination-7581
• https://knowledge.insead.edu/blog/insead-blog/the-three-altitudes-of-
leadership-7541
• TEDx Talk on the “Altitudes of Leadership”: https://www.youtube.com/
watch?v=tEGcPExBl_8
 INTRODUCTION 3

1.1   What Are Drivers and Blockers?

Drivers are those “assumptions” and “forces” in individuals that create
and power activity and give impetus and desire to their actions. These
assumptions and forces initiate, guide and sustain people’s objectives and
goal-directed behaviors. Blockers, on the other hand, are those assump-
tions and forces in people that obstruct making a change by screening out,
or standing in the way of change, even when individuals are consciously or
rationally determined to make a change. So, in making any change in our-
selves, we are waging an unknown war—essentially a competition between
our different conscious and unconscious facets—and this conflict presents
both a dilemma and an opportunity for an individual’s development.
We note that previous research in this field has largely focused on
exploring the role of either the drivers or blockers but has paid limited
attention to how the same factors can act as both drivers and blockers,
which we address in our research. Following Aspinwall & Staudinger
(2003), we believe that “…a psychology of human strengths should not
be the study of how negative experience [or factors*] may be avoided or
ignored, but rather how positive and negative experience [or factors*]
may be inter-related” (pp. 14–15)—hence leading us to explore the com-
bination of exploring drivers and blockers.
This combination of looking at both the positive and negative factors
or drivers and blockers is also hinted at in the work on executive derail-
ment by McCall (2009) where he argues that “people can and do change
in profound ways, even to the point of rewiring the brain, and therefore
can develop new strengths as well as correct perceived weaknesses” (p. 44).
McCall (2009) is also critical of the assumption that “a strength is a
strength is a strength” (p. 44) and that weaknesses can be ignored because
an individual’s strength is adequate enough to compensate for his or her
shortcomings, or because an individual can steer clear of situations where
his or her dark side can lead to serious problems. With a change in situa-
tion or context, individuals may require different strengths to sustain suc-
cess. In addition, strengths can be overexploited and used ineffectively in
situations which don’t require them, or they can turn into flaws in situa-
tions that need different strengths (McCall, 2009). The same holds true
for drivers, as well as for blockers that can disguise themselves as drivers.
These drivers and blockers and their underlying assumptions and forces
arise from different factors (which we call reservoirs or sources), such as
4 I. C. WOODWARD ET AL.

worldviews, emotions, personality traits and dispositional variables, as well

as values and motivators which shape and are shaped by our experiences.
We argue that allowing a person to explore both the conscious and uncon-
scious sides and attributes of these drivers and blockers deepens awareness,
creates profound insights and increases the chances that meaningful
change can occur.

1.2   Overview of the Chapters

In Chap. 2, we address the relationship of self-awareness to leadership
development, and the interrelationship of drivers and blockers. Using a
systems psychodynamic approach, we also build upon different pedagogi-
cal and psychological approaches such as Boyatzis’s (2006) “Intentional
Change Theory”, “Positive Psychology and Positive Leadership” (Diener,
2000; Peterson, 2000; Seligman, 1998a, 1998b; Snyder, 2000),
Bachkirova’s (2011) “developmental coaching” as well as Kegan (1994)
and Kegan & Lahey’s (2001a) work on “adult mind development stages”
and the “immunity to change” process, respectively. Kegan and Lahey’s
work provides the largest foundation for grounding our work on drivers
and blockers.
Across Chaps. 3, 4, 5, 6, and 7, we then present our literature review of
the reservoirs and sources of conscious and unconscious drivers and block-
ers, which informs and underpins the “Drivers and Blockers Exploration
Tool”. In this review, we also present relevant and directly related exam-
ples from our own research and field work3 to demonstrate the efficacy of
the concept of exploring different drivers and blockers such as mini-selves,
possible-selves, worldviews, emotions, the Big Five personality traits, dis-
positional variables, values, and extrinsic and intrinsic motivators.
Understanding there are different kinds of drivers and blockers is a first
step in making decisions on one’s personal developmental objective.
Exploring the drivers and blockers allows the leader to examine their
assumptions, forces and whether possible change outcomes would meet

3
Between 2013 and 2018, as part of our field research, we included aspects of exploring
drivers, blockers or both, in different leadership development programs and coaching or
training activities covering more than 2000 executive and senior executive level leaders. All
the examples used in this book are drawn from this field research. To maintain confidentiality,
the real names of the participants have not been used—and other information has been
highly anonymized and disguised. All of our driver and blocker examples are listed in a cross-
referenced summary table in Sect. 10.1.
 INTRODUCTION 5

personal blocking resistance or experience personal drive support. It

­promotes introspection about the ways an individual’s intrapersonal and
idiosyncratic aspects impact their approach toward change and develop-
ment. The primary purpose of the exploration is to increase profound
self-­awareness and enable people to overcome their personal barriers, tap
into personal drivers and bring about the required transformation as part
of an integrated leadership development process.
In Chap. 8, we present the “Drivers and Blockers Exploration Tool”
based on our literature review and our leadership development research,
practice and experience. The tool uses a progressive surfacing method that
discovers and places these forces at the center of enabling change, by
drawing on the psychodynamic approach. It is based on increasing aware-
ness of the structure and nature of different assumptions and forces (i.e.
drivers and blockers) that foster or limit the way someone views them-
selves, and the context, thereby reconstructing this structure to allow for
a more complete and comprehensive inclusion of experiences and acting
on these new insights. The “Drivers and Blockers Exploration Tool”, in
particular blockers exploration, is an extension of Kegan & Lahey’s (2009)
four-column exercise on immunity to change and Boyatzis’s (2006)
Intentional Change Theory, and incorporates further concepts from the
range of integrated leadership development approaches cited throughout
the book, together with the outcomes of our field research. Numerous
examples are shown throughout the book of those undertaking the drivers
and blockers exploration exercise (four full examples are provided as mini
case studies in Chap. 8 and Sect. 10.8).
Exploring drivers and blockers in and of itself does not constitute inte-
grated leadership development. Rather, it is aimed at increasing profound
self-awareness. To be meaningful, and actionable, such exploration should
be part of a well-designed leadership development approach that includes
feedback, reflection, practice and a support system—all designed to help
an individual progressively develop themselves and achieve transforma-
tional change. In this regard, we also give the example of an “Insightfully
Aware Leadership Development Framework” that incorporates the explora-
tion of drivers and blockers within an integrated leadership develop-
ment approach.
Chapter 9 posits opportunities for additional research and pedagogical
deployment in leadership development, as well as our conclusions.
Appendices are also provided to amplify relevant information and con-
cepts covered in the book.
6 I. C. WOODWARD ET AL.

Our work contributes to the literature in various ways. First, it adds to

our understanding of the intrapersonal facet of leadership development,
which is considered crucial in conceptual scholarship (Ibarra & Petriglieri,
2010; Mayo et al., 2012; Petriglieri et al., 2011; Shamir & Eilam, 2005),
yet has received less attention in research. Second, literature on the devel-
opment of self-awareness of leadership competencies is scant (Mayo et al.,
2012). Recognizing how various drivers and blockers influence an indi-
vidual’s approach toward change and development may suggest ways to
increase self-awareness and accelerate personal leadership growth. For
example, readers with interests in areas such as personality or motivation
may find our research examples relating drivers and blockers to the Big
Five personality characteristics as well as values, extrinsic and intrinsic
motivation particularly interesting.
Last, we develop and provide a “Drivers and Blockers Exploration
Tool” which we see as offering a dual approach of exploring hidden change
blockers and then focusing on possible change drivers. Although we rec-
ognize that more research in different contexts is needed to test our work
further, we advocate that leadership development programs and coaching
interventions which encourage profound self-awareness may change
potential blockers held by many executives into drivers that promote per-
sonal learning and development. Throughout the book, we connect our
work to leadership transformation efforts, and interrelate exploring drivers
and blockers to a range of leadership development methods, as well as
coaching approaches and tools.
To set the scene, and bring the drivers and blockers concept into focus,
we will share one example of a senior executive leader, named Olivia,4 who
undertook the exploration of drivers and blockers as part of her leadership
development work in 2017.
Olivia heads the marketing function in a global cosmetic company. She is
extremely passionate and knowledgeable about her company and the trends
in the personal care industry, in general. Although she holds a strong track
record in her field, she is known to overdominate conversations within the
corporate leadership team. She mentions, “I seem to always take up a lot of
airtime”. This view was also echoed in some of the feedback she received
from her peers: “Even though you think you are providing oxygen and
energy to the discussion, what you are actually doing is crowding everybody
else out”. As part of a major leadership development program, Olivia high-
lighted this issue as her most important leadership development objective.
4
An example from our research (see Sect. 10.1, Example 42).
 INTRODUCTION 7

She had previously, and unsuccessfully, tried to constrain herself but

found it very frustrating. However, after exploring her drivers and block-
ers, a clearer pathway to change emerged, and she became much more
self-aware. She described her behaviors as “always talking first; always talk-
ing last; interrupting people; and sometimes even suddenly standing up
when she got over excited about an idea”.
Olivia is a strong extrovert, the trait which makes her communication
approach expressive and visual. While displaying confidence, she describes
herself “as somewhat of an insecure overachiever”, which she believes is
marked by “lot of self-doubt and fairly low self-esteem”. She holds the
belief that “if you want to get ahead and make your mark, you must always
be heard”. All these factors are acting as blockers to her change effort.
After becoming aware of these factors, she decides it is time to confront
and overcome these.
Olivia holds very strong values related to collaboration and teaming. In
addition, she is personally motivated by learning. By thinking more deeply
about these characteristics, she is determined to increase her own level of
listening, making sure others get heard first and reducing her “airtime”.
To help with it, she has asked two of her colleagues to act in the moment
in meetings with her—signaling if her “airtime” is getting too long or
loud (which she described as receiving a “yellow card”). These new behav-
iors she reasons would make the collaboration better—and the listening
could be an act of learning. Furthermore, she has a high level of conscien-
tiousness in her personality profile. She cares about doing an outstanding
job and contributing to the company and its future. As such, she believes
that if she’s more engaging with other business area leaders, then she
would be working toward achieving collaborative business outcomes
across the whole company.
By surfacing these positive attributes, she taps into these as drivers to
support her change efforts. After thinking about her drivers and blockers,
she decides to also build her change support system. To help with that, she
decides to get an experienced mentor, who in comparison to her is quieter
and a better listener and displays collaborative gravitas in their approach to
engaging with others. She thinks she needs a role model to reinforce the
drivers, and that her mentor could help with it.
At the time of writing, Olivia had received very positive feedback on her
“airtime” problem and how much progress she’s made. She mentions, “It
has also helped my own team seem more collaborative with other divi-
sions. I have been given a couple of yellow cards, but I have not jumped
8 I. C. WOODWARD ET AL.

up to talk once this year. Now I need to do more reflection and work on
building my sense of confidence and self-comfort”.
We hope that the chapters ahead encourage the reader to examine both
the “why” and “how” of exploring drivers and blockers, and its potential
to assist in deepening self-awareness and support change efforts in leader-
ship development.
 CHAPTER 2

Profound Self-Awareness and the Need

to Explore Drivers and Blockers

When you meet someone better than yourself, turn your thoughts to
becoming that person’s equal. When you meet someone not as good as
you are, look within and examine your own self.
Confucius

Developing self-awareness is a critical and fundamental aspect of leader-

ship development and growth. It is labeled as “leadership’s first command-
ment” (Collingwood, 2001, p. 8). According to Goleman (2004),
self-awareness involves an in-depth understanding of one’s values, emo-
tions, goals, strengths, weaknesses, needs and drives. Self-awareness is fun-
damental to the concept of “insightful awareness”, which includes a
profound understanding of one’s “strengths, weaknesses, drivers and
blockers”. Personal self-exploration to make ourselves more aware can
help us become more open to change. Indeed, the development “process
of personalization” itself strengthens ability in self-awareness, where learn-
ing “helps to integrate past, present, and future; cognitive and emotional;
personal and professional aspects of the individual’s life” (Petriglieri et al.,
2011, p. 445). We argue that exploring drivers and blockers (such as using
the surfacing tool we propose) constitutes part of the personalization pro-
cess, one that is set in the context or situation and is related to specific
development objectives.

© The Author(s) 2019 9

I. C. Woodward et al., Exploring Leadership Drivers and Blockers,
https://doi.org/10.1007/978-981-13-6276-7_2
10 I. C. WOODWARD ET AL.

The drivers and blockers exploration approach builds on a systems psy-

chodynamic perspective (French & Vince, 1999; Petriglieri & Stein,
2012), which addresses the organizational and social phenomenon by
combining open systems and psychodynamic theories (Menzies, 1960;
Miller & Rice, 1967) and is considered very effective for studying “change
journeys” of individuals (Woodman & Dewett, 2004). Such a perspective
is based on the assumption that the self contains contradictory and diverse
elements, and attempts to explain how the tensions between these selves
are understood and managed, socially as well as intrapsychically (Gabriel,
1999). As such, it is well suited to look deeply into the different elements
of personal development. By focusing on conscious and unconscious fac-
tors, this approach can help explain aspects of individual change problems
which otherwise might have been neglected. The conscious realization of
these factors helps an individual to avoid misleading himself or herself into
an image of who they are “that feeds on itself, becomes self-perpetuating,
and eventually may become dysfunctional” (Goleman, 1985) as seen in
Boyatzis (2006, p. 614).
For most people, understanding these elements and becoming com-
fortable including them as part of one’s self-will should represent signifi-
cant personal discovery and development. This notion is shared by Boyatzis
& McKee (2006), who believe that, “part of the challenge of creating and
sustaining excellent leadership is to recognize, manage, and even direct
one’s own process of learning and change”. Managing one’s own develop-
ment, on the other hand, requires increasing self-awareness and making
sound choices about the courses of action needed to improve efficacy as
well as to accomplish the changes desired. Having worked with large num-
bers of leaders, we see that there are significant consequences for individu-
als, teams and organizations, where leaders do not possess sufficient
self-awareness. These unaware leaders usually have a surplus of blind spots
that are negatively affecting their interactions and behaviors. Consequently,
they can wreak havoc, inflict damage and demoralize others. Demotivated
and fearful workforces with low productivity and engagement are the
result. This is one reason that accelerating and deepening self-awareness
by exploring drivers and blockers is so important to help achieve change.
According to Boyatzis’s (2006) “Intentional Change Theory” (ICT),
the change process comprises a series of “discoveries”, which work as a
continuous cycle in bringing about sustainable and long-lasting change in
individuals. This series of steps includes an understanding of one’s “ideal
 PROFOUND SELF-AWARENESS AND THE NEED TO EXPLORE DRIVERS… 11

self”,1 that is, what one wants to be; the “real self”2 and how it stands next
to one’s “ideal self”, leading to an evaluation of one’s strengths and weak-
nesses; a learning and development agenda; testing out and engaging
one’s new behaviors, perceptions and actions; and enduring and resonant
relationships that help one to live, analyze and interpret each “discovery”
as it happens. Critical to all these steps is the capacity to increase aware-
ness, receive feedback and support, as well as apply continuous learning
from experience. This is graphically represented below by adding in the
exploration of drivers and blockers to the ICT frame (see Fig. 2.1).
Consistent with the Boyatzis (2006) approach, we contend that this
interlinking sequence of “discoveries”, which can lead to sustainable
change in individuals, involves developing insightful awareness, which
helps a person identify and understand the different “forces” in operation

Fig. 2.1 Intentional change theory process. (Adapted from Boyatzis (2006))

1
This refers to the self we want to be. It is the psychological element of self, which is to
some extent conscious and to some extent unconscious and is different for different individu-
als (Boyatzis & Akrivou, 2006).
2
An individual’s actual behavior (Boyatzis & Akrivou, 2006).
12 I. C. WOODWARD ET AL.

in themselves. In other words, it involves uncovering and understanding

the “assumptions” and “forces” which influence or act as the drivers and
blockers; overcoming the blockers, which might create conflict,
­competition and change incoherence; and unleashing the drivers to sup-
port the changes desired.
The idea of exploring both drivers and blockers and not just blockers
also draws from the field of positive psychology, which follows that, “what
is good about life is as genuine as what is bad and therefore deserves equal
attention” (Peterson & Seligman, 2004, p. 4). The movement is led by
Seligman (1998a, 1998b) and other psychologists (e.g. Ed Diener (2000),
Christopher Peterson (2000) and Rick Snyder (2000)), who argue for a
need to focus on strengths and adaptability in people, rather than continu-
ing on the path of looking into and fixing negatives or weaknesses. Scholars
(e.g. Luthans, 2002) contend that in organizational behavior studies,
negatives (such as resistance, burnout and stress) have received much
more attention than positives.
Positive psychology, although more researched than so-called feel-­
good perspectives (promoted in popular media), has received criticism
from a number of scholars (e.g. Held, 2004; Krippner, Pitchford, &
Davies, 2012). For example, Barbara Held (2004) maintains that the the-
ory is self-contradictory in its presentation and construction. For her,
some scholars of the positive psychology movement disregard the notions
or perspectives that oppose the positive psychology’s dominant message,
being negativity about negativity itself and negativity about the wrong kind
of positivity (p. 9). Positive psychology has also been criticized for its fail-
ure to adequately identify the vital roles of “negative” emotions (Krippner
et al., 2012).
However, like Aspinwall & Staudinger (2003), we believe that “a psy-
chology of human strengths should not be the study of how negative
experience [or factors*] may be avoided or ignored, but rather how posi-
tive and negative experience [or factors*] may be inter-related”
(pp. 14–15)—hence the combination of exploring drivers and blockers.
Since drivers are beneficial, individuals can develop as many of them as
they are able; however, not all drivers might serve equally well. Sometimes
drivers can be over-used or become peripheral; drivers in combination
with some blockers may be harmless in some situations and detrimental in
others. Some blockers may also be drivers, not easy to assess or to change;
however, the risk here is that they may be seen as the very drivers that are
suggested for people to draw on in their everyday work.
 PROFOUND SELF-AWARENESS AND THE NEED TO EXPLORE DRIVERS… 13

Identifying both drivers and blockers and their combinations can help
an individual to understand the complex interactions between these, as
well as how these are relative and situationally determined. This is also
hinted at in the work of McCall (2009) on executive derailment, in which
he questions the notion that strengths are always strengths or that weak-
nesses can be ignored. McCall (2009) sees people as a farrago of strengths
and weaknesses, and knowing and understanding their strengths and
weaknesses necessitates studying combinations of both of these in specific
situations.
For example, the “Drivers and Blockers Exploration Tool”, in particu-
lar, acts as a structured surfacing method for people to engage in becom-
ing aware of the forces sitting behind strengths and weaknesses. This
constitutes a step toward emancipation—the significance of changing an
individual’s structure of assumptions and forces that contribute to his or
her way of thinking and interpreting. Bringing about this “insightful
awareness” contributes to thinking and practice in leadership develop-
ment by: increasing understanding of why changing behavior is not a sim-
ple process; uncovering the reasons as to why accomplishing the desired
change does not follow the path that one might prefer and opening the
mind to positive drivers to support the change desired.
Profound self-awareness is even more relevant for leaders attempting to
navigate the modern world and create sense and meaning. This so-called
D-VUCAD3 world of disruption, volatility, uncertainty, complexity, ambi-
guity and diversity presents challenges and opportunities for business and
for personal, team and talent development, as well as for the need to
develop new mindsets, capabilities and leadership approaches or seek
innovation or lead major change. For example, see Beechler and Woodward
(2009); Woodward and Shaffakat (2017).

2.1   Adult Mind Development Stages

and the “Immunity to Change” Process

Although there are a number of adult development theories proposed in

the literature, such as by Kegan (1982), Loevinger (1976, 1987) and
Torbert (1991), to give a reasonable focus for our research work, we con-
centrated on Kegan’s (1982) adult mind development theory, which

3
“D-VUCAD” as a construct of contemporary business context is described in: https://
knowledge.insead.edu/blog/insead-blog/leadership-is-a-journey-not-a-destination-7581
14 I. C. WOODWARD ET AL.

provides a strong foundation for arguments we propose later in the book.

We also provide a description of Kegan & Lahey’s (2001a) “immunity to
change” process, which built on these authors’ work on adult mind
­development. The emphasis here is on exploring the inner and intrinsic
self, which paradoxically is a place of both great innovation and those dark
and susceptible areas of self, which people prefer not to expose
(Chuck 2007).
Predicated on Ronald Heifetz’s theory that elucidates the important
distinction between “technical4” and “adaptive5” problems, Kegan &
Lahey (2009) contend that certain individual change problems are “adap-
tive” in nature and necessitate developing bigger or transforming mind-
sets. In other words, we have to adapt so as to learn how to solve complex
change challenges. Kegan and Lahey developed a process that evolved
from merely “diagnosing” immunities to change to “overcoming” immu-
nities to change, thereby fulfilling both objectives simultaneously (p. xii).
The “immunity to change” process helps in exposing “hidden” commit-
ments and the assumptions behind them. This understanding then
enhances mental complexity, transforming mindsets from subject to
object. Furthermore, the ability to change the individual’s mindset and
move it to a more effective and more advanced level is as a critical strength
to address difficult adaptive problems (Kegan & Lahey, 2009).

2.1.1  Adult Mind Development and Stages

The idea behind transformation or knowing is epistemological change,
not just change in the behavioral pattern (Kegan, 2000). In other words,
what someone does is not to just construct or change their meanings but
rather change the very form of the meaning-making system, that is, their
epistemologies.6

4
Technical problems are the problems that are very mechanical and require quick and easy
fixes (Heifetz, 1994).
5
Adaptive problems, on the other hand, have no straightforward solution or quick fixes
available. These problems necessitate a transformation in beliefs, ideologies, values and ways
of working (Heifetz, 1994).
6
The concept of meaning-making is different to that of sense-making (Weick, 1995)
which is seen as more “automatic and immediate” (van den Heuvel, Demerouti, Schreurs,
Bakker, & Schaufeli, 2009, p. 511). van den Heuvel et al. (2009) further see meaning-
making as a “psychological process of in-depth, internal exploration of an issue of concern”
(p. 511).
 PROFOUND SELF-AWARENESS AND THE NEED TO EXPLORE DRIVERS… 15

Kegan’s “meaning-forming/making” framework sets forth five qualita-

tively different levels or “orders of mind” after early childhood (Kegan,
1982, 1994). These “orders of mind” are principles for the organization
of an individual’s thinking, emotions and relating to others rather than the
content of an individual’s thinking, emotions and relating to others (Kegan,
1994). Each level or order of mind involves “looking at” (object) a para-
digm, which in the previous level one could only manage to “look
through” (subject), that is, the subject/object relation is core to these
levels or orders. In other words, it means we can have a more objective
view when we advance to high orders, and as such are not trapped in our
own “frame”.
Drath (1990) explains the role of subject and object through the exam-
ple of “cultural blindness”:

We see with our culture-bound norms and expectations, accept them as

given, and cannot examine them for what they are – that is, we cannot see
through them. Our cultural heritage is something we are, not something we
have. The culture holds us; we are embedded in it and cannot rise above it.
A cognitive development shift, however, is possible when we become aware
of culturally determined differences and the distance they create from oth-
ers. Such understanding could make cultural influences an Object, opening
up new ways of seeing ourselves and of relating to others. (1990, p. 48)

The first two orders of mind, that is, “impulsive mind” and “instru-
mental mind”, relate to the significant developments that take place dur-
ing childhood and as such will not be discussed here. The majority of
adults engage in “meaning-making” between the third level (i.e. “social-
ized mind”) and the fourth (i.e. “self-authoring mind”), and only a small
fraction of adults advance to the fifth level (i.e. “self-transforming mind”)
(Kegan, 1994; Torbert et al., 2004). A detailed overview of these three
adult higher “orders of mind” (socialized mind, self-authoring mind and
self-­transforming mind) is provided in Sect. 10.2.
Each level of mental complexity in the three “orders of mind” is more
sophisticated than the previous level, since it can accomplish the mental
activity of the previous level, as well as additional functions. So, the higher
level of mental complexity is more advanced and surpasses the lower level
in performance (Kegan & Lahey, 2009). For example, in exercising lead-
ership, scholars (e.g. Helsing & Howell, 2014; Kegan, 1994; McAuliffe,
2006; Rooke & Torbert, 1998) argue that leaders, with advanced levels of
Another random document with
no related content on Scribd:
course, with considerable elaborations which by no means promote the
correctness, however much the beauty of aspect is improved.

Ancient Mexico. Taken from an Edition of the Letters of Cortés

Published at Luxemburg A.D. m.d.xx.viii.
Very similar to this is the view given in some of Solis’ editions, that of Antwerp,
1704, for instance, wherein is also found a view of Mexico with its surrounding
towns, as Cuitlahuac, Iztapalapan, and others, all grouped closely together within
the main lake! A native plan of the capital, said to have been given by Montezuma
to Cortés, accords little with Spanish descriptions, and is difficult to understand
from its peculiar outline, illustrated with Aztec hieroglyphics. Alaman doubts its
origin and correctness. See Prescott’s Mex. (Mex. ed. 1844), ii. 157. A good copy
of it is given in Carbajal Espinosa, Hist. Mex., ii. 221.
The view in Libro di Benedetto Bordone, Nel qual si ragiona de tutte l’Isole del
mondo, Vinegia, 1528, 73 leaves, is accompanied by an interesting description of
La gran citta di Temistitan, remarkable from being perhaps the first sketch of any
value given in a cosmographic work. It occupies the greater part of folios vi. to x.,
devoted to the terra da Ferdinando Cortese. Five more folios describe the West
Indies and Venezuela region, the only portions of America known to Bordone
when he wrote his book. It was completed in 1521, according to its pontifical
license, although not issued till 1528. The versatile author, who figured both as
artist and professor, died in 1531, and the later issues of the Libro, henceforth
called Isolario, are by editors whose endeavor to keep apace with the demands of
the times is instanced by the edition of 1537, wherein appears a letter on the
conquest of Peru. In the mappemonde of the first edition before me, the smaller
northern part of the new continent is called terra del laboratore, while the southern
part bears the inscription ponẽti môdo nouo. The two are separated at the
Isthmus, in about the latitude of the Mediterranean, by a long strait, at the eastern
mouth of which, on the sectional map of folio vi., is written, stretto pte del mõdo
nouo. Farther east lie the islands Astores, Asmaide, and Brasil. The numerous
sectional wood-cut maps and plans bear the conventional outline of a series of
concave segments, and of the ten referring to different parts of the new world,
seven apply to the Antilles.
The clearest account of Mexico given by any of the conquerors is to be found
in Relatione d’alcvne cose della Nuoua Spagna, & della gran città di Temistitan
Messico, fatta per vn gentil’huomo del Signor Fernando Cortese, wherein the
description of the natives, their manners and customs, their towns, the resources
of the country, and above all, the capital city, is to be found in concise form,
arranged in paragraphs with appropriate headings, and illustrated by a cut of the
great temple, which appears far more correct than those given by most
subsequent writers. A view of the capital is also appended, showing the
surrounding country, and according very nearly with those of the Nuremberg type,
except in the faulty relative position to the neighborhood. Nothing is known of the
author, who is generally referred to as the Anonymous Conqueror, but the opinion
has been hazarded that he was Francisco de Terrazas, mayordomo of Cortés. His
account was evidently written in Spanish, but did not see the light till Ramusio
issued it in Italian under the above title. It forms one of the most valuable
documents for the history of Mexico to be found in this prized collection of voyages
and travels, the first large work of its class. No branch of literature obtained a
greater stimulus from the discovery of Columbus. He it was who broke the barrier
which had confined the ardor of voyagers, and who led the revival of maritime
enterprise, creating a curiosity among the stayers-at-home that could be satiated
only with repeated editions of narratives relating to expeditions and conquests.
The number of these narratives became, within a few years, so large as to require
their grouping into special collections for the sake of cheapness and convenience.
The earliest is probably the Paesi Nouamente retrouati, Et Nouo Mondo da
Alberico Vesputio; By Fracanzo or Fracanzano da Montalboddo, Vicenza, 1507,
mentioned by Tiraboschi, Storia della literatura italiana. This was reproduced in
1508 by Madrignani, at Milan. According to Panzer, Ruchamer issued the same
year a somewhat fuller collection at Nuremberg, under the title of Newe
Unbekanthe landte Und eine Newe weldte, with eight pieces, among them the
voyages of Columbus, Ojeda, Pinzon, and Vespucci. A similar work was issued by
the Italian Angiolelo, in 1519.
The best known of these early collections, and by many regarded as the first
issued in German, is the Novus Orbis Regionvm ac Insolarvm Veteribvs
Incognitarvm; Basileæ apvd Io Hervagivm, Mense Martio, anno M.D.XXXII., 4to,
584 pages, beside unnumbered leaves. ‘La plus ancienne de ces (Latin)
collections,’ says Boucher, Bibl. Univ., i. 55. Although prepared by John Huttich,
the canon of Strasbourg, it is better known under the name of Simon Grynæus,
who wrote the introductory and revised it at the request of Hervagius, the
publisher, a well known bookman, greatly esteemed by Erasmus. Meusel, Bibl.
Hist., iii. pt. i. 221, gives it with punctilious fairness the title of Collectio Huttichio-
Grynæo-Hervagiana, while others apply only the middle name or the last two. The
attribution to Grynæus is greatly due to his fame as a reformer, as the personal
friend of Luther and Calvin, as the discoverer of Livy’s lost books, and as the first
of a long line of scholars celebrated under that name. It is an excellently printed
volume, with quaint head-pieces, and containing as it does so many papers of
which the original editions are now lost, the collection must be esteemed of great
value. The nineteen pieces of original contributions, journals, and borrowed
accounts, include the voyages of Columbus, Alonso, and Pinzon from Madrignani;
Alberici Vesputij nauigationum epitome, and nauigationes IIII.; and Petri Martyris
de insulis. The other narratives relate to Asia, to the Levant, and to Russia. With
some copies is found a mappemonde, but the only genuine one, according to
Harrisse, 294, bears the inscription Terra de Cuba, in the northern part of the new
world, and in the south, Parias, Canibali America Terra Nova, Prisilia, with the
word Asia in large type. Among the several editions the German of 1534, by Herr,
is rarer than the above original, while the Dutch of 1563, by Ablijn, is the most
complete.
After Huttich the voyage collections increased rapidly in number and size, till
they reached the fine specimen of Ramusio, forming not only the first large work of
this class, but, for a long time, the most extensive which bears on America.
Harrisse, 457, very justly observes that ‘the publication of Ramusio’s Raccolta
may be said to open an era in the literary history of Voyages and Navigation.
Instead of accounts carelessly copied and translated from previous collections,
perpetuating errors and anachronisms, we find in this work original narrations
judiciously selected, carefully printed, and enriched with notices which betray the
hand of a scholar of great critical acumen.’ The first issue appeared as Primo
Volvme Delle Navigationi et Viaggi. In Venetia appresso gli heredi di Lvcantonio
Givnti, 1550, folio, 405 leaves. ‘Les Juntes (le) publièrent ... sous la direction de
Jean-Baptiste Ramusio.’ Camus, Mém. Coll. Voy., 7. Neither in this, nor in the third
volume, issued in 1553, nor in the second edition of the first volume, 1554, does
the name of Giambatista Ramusio, Rannusio, or Rhamusio, appear as author, and
it is only in the second volume that the publisher, Tommaso Giunti, resolves to set
aside the modesty of his friend, and to place his name upon the title-page. The
publication of this volume had been delayed till 1559, owing to the death of the
author and to the burning of the printing establishment.
In the preface Giunti refers to the close friendship between them, and extols
Ramusio as a learned man, who had served in foreign countries, acquiring in this
way a perfect knowledge of French and Spanish. He had long been a devoted
student of history and geography, inspired to some extent by the travels of his
uncle, the celebrated Doctor Girolamo Ramusio. As secretary to the powerful
Venetian Council ‘de Signori Dieci,’ he was in a position to maintain
correspondence with such men as Oviedo, Cabot, Cardinal Bembo, and others,
part of which is to be found in Lettere di XIII. Huomini illustri, Venetia, 1565. All this
served him in the formation of the great work upon which he labored during the
last 34 years of his life. He died at Padua, July 10, 1557, 72 years of age.
The first volume relates chiefly to Asia and Africa, but contains Lettere due
and Sommario by Vespucci, and four papers on Spanish and Portuguese
circumnavigation. The contents of the set have been somewhat changed and
increased during the several republications, but the best editions are those of
1588, 1583, and 1565, for the first, second, and third volume respectively. Vol. ii.
of this set relates chiefly to Asia, but is of interest to American students for its
narrative of the much doubted voyages of the brothers Zeno. Its small size
indicates the loss it sustained by the events above referred to. ‘Et nõ vi
marauigliate, se riguardando gli altri due, non uedrete questo Secõdo volume, si
pieno & copioso di scrittori, come il Ramusio già s’haueua pposto di fare, che la
morte ui s’interpose.’ ii. 2.
The third volume is entirely devoted to America, and contains all the most
valuable documents known up to the time of its first issue, such as the relations of
Martyr, Oviedo, Cortés, and his contemporaries in Mexico, Pizarro, Verazzano,
Carthier, the Relation di Nvnno di Gvsman, in several parts, and the valuable
Relatione per vn gentil’huomo del Signor Fernando Cortese. The volume begins
with a learned discourse by Ramusio on ancient knowledge of a land to the west,
and of causes leading to the discovery. At the end of the 1565 edition is a map of
America, showing Lower California as a wide peninsula, and Terra del Fuego
joined to the land of the Circolo Antartico. The comparative crudeness of the
wood-cuts and maps has not made the work much esteemed by collectors, but its
value even now, for reference, is unquestioned. The set was dedicated to
Hieronimo Fracastoro, the great poet and physician, born mouthless, yet so
eloquent. Scaliger, Aræ Fracastoreæ. At the end of the Discorso sopra Perv, iii.
371, Ramusio says: ‘Et questa narratione con breuità habbiamo voluto discorrere
per satisfattione de i lettori, laquale piu distintamente legeranno nel quarto
volume.’ According to Fontanini, Bibl., 274, the material for this volume lay
prepared in manuscript, only to perish in the disastrous fire of November, 1557.
[459] It is still one of the main roads, known under Spanish dominion as Calzada
de Iztapalapan, now as S. Antonio Abad.

[460] Cortés names the well built Mexicaltzinco, Niciaca, and Huchilohuchico (now
Churubusco), to which he gives respectively 3000, 6000, and 4000 to 5000
families. Cartas, 83-4. Gomara, Hist. Mex., 99, names Coioacan instead of
Niciaca, and this change is generally accepted, for the latter name is probably a
mistake by the copyist or printer. Peter Martyr, dec. v. cap. iii.

[461] ‘Mandò que vn Indio en lengua Mexicana, fuesse pregonando que nadie se
atrauessasse por el camino, sino queria ser luego muerto.’ Herrera, dec. ii. lib. vii.
cap. v.

[462] Also referred to as Fort Xoloc. ‘En donde hoy la garita de San Antonio Abad,’
says Ramirez, in Prescott (ed. Mex. 1845), ii. 104.

[463] Herrera, who is usually moderate, swells the figure to 4000.

[464] The avenue is now called el Rastro. The suburb here bore the name of
Huitzitlan. ‘Vitzillan que es cabe el hospital de la Concepcion.’ Sahagun, Hist.
Conq., 23. At Tocititlan, says Duran, Hist. Ind., MS., ii. 439. ‘Junto de la Hermita de
San Anton.’ Torquemada, i. 450. ‘Segun una antigua tradicion conservada en el
hospital de Jesus, el punto en que le encontró fué frente á éste, y por recuerdo del
suceso se hizo la fundacion en aquel parage.’ Alaman, Disert., i. 103; and
Ramirez, note in Prescott (ed. Mex. 1845), ii. 103. The previous authorities
indicate, however, that the meeting took place farther from the centre of the city.

[465] Chimalpain mentions among others Tetlepanquezatl, king of Tlacopan,

Yzquauhtzin Tlacochcalcatl, lord or lieutenant of Tlatelulco, captain-general
Atlixcatzin, son of Ahuitzatl, and Tepehuatzin, son of Titotzin. Hist. Conq., 125.
Sahagun differs slightly in the names. Hist. Conq., 24-5.

[466] For dress, see Native Races, ii. 178 et seq. Cortés gives sandals only to
Montezuma, but it appears that persons of royal blood were allowed to retain them
before the emperor, as Ixtlilxochitl also affirms. Hist. Chich., 295; Oviedo, iii. 500;
Purchas, His Pilgrimes, iv. 1121.

[467] ‘Cenzeño ... y el rostro algo largo, è alegre.’ Bernal Diaz, Hist. Verdad., 67.
‘Motecçuma quiere dezir hõbre sañudo y graue.’ Gomara, Hist. Mex., 103; Acosta,
Hist. Ind., 502-3. It is from this, probably, that so many describe him as serious in
expression. A number of portraits have been given of the monarch, differing
greatly from one another. The best known is Prescott’s, taken from the painting for
a long time owned by the Condes de Miravalle, the descendants of Montezuma;
but this lacks the Indian type, and partakes too much of the ideal. Clavigero’s,
Storia Mess., iii. 8, appears more like him, though it is too small and too roughly
sketched to convey a clear outline. Far better is the half-size representation
prefixed to Linati, Costumes, which indeed corresponds very well with the text
description. The face in Armin, Alte Mex., 104, indicates a coarse Aztec warrior,
and that in Montanus, Nieuwe Weereld, 244-5, an African prince, while the native
picture, as given in Carbajal Espinosa, Hist. Mex., ii. 6, is purely conventional. The
text description, based chiefly on Bernal Diaz, is not inappropriate to the weak,
vacillating character of the monarch. Clavigero makes him nearly 54 years old,
and Brasseur de Bourbourg 51; but 40, as Bernal Diaz calls him, appears to be
more correct.

[468] ‘Ellos y él ficieron asimismo ceremonia de besar la tierra.’ Cortés, Cartas,

85.

[469] ‘De margaritas y diamantes de vidrio.’ Id. ‘Que se dizen margagitas.’ Bernal
Diaz, Hist. Verdad., 65.

[470] Solis assumes that Cortés was repelled when he sought to place the
necklace on Montezuma. The latter chides the jealous princes, and permits him.
Hist. Mex., i. 370. ‘Pareceme que el Cortès ... le daua la mano derecha, y el
Monteçuma no la quiso, è se la diò â Cortès.’ Bernal Diaz, Hist. Verdad., 65. This
phrase, which applies equally to offering the right hand, has been so understood
by those who notice it; but as this would be confusing, Vetancurt, for instance,
assumes improbably that Marina offers her right hand to Montezuma, which he
disregards, giving his instead to Cortés. Teatro Mex., pt. iii. 129.

[471] Cortés, Cartas, 85. Ixtlilxochitl has it that Cacama was left with him; and
Bernal Diaz, that the lord of Coyuhuacan also remained. According to Cortés,
Montezuma accompanied him all the way to the quarters in the city, keeping a few
steps before. Gomara and Herrera follow this version. But Bernal Diaz states
explicitly that he left the Spaniards to follow, allowing the people an opportunity to
gaze; and Ixtlilxochitl assumes that he goes in order to be ready to receive him at
the quarters. Hist. Chich., 295. It is not probable that Montezuma would expose
himself to the inconvenience of walking so far back, since this involved
troublesome ceremonies, as we have seen, not only to himself but to the
procession, and interfered with the people who had come forth to gaze. The native
records state that Montezuma at once surrendered to Cortés the throne and city.
‘Y se fueron ambos juntos á la par para las casas reales.’ Sahagun, Hist. Conq.,
23-4. Leading Cortés into the Tozi hermitage, at the place of meeting, he made the
nobles bring presents and tender allegiance, while he accepted also the faith.
Duran, Hist. Ind., MS., ii. 440-1.

[472] About 6000 in all. ‘Nosotros aun no llegauamos á 450 soldados.’ Bernal
Diaz, Hist. Verdad., 65. Prescott places the number at about 350.
[473] According to Sahagun not a soul was to be seen, either upon the causeway
or along the streets, the people having taken this manner to express their
indignation at the semi-forcible entry of the Spaniards. Montezuma came to
receive them purely out of a feeling of humanity. Startled at this solitude, Cortés
fears dangers, and vows, if all goes well, to build a church. This was the origin,
says Bustamante, of the Hospital de Jesus. Sahagun, Hist. Conq. (ed. Mex. 1840),
79-84. See note 12, this chapter. Brasseur de Bourbourg accepts this view. Hist.
Nat. Civ., iv. 212-13. Still Sahagun describes the interview with Cortés as most
cordial. He is in fact contradictory, and it is evident that the order issued to the
people to keep the narrow causeway clear, and the etiquette which required them
to give way to the emperor, have been hastily interpreted by the chronicler into
‘deserted streets’ and ‘popular indignation.’ Had the citizens objected to receive
the strangers, the bridges could have been raised against them.

[474] ‘Au coin de la rue del Indio triste et de celle de Tacuba,’ says Humboldt,
Vues, i. 58, prudently, without attempting to give its extent. Ramirez and Carbajal
do so, however, and in allowing it about the same length as the temple inclosure,
they place it right across the eastern avenue of the city, which like the other three
is admitted to have terminated at one of the temple gates. Carbajal Espinosa, Hist.
Mex., ii. 222; Ramirez, notes in Prescott’s Mex. (ed. Mex. 1845), ii. app. 103.
‘Donde hoy las Casas de el Marqués del Valle,’ says Lorenzana, in Cortés, Hist.
N. Esp., 86, a statement disputed by later writers. Prescott quotes Humboldt, but
evidently does not understand him, for he places the palace ‘facing the western
gate,’ which is not only on the wrong side, but across the western avenue. Mex., ii.
79. ‘Adonde ... tenia el gran Monteçuma sus grandes adoratorios de idolos ... nos
lleuaron á aposentar á aquella casa por causa, que como nos llamauã Teules, é
por tales nos tenian, que estuuiessemos entre sus idolos.’ Bernal Diaz, Hist.
Verdad., 66. The idea of being regarded as a god seems to have pleased the old
soldier immensely.

[475] They doubtless formed a double necklace, with gold setting and pendants.
Cortés writes that on the way to the palace Montezuma halted to place them round
his neck. Cartas, 85; Gomara, Hist. Mex., 100-1; Sahagun, Hist. Conq., 23.

[476] ‘A throne of gold,’ is Peter Martyr’s briefer yet grander term. dec. v. cap. iii.

[477] Hist. Verdad., 65-6; Herrera, dec. ii. lib. vii. cap. v.; Sahagun, Hist. Conq., 25-
6.

[478] Bernal Diaz states that the emperor always addressed him as Malinche, and,
indeed, it was common among Mexicans to address persons by a name given
them in later life in connection with some peculiarity, deed, or incident. Hence
Cortés, as master of the prominent female interpreter, received a name implying
that relationship.
[479] For which see Native Races.

[480] Cortés, Cartas, 86. This is in substance the speech of Montezuma, as given
by native as well as Spanish records; yet it appears improbable that the emperor
should have been so ready, at the first interview, and in presence of his courtiers,
to humble himself so completely before a few strangers whom he regarded as
mortals. See note 19. ‘Myself, my wife and children, my house, and all that I
possess, are at your disposal,’ says the Spaniard, even in our day, to the guest
whom he wishes to impress with his hospitality. Perhaps Montezuma was equally
profuse with hollow words, which have been recorded as veritable offers.

[481] Cortés, Cartas, 86-7. Bernal Diaz introduces this paragraph during the next
interview.

[482] Id. ‘Á cada vno de nuestros Capitanes diò cositas de oro, y tres cargas de
mantas de labores ricas de plumas, y entre todos los soldados tambien nos diò á
cada vno á dos cargas de mantas.’ Bernal Diaz, Hist. Verdad., 66; Gomara, Hist.
Mex., 101-2; Peter Martyr, dec. v. cap. iii.; Duran, Hist. Ind., MS., ii. 441-2;
Herrera, dec. ii. lib. vii. cap. vi.; Torquemada, i. 452-3; Ixtlilxochitl, Hist. Chich.,
296; Peralta, Not. Hist., 107-8. Acosta implies that Cortés now reconciled the
Tlascaltecs with the Aztecs. Hist. Ind., 521.

[483] ‘Eramos hermanos en el amor, y amistad, é personas mui principales,’ is the

way Bernal Diaz expresses it. Hist. Verdad., 66.

[484] Gomara, Hist. Mex., 102-3. ‘Los haçia proveer luego, assi de mugeres de
serviçio, como de cama, é les daba á cada uno una joya que pessaba hasta diez
pessos de oro.’ Oviedo, iii. 500-1.

[485] Vetancvrt, Teatro Mex., pt. iii. 129. Sahagun, followed by Acosta, Brasseur
de Bourbourg, and others, states that the artillery was discharged at night to
startle the natives. Hist. Conq. (ed. 1840), 85.

[486] It is so depicted in the old Nuremberg view of the city, already referred to.
Ramirez, Carbajal Espinosa, and Alaman give the extent, and the latter enters into
quite a lengthy account of its situation with respect to present and former outlines
of the quarter. Disert., ii. 202, etc.; Carbajal Espinosa, Hist. Mex., ii. 221-2;
Ramirez, notes in Prescott’s Mex. (ed. Mex. 1845), ii. app. 103. Humboldt places it
opposite the southern half of the western temple side, Essai Pol., i. 190, but that
site is assigned by all the above historians to the old palace of Montezuma, so
called—not the Axayacatl where Cortés was quartered. The mistake is probably
owing to his ignorance of the fact that the residence of the Cortés family stood first
on the site of the new palace of Montezuma, whence it was moved to that of the
old palace when the government bought the former.
[487] The Spaniards were also ‘costretti a scalzarsi, ed a coprirsi gli abiti sfarzosi
con vesti grossolane,’ says Clavigero, Storia Mess., iii. 83, but that is unlikely.

[488] ‘Con esto cumplimos, por ser el primer toque.’ Bernal Diaz, Hist. Verdad.,
67.

[489] ‘Â nosotros los soldados nos diò á cada vno dos collares de oro, que valdria
cada collar diez pesos, è dos cargas de mantas.’ The rest went to their officers. Id.
 CHAPTER XVII.
CAPTURE OF THE EMPEROR.

November, 1519.

Cortés Inspects the City—Visits the Temple with Montezuma—Discovery

of Buried Treasure—Pretended Evidences of Treachery—Cortés
Plans a Dark Deed—Preparations for the Seizure of Montezuma—With
a Few Men Cortés Enters the Audience-Chamber of the King—
Persuasive Discourse—With Gentle Force Montezuma is Induced to
Enter the Lion’s Den.

Cortés failed not to make diligent inquiries and examinations into

the approaches, strength, and topography of the city, but he longed
for a view from one of the great temples which, rising high above all
other edifices, would enable him to verify his observations. He also
desired to obtain a closer insight into the resources of the place.
With these objects he sent to Montezuma for permission to make a
tour through the town to the Tlatelulco market and temple.[490] This
was granted; and attended by the cavalry and most of the soldiers,
all fully armed, Cortés set out for that suburb, guided by a number of
caciques. It was here that the largest market-place in the city was
situated.[491]
From this centre of trade the Spaniards proceeded to the lofty
temple, which occupied one end of the Tlatelulco market-place,[492]
and whither Montezuma had already gone to prepare for their
reception, and to propitiate the idols for the intrusion by prayers and
sacrifices. He hoped, no doubt, that his presence would prove a
check upon the impulsive hands and tongues of the guests.
Dismounting at the gate, the riders advanced with most of the
soldiers through the temple court, and climbed the one hundred and
more steps which led to the summit. Some priests and chiefs had
been sent by Montezuma to assist Cortés to ascend, but he
preferred to trust to himself. This pyramid, unlike that in Mexico
proper, appears to have had but one continuous stair-way leading up
the western slope.[493] The first sight which met the Spaniards on
reaching the summit was the sacrificial cage for holding victims, and
a large snake-skin drum, whose sombre tones gave appropriate
effect to the horrible rites enacted around it.
Montezuma came out of one of the chapels to welcome them,
expressing a fear that they must have been fatigued by the ascent,
but Cortés hastened to assure him that Spaniards never tired.
Calling their attention to the view here afforded of the city and its
surroundings, he stood silent for a while to let the beauteous vision
work its own enchantment. Around on every side spread the lake
and its connecting waters, bordered with prairies and fields. Forests
and towns intermingled on the green carpet, and extended far away
till they disappeared in the shadows of the hills. The soldiers
recognized the settlements and towns which they had passed, and
saw the causeways which on three sides connected with the
mainland. Beneath them lay a vast expanse of terraced roofs,
intersected by streets and canals teeming with passengers and
canoes. Here and there rose palatial edifices and towering temples,
interspersed with open squares, and with gardens shaded by trees
and relieved by the silvery jets of the fountain. At their feet lay the
market through which they had just passed, alive with busy
Lilliputians, whose talk and cries reached their ears in a confused
murmur. Cortés could not fail to be impressed by scenes so varied
and so attractive, but the æsthetic aspect was in him speedily
overshadowed by the practical sense of the military leader. Then
rose on high his soul as he thought to secure for Spain so rich an
inheritance as the great city with its vast population, and turning to
Father Olmedo he suggested that the site ought to be obtained for a
church; but the prudent friar remonstrated that the emperor
appeared to be in no mood to listen to such a proposal.
Cortés accordingly contented himself with asking to see the
idols, and after consulting the priests Montezuma led them past the
piscina with the vestal fire into the chapel. Withdrawing a tasselled
curtain he displayed the images, glittering with ornaments of gold
and precious stones, which at first drew the attention of the
beholders from the hideous form and features. Before them stood
the stone of sacrifice, still reeking with gore, and around lay the
instruments for securing the human victim and for tearing open the
breast. On one altar could be seen three hearts, and on the other
five, offered to the idols, and even now warm and palpitating with life.
The interior walls were so smeared with human blood as to obscure
their original color, and to emit a fetid odor which made the
Spaniards glad to reach the open air again.
Forgetting his prudence, Cortés expressed his wonder to
Montezuma that so great and wise a prince should worship
abominable demons like these. “Let me but plant a cross on this
summit,” he said, “and within the chapel place an image of the virgin,
and you shall behold the fear of the idols.” The eyes of the priests
were at this aflame with anger, and the emperor could hardly
suppress his indignation as he replied, “Malinche, had I suspected
that such insults were to be offered, I would not have shown you my
gods. They are good; they give us health, sustenance, victory, and
whatever we require. We adore them, and to them make our
sacrifices. I entreat you say not another word against them.”
Observing the effect his remarks had produced, Cortés thought it
best to restrain himself, and to express regrets at his hastiness.
Then with a forced smile he said that it was time to depart.
Montezuma bade them farewell. As for himself, he must remain to
appease the idols for the insult offered.[494]
Not at all abashed by his rebuff at the temple, Cortés asked
Montezuma to let him erect a church in his own quarters. Glad
probably at finding the Spanish pretensions in this respect so
modified, he not only assented, but gave artisans to aid in the work.
This was concluded within three days, and services henceforth held
therein, at which the Indians were always welcomed. A cross was
also erected before the entrance, so that the natives might be
impressed by the devotion of their visitors.
This effort in behalf of the faith was not to go unrequited. While
looking for the best site for the altar, says Bernal Diaz, Yañez, the
carpenter, discovered signs of a door-way recently closed and
plastered over. Cortés was told of this, and ever on the guard against
plots, he ordered the wall to be opened. Aladdin on entering the cave
could not have been more surprised than the Spaniards were on
stepping into the chamber there revealed. The interior fairly blazed
with treasures; bars of gold were there, nuggets large and small,
figures, implements, and jewelry of the same metal; and then the
silver, the rare bejewelled and embroidered fabrics, the prized
chalchiuite and other precious stones! Cortés allowed the favored
beholders to revel in the ecstasy created by the sight, but to their
greed he set a check. He had reasons for not disturbing the
treasures at this time, and gave orders to restore the wall, so that no
suspicions might be aroused that the deposit had been discovered.
[495]

One reason with Cortés for not touching the treasures was to
hold out an alluring bait to those who, more prone to listen to the
warnings of timid allies than to the ambitious promptings of their
leader, were ever ready to take alarm and urge withdrawal from a
position which they regarded as dangerous. Unbending in his
resolution, the general had nevertheless grasped all the perils of
their position. Hitherto no firm ground existed for alarm. They had
been a week in the capital, and were still receiving from all hands the
kindest treatment and the most generous hospitality. Cortés was
aware, however, that this depended on the favor of the emperor,
whose power over the submissive people resembled that of a god,
and whose person appeared to them as sacred as his will was
absolute. He had also learned that this monarch was a man
affrighted by his superstitions, and often influenced by trifling
circumstances; ready to strike where he had fawned the moment
before, and little bound by words or pledges, particularly when they
involved his own sovereignty. One misstep by the Spanish leader or
any of his men, ill-behaved and importunate as they were, according
to his own statement, might precipitate the change. The presence of
the hated Tlascaltecs was itself a burden, and the drain for
supporting the self-invited guests would soon be felt. The religious
topic had already created a momentary irritation, which might rankle
and grow under the promptings of the priests, who must naturally
object to rival interference.
Emperor and subjects were evidently restrained only by the
military prestige of the Spaniards, and to some extent by the belief in
their divine mission; but they were also aware that, whatever might
be the prowess of the visitors and the power of their weapons and
steeds, they were mortals, for this had been proved quite lately by
the unfortunate defeat of Escalante, and in the Nautla campaign.
The soldiers of Montezuma had but to raise the bridges of the
causeways and cut off retreat, then stop supplies and reduce them
by starvation. True, there was the fate of Cholula before the
Mexicans; but they had gained experience, and could mass vastly
more warriors and arms, while the Spaniards would have no allies in
reserve to operate in the rear. Besides, what mattered the
destruction of a part, or even of the entire city, when thereupon
depended the safety of the throne, menaced by a horde of cruel,
avaricious monsters!
Cortés had considered all these points, and knew the
expediency of resolute action. He had undertaken an enterprise
wherein one bold move must be supported by another, and to these
all means had to be subordinate. He had not come all this way to
place himself within the power of a suspicious and vacillating despot,
nor to waste his time in waiting for what events might bring forth,
while his enemies, headed by Velazquez, were arranging for his
overthrow. He had formed his plans long beforehand, as indicated in
his first letter to the king, wherein he promised to have the great
Montezuma “a prisoner, a corpse, or a subject to the royal crown of
your Majesty.”[496] Conquest, followed by settlement and conversion,
was his aim. It would not pay him to play for a smaller stake.
Just now rumors began to circulate tending to stir anew the fears
which Montezuma’s friendly and hospitable demeanor had soothed.
One was that the nobles had actually prevailed on the emperor to
break the bridges, to arm the whole city, and to fall on the Spaniards
with all available strength.[497] Soldiers were readily found who
fancied that the mayordomo was less obsequious than formerly, and
that he gave scantier supplies. It was also understood from
Tlascaltecs that the populace appeared less friendly during the last
day or two. These reports may have sprung wholly from timid minds
still agitated by the warnings uttered by Tlascaltecs before the
departure from Cholula, or they may have been promoted by Cortés
himself in furtherance of his plans. He at any rate seized the
pretence to hold a council, composed of Alvarado, Leon, Ordaz, and
Sandoval, together with twelve soldiers whose advice he most
valued, “including myself,” says Bernal Diaz. His chief reason was to
persuade them of the necessity for the measure he had resolved on,
and to win their hearty coöperation. Laying before them the current
rumors which confirmed the warnings formerly received, and
representing the unreliable and suspicious character of Montezuma,
his great power, and the peculiar position and strength of the city, he
concluded by proposing the daring venture of seizing the emperor
and holding him a hostage.[498]
Here was folly run mad! Four hundred men, after penetrating
formidable barriers and gaining the very heart of a great empire,
whose vast armies could oppose a thousand warriors to every
Spaniard there, coolly propose to take captive the worshipped
monarch of this vast realm, and then to defy its millions of subjects!
The wildest tales of mediæval knights hardly equal this project.
Reckless as was the conception, it was the fruit of yet greater
audacity. Cortés reared his structure of folly insensate upon the
platform of still greater insensate folly. If it was true that he had
practically placed himself in the position of a captive, then he would
cut the knot by capturing the captor. And yet, foolhardy as might
appear the scheme when coolly viewed from the isle of Cuba,
situated as the Spaniards were, it was doubtless the best they could
do; it was doubtless all they could do. The efficiency of hostages had
been frequently tried by the conquerors in the Antilles, and the
opportune seizure of the Cempoalan lord had not been forgotten; but
this had been effected under the impulse of the moment, while the
chieftain was surrounded by Spaniards. Here was required not only
a calm resolution, unflinching to the end, but a well laid stratagem.
Cortés stood prepared with both.
Producing the letter from Villa Rica, which had been kept secret
all this time, he gave an account of the unfortunate successes at
Almería, describing in exaggerated terms the treachery of
Quauhpopoca, and consequently of Montezuma as his master, and
stirring the feelings of the council by an appeal to avenge their
comrades.[499] Here was a pretence[500] which served also to set
aside the suggestion that the emperor would be only too glad to let
them depart in peace, for it was argued that a retreat now, since the
Spaniards stood revealed as mortals, would draw upon them not
only the contempt of allies and countrymen, but a general uprising,
with the most fatal results. Retreat meant also the surrender of all
hopes of wealth, preferment, and honor, to be followed by
punishment and disgrace for their irregular proceedings so far. With
Montezuma in their power, they possessed a hostage whose
sacredness in the eyes of his subjects insured their safety, and made
the people pliable to their will, while disaffected vassals could be
secured by alliances, or by the promise of reforms. Should the
seizure result in the monarch’s death, the succession would
doubtless become the cause of division and dissension, in the midst
of which the Spaniards might influence affairs in their own interest.
Thus were answered the various objections raised.
As for the manner of seizure, the safest plan would doubtless be
to inveigle Montezuma to their quarters and there detain him; but this
would cause delay, and might arouse suspicion,[501] and, since
prompt action was considered necessary, the best way would be to
seize him in his own palace. This was agreed upon, and the same
evening the facts and arguments were effectively presented to the
men and preparations made.
“All night,” writes Bernal Diaz, “we passed in earnest prayer, the
priests devoutly imploring God to so direct the undertaking that it
might redound to his holy service.”[502]
In the morning Cortés sent to announce that he would visit the
emperor. He then despatched a number of small parties as if for a
stroll, with orders to keep themselves in and near the palace, and on
the way to it, ready for any emergency. Twenty-five soldiers were
told to follow him, by twos and threes, into the audience-chamber,
whither he preceded them with Alvarado, Sandoval, Velazquez de
Leon, Francisco de Lugo, and Ávila.[503] All were armed to the teeth,
[504]and as the Mexicans had been accustomed to see them thus
equipped no suspicions were aroused. Montezuma proved on this
occasion to be particularly gracious, and after a brief chat he offered
several presents of finely wrought gold, and to Cortés he presented
one of his daughters, the captains being given women of rank from
his own harem, which was a mark of great favor.[505] Cortés sought
to decline for himself the favor, on the ground that he could not
marry. Montezuma nevertheless insisted, and he yielded not
unwillingly.[506]
Assuming a serious tone, the latter now produced the letter from
Villa Rica, and informed the emperor that he had received an
account of the outrageous conduct of Quauhpopoca, resulting in the
death of some of his men, and that he, the sovereign, had been
accused of being the instigator. Montezuma gave an indignant
denial,[507] and Cortés hastened to assure him that he believed the
charge to be false, but as commander of a party he had to account
for the men to his king, and must ascertain the truth. In this
Montezuma said he would aid him; and calling a trusted officer, he
gave him a bracelet from his wrist bearing the imperial signet—a
precious stone graven with his likeness[508]—bidding him to bring
Quauhpopoca and his accomplices, by force, if necessary.[509]
Cortés expressed himself pleased, but added that, in order to cover
his responsibility as commander, and to convince his men that the
emperor was indeed as innocent as Cortés believed him to be, it
would be advisable for him to come and stay at their quarters till the
guilty parties had been punished.[510]
Montezuma was dumfounded at this unhallowed impudence. He,
the august sovereign, before whom even princes prostrated
themselves, at whose word armies sprang into existence, and at
whose name mighty rulers trembled, he to be thus treated by a score
of men whom he had received as guests and loaded with presents,
and this in his own palace! For a moment he stood mute, but the
changing aspect of his countenance revealed the agitation within. At
last he exclaimed that he was not the person to be thus treated. He
would not go. They could always find him at his palace.
Cortés pleaded that his presence among the soldiers was
necessary, not merely as a declaration of his innocence, but to allay
the rumors which had reached them that he and his people were
plotting for their destruction. Montezuma again made an indignant
denial; but added that, even if he consented to go, his people would
never allow it. His refusal, insisted the general, would rouse the
worst suspicions of his men, and he could not answer for their acts.
Mexico might meet the fate of Cholula, and he with it.[511]
Montezuma now began to implore, and offered to surrender his
legitimate children as hostages if he were but spared the disgrace of
being made a prisoner. This could not be, was the reply. The
Spanish quarter was his own palace, and he could readily persuade
his subjects that he went there for a short time of his own accord, or
at the command of the gods.[512] He would be treated with every
consideration, and should enjoy his usual comfort, surrounded by
favorites and councillors. The plan involved no change beyond that
of residence, to a place where he would be under secret
surveillance.

Montezuma still objected, and time was passing.[513] The

companions of Cortés becoming nervous at this delay, Velazquez de
Leon exclaimed in his stentorian voice: “Why so many words, your
worship? Let us either carry him off or despatch him. Tell him that if
he calls out or creates a disturbance we shall kill him!”[514] Turning in
alarm to Marina, Montezuma inquired what was meant. Full of pity
for the troubled monarch, she told him that the men were becoming
impatient at his delay. She besought him, as he valued his life, to
accede to their wishes and go with them. He would be treated with
all the honor due to his rank. A glance at the frowning faces of the
Spaniards confirmed the mysterious words of the interpreter, and
chilled him to the heart. He had heard too many accounts of the
resolution and cruelty of these men not to believe them capable of
anything. Were he to call for aid they would no doubt kill him and
destroy the city; for few as they were they had proved themselves
equal to hosts of natives.
The unhappy monarch yielded, since it was so decreed—by the
sublime audacity of this score of adventurers. The spirit of Axayacatl
had evidently not survived in the son, and the prestige of his early
career as military leader had dwindled to a mere shadow in the
effeminate lap of court-life.[515] Summoning his attendants, he
ordered a litter brought. Everything had been quietly conducted, and
since none ventured to question the emperor, his command was
silently obeyed; but the mysterious interview and his agitation roused
their suspicions, and the rumor spread that something extraordinary
was about to happen. Wondering and murmuring crowds had
already collected along the route between the two palaces when the
emperor appeared. On seeing the sorrowing faces of the favorites
who bore him, and observing how closely it was surrounded by the
Spanish soldiers who acted as guard of honor, their fears became
confirmed. The distance to the quarters was too short, however, and
the news had not yet travelled far enough, to allow a serious
demonstration.[516] But not long after the plaza in front of it was
blocked with an excited multitude, and a number of leading
personages and relatives made their way into the presence of their
sovereign, asking with tearful eyes and knitted brows how they might
serve him. They were ready to lay down their lives to rescue him. He
assured them with a forced smile that there was no cause for alarm.
Too proud to disclose his pusillanimity, he readily echoed the words