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Peter Agger · Robert S. Stephenson
J. Michael Hasenkam
A Practical Guide
to Biomedical
Research for the
Aspiring Scientist
A Practical Guide to Biomedical Research
Peter Agger • Robert S. Stephenson •
J. Michael Hasenkam
A Practical Guide to
Biomedical Research
for the Aspiring Scientist
123
Peter Agger Robert S. Stephenson
Department of Clinical Medicine Department of Clinical Medicine
Aarhus University Aarhus University
Aarhus, Denmark Aarhus, Denmark
Department of Paediatrics and Adolescent
Medicine
Aarhus University Hospital, Skejby
Aarhus, Denmark
J. Michael Hasenkam
Department of Thoracic and Cardiovascular
Surgery and Department of Clinical
Medicine
Aarhus University Hospital, Skejby
Aarhus, Denmark
Department of Surgery
Witwatersrand University Hospital
Johannesburg, South Africa
So you are intrigued by scientific research and what it has to offer, but you
do not know where to start? This book will help aspirational inexperienced
researchers turn their intentions into actions, providing crucial guidance for
successful entry into the field of biomedical research.
The world of science is exciting, and in contrast to what many people
think, it is not confined to the intellectual elite, extraordinary genius minds
or someone with a special gift. Science is something everyone can do. Like
any other craft you just need the right tools, the right guidance and the right
motivation.
Aimed at future researchers within the biomedical professions, be it under-
graduate students, young doctors, nurses, physiotherapists or engineers, this
book advises and supports novice researchers taking their first steps into the
world of scientific research. Through practical tips and tricks we describe the
entire research process from idea to publication, while also providing insight
into the vast opportunities a research career can provide.
We hope that this book will help you make a smooth start in research, and
aid and inspire you to create your own little piece of history in contributing
something truly novel to the world of science. Who knows, you might make
a career out of it!
v
vi Preface
Please help us improve this book for the benefit of future researchers. If you
have any comments, questions or feedback, we would be happy to hear from
you via guide.to.biomedical.research@gmail.com.
During the writing process of this book we have benefited immensely from
the help of several key persons. First of all we would like to acknowledge
the work and insight of the contributing authors, and the invaluable input
of all our reviewers. Equally, we would like to thank Ken Peter Kragsfeldt
for designing the figures in this book. All photos presented are provided by
Shutterstock.com. The authors have obtained the relevant publication license
for the use of these images.
vii
Contents
2 Approaches to Research 11
2.1 What are the Different Approaches? 11
2.1.1 Computer Simulations 12
2.1.2 Laboratory Investigations 12
2.1.3 Animal Experiments 13
2.1.4 Clinical Research 14
2.1.5 Registry-Based Studies 14
2.1.6 Clinical Trials 15
2.1.7 Meta-Analyses 16
2.2 A Global View of Research 16
2.3 The Right Research Environment 18
ix
x Contents
11 Data Handling 91
11.1 What Is Data? 91
11.2 Structuring Your Data 92
11.3 Keeping Your Data Safe 94
12 Data Analysis 97
12.1 Work Flow for Data Analysis 98
12.2 Deciding on Appropriate Tools 98
12.3 Spread Sheets, Graphics and Statistics 100
12.3.1 Steps 1 and 2—Collate and Describe 100
12.3.2 Step 3—Depiction 100
12.3.3 Step 4—Comparison 102
12.3.4 Step 5—Final Visualisation 105
Index 179
Part I
Before You Start
The first part of this book will take you through all you need to know in
order to prepare a scientific project. It will guide you through the different
available research approaches and the process of finding a supervisor. You will
subsequently find advise on how to define and describe your project.
1
The First Steps into Research
Throughout the history of mankind, curiosity and an open mind have been the
driving force behind discovery. What is over that hill? What is across that body
of water? What can be found in the dark depths of space? It was probably also
curiosity that made you open this book. Essentially, research is about pursuing
curiosity. Leaving no stone unturned, in an eternal search for new discoveries
that will improve the understanding of ourselves, and the world around us.
Imagine being the first person to describe a phenomenon that will forever
change the way we look at ourselves. You could be just months away from
producing something that lasts forever; a piece of science that will inspire and
stimulate the curiosity of future researchers.
Hypothesis
Aim
Protocol
Data Acquisition
Data Analysis
Data Interpretation
Presentation
Publication
scientists have their own special language—and it can even differ from one
research area to another.
To enter the cycle you must first have a solid hypothesis. This is a kind of
basic question or speculative statement specifically related to your research, it
may be something like “I anticipate this new drug can cure cancer”. Based
on this hypothesis you formulate an aim for your study, e.g. “the aim of
this study is to investigate whether drug X has a curative effect on cancer”.
Despite seeming to address the same issue, note the important linguistic
transformation from the hypothesis to the aim. These and the other aspects of
the Project Life Cycle are all put into context in your protocol, the description
of your planned scientific project, which will be outlined in more detail in
Chapter 8. The protocol is the cornerstone for planning and conducting your
research project. It is used to convey to others what, why and how you will
investigate your hypothesis, it is also the basis for applying for funding and
the relevant approvals to conduct the study.
Once the protocol is ready and approved by all collaborators, including
your supervisor, you are basically ready to go. Once all methods have been
established, equipment is working, etc., you start data acquisition. At this
point is it important to adhere strictly to the protocol. Do not make any
changes once the protocol is closed and data collection has been initiated!
This is one of the fundamental rules in science. If you change your procedure
for data collection, you have effectively started a new project. Therefore,
preparation at the protocol stage is extremely important—and pays off in the
long run.
1.3 The Project Life Cycle 7
When all data has been collected according to the description in the
protocol, you start the data analysis phase (Chapter 12). Here you perform
all calculations, statistics, and graphic presentations, again, in accordance with
what you defined in the protocol.
Then comes one of the prime times in the whole research process: data
interpretation. What does the data actually tell you? Can your hypothesis
be accepted or rejected? Remember, either outcome is scientifically valid and
interesting. You must, therefore, analyse your data with an open mind and
be objective. In this phase, it is important not to be biased towards a desired
outcome. It is only human to hope your new drug works, but you must make
all efforts to assess your data objectively. You are the first person in the world
to see these data. Consider it a privilege to be the first to interpret them. Your
co-authors can comment on your interpretation and suggest modifications,
but you have the privilege of setting the scene.
Another important stage in the process is the publication of your findings.
Here you shall demonstrate your ability, in collaboration with your co-authors,
to disseminate your results to the wider community. This publication can
be in the form of a poster or an oral presentation at a conference or a
scientific manuscript. The highest-ranking publications are those, which
have undergone a peer review process. We provide separate chapters on the
various related topics later in the book.
No scientific process has been completed until the outcome of the study has
been published. The scientific publication is both the hallmark and the formal
end point for the Project Life Cycle. It is also a product, which is important in
measuring the quality of your scientific work. The stronger the message, the
higher the impact on the scientific community. At later stages the quality is
measured further by the number of times other scientists cite or refer to your
publication—more about this in Chapter 18.
Once you have completed a project life cycle for the first time, you have
earned your stripes. You can now consider yourself a successful scientist in
the making! You are now an acknowledged and skilled individual. You have
demonstrated your ability to conduct a research project, which has gained the
interest of the scientific community, and has conveyed an important scientific
message. You are now at a stage where you can provide the answers to the
questions you posed at the beginning of the cycle.
8 1 The First Steps into Research
The importance of
decisions in the project
Knowledge
on the project
Time
Fig. 1.2 The importance of individual decisions in research projects over time plotted
together with the available knowledge. The latter can be improved by studying
and supervision, but will always improve during the course of the project. Modified
from Attrup and Olsson “Power i projekter & portefølje”. 2nd edition. Jurist- og
Økonomforbundets forlag 2008
In the first chapter, we asked you to consider what kind of researcher you are.
But given the fact that you are most likely new in the field of research, how
on earth should you know what kind of researcher you are? Well, deciding
on which approaches to research suit you best is a good place to start. You
do not necessarily have to decide on only one approach. You will find that
projects often incorporate more than one approach, especially in the setting
of multidisciplinary research. This chapter will provide an overview of the
different research approaches involved in taking an initial idea all the way to
its implementation as a new technique, treatment or ground-breaking theory.
We then show how these approaches can be interconnected in a global view
of research. You will then be in a position to make an informed decision as to
which type of research activities are the best fit for you.
Very often, the first step when testing new ideas and hypotheses involves run-
ning computer simulations. Simply put, the simulations use a mathematical
description, or model, to form a computer based dynamic analogue of the
behaviour of something from the real world. Such investigations are often
referred to as “in silico”, and are typically low cost studies that do not involve
patients or animals. A prerequisite for working with computer simulations
is often a background in mathematics or computer science, thus it is unlikely
that you as a biomedical researcher will be working first hand with this research
approach. It is, however, very common to engage in collaborations involving
computer simulations.
Most hypotheses in basic research are tested in the laboratory using cell lines,
specimens or the like. This is often referred to as “in vitro” experimentation,
referring to the notion that something is growing in a Petri dish. This setting
allows you to investigate many very specific hypotheses, while controlling
many extraneous variables, the human compatibility, however, is often low.
It is, nevertheless, a crucial approach, as your hypothesis will often need to be
validated “in vitro” before you can ethically justify an experiment in a living
creature.
2.1 What are the Different Approaches? 13
After successful passage of the controlled “in vitro” phase, the next level
comprises a more complex biological investigation in experimental animals—
to again test your hypothesis, but this time in a more realistic, and also more
challenging setting. You now have less control over extraneous variables, but
you are edging closer to a clinically relevant message. Animal experiments fall
into two broad categories, “in vivo” and “ex vivo”. Experiments conducted
in living specimens, for example surgical interventions, are termed “in vivo”,
while experimentation on non-living tissue, for example genetic analysis of
biopsies, is classified as “ex vivo”.
14 2 Approaches to Research
If you do not find the prospect of working in the lab or with animals
particularly appealing, you may find that working with actual human beings is
your preferred research approach. Often the hypotheses investigated in clinical
research have already been explored to some extent using lab-based approaches.
As the name suggests, this approach is more likely to provide results with direct
clinical implications within a single project life cycle. But bear in mind, such
studies are often a product of multiple previous studies. There are many types
of clinical research. Often you would think of a clinical experiment as a study
comparing variables between a group of healthy volunteers and a group of
patients with a disease, but here you should also consider registry-based studies
as a type of clinical research.
You can take clinical research to the next level by testing your hypotheses
using a so-called clinical trial. Here you are not just comparing variables,
you are testing an intervention. You enrol patients into a study where they
are randomly selected to undergo either your new intervention, a placebo
intervention, or the conventional intervention. Often clinical trials span
several institutions and take several years to complete. Hence, it is highly
unlikely that you will be conducting such a trial as a new researcher, but
because they have a huge impact on how we treat patients, it is important
to acknowledge their existence. They are often the product of many project
life cycles, and can be seen as the ultimate goal for biomedical research. Some
researchers can spend their entire career working towards such an approach.
16 2 Approaches to Research
2.1.7 Meta-Analyses
Research
idea
Meta-analyses Computer
simulation
New hypothesis
to new treatment
In-vitro
Clinical trial
laboratory
Clinical Animal
experimental experimental
Fig. 2.1 Global overview of research showing the different approaches in the stepwise
process from generation of a new research idea to implementation of a new treatment,
technique or acceptance of new scientific fact
[787] For a full description of this pyramid see Native Races, ii. 579 et seq. Some
horses had been taken to clear the approaches, but they slipped on the smooth
pavement, and were sent back as unserviceable. Bernal Diaz, Hist. Verdad., 105.
[789] Ojeda appears to be the sole authority upon which Herrera relies for these
two struggles. dec. ii. lib. x. cap. ix. Clavigero doubts them; yet there is nothing
unlikely in either attempt.
[790] It was related afterward that when the natives first sought to remove the
virgin image their hands clove powerlessly to it for some time, and left their marks
upon it. Oviedo, iii. 510. Montezuma, being told of this miracle, ordered the image
to be left in its place. Afterward, ‘pareciò, segun supimos, que el gran Monteçuma
tenia ó deuocion en ella, ó miedo, y la mandó guardar.’ Bernal Diaz, Hist. Verdad.,
104, 102. Others, as will be shown, suppose it to have been saved by its owner,
Villafuerte, perhaps when Cortés withdrew the troops from the temple, or to have
fled by its own miraculous power to the shrine at Remedios.
[791] ‘Comierõ de los caualleros Mexicanos muertos.’ Herrera, dec. ii. lib. x. cap.
ix.
[792] Cortés, Cartas, 130-1. According to Bernal Diaz the sally with the engines
was directed against the temple, which he appears to place at some distance. It
was held by 3000 or 4000 Indians, ‘all chiefs,’ and cost the Spaniards 46 lives,
every man being beside wounded. They returned hard pressed by the enemy. ‘Se
mostrò Cortes mui varõ, como siẽpre.’ Hist. Verdad., 103-4. ‘Murieron todos
quinientos Indios, como valientes.’ Gomara, Hist. Mex., 157. ‘En trecientos
caualleros que alli estauan no quedaron seys viuos.’ Herrera, loc. cit. This author
describes on a later occasion the capture of a tower attached to Montezuma’s own
palace, from which missiles fell with telling effect. Cortés goes with 200 men to
reduce it, and is hotly received; yet the Indians, relying upon the execution to be
made by some loose beams which are to be rolled down upon the assailants at a
favorable moment, allow the Spaniards to rush forward and gain the tower, putting
almost every occupant to the sword. This story is probably a version of the temple
fight.
CHAPTER XXV.
DEATH OF MONTEZUMA.
June, 1520.
Long before this the Spaniards had learned that the power which
had arisen in Montezuma’s stead was of a different quality from that
lately wielded by the poor caged monarch, whose proud spirit they
had so blighted and brought low. No Quetzalcoatl or other
personage, fair or dark, heaven-descended or of import infernal,
might now interpose to prevent the killing and cooking of the
strangers. Cortés had thought that the late spoliation of idols would
fill the people with awe toward beings so superior to their gods. But
when he threatened that if they did not lay down their arms not a
man of them should remain alive, nor one stone be left on another
throughout all their city, they laughed at him, the priests abetting.
“How speak you so foolishly,” they said, “mortal as we now know you
to be, when for every Spanish life we are prepared to sacrifice, if
need be, twenty-five thousand of our own lives?” They had cut off
retreat at the causeways, so that the lake alone was open to exit,
and here they were prepared with fleets of canoes filled with resolute
men. Even should the Spaniards hold out against assault, hunger
and thirst must overcome them in the end. “The truth of this was too
evident,” observes Cortés, “for hunger alone would have soon killed
us.”
The imperial party, which had sunk to insignificance since the
elevation of Cuitlahuatzin to the leadership, and was now sustained
only by a few relatives of Montezuma, had no longer a voice in the
direction of affairs. Their efforts to make terms with the Spaniards
might have gained public approval, but the ambition of Cuitlahuatzin
stood in the way of any compromise. To release the strangers would
be to restore Montezuma, and he preferred to occupy the throne
himself. He was also covetous of military fame; and knowing the
desperate condition of the besieged, he hoped by their reduction to
add to his record of glorious achievements.[793]
The soldiers felt the peril of their position more than the general.
They had been cheered for a moment by victory, only to find how
barren it was; only to realize that many such triumphs would prove
their ruin. In order to counteract this growing despondency, Cortés
resolved on a night sally with half his force. The Indians being
unprepared for this, the party advanced with comparative impunity,
destroyed several barricades, and fired a large number of houses
along the Tlacopan road, where the roof assault had been so severe.
The warriors having finally gathered in sufficient force to render
retreat advisable, the Spaniards destroyed a number of buildings in
the vicinity of their quarters before entering, and thus secured
additional immunity.[794]
The present purpose of the Spaniards was to open an exit from
the city. At a council, called to consider the situation, it was admitted
that delay would only reduce their strength without corresponding
gain, and with the prospect of closing more effectually the gate
against them.[795] It was a great disappointment to Cortés thus to
abandon his hard-earned advantage. There were those who would
exult over his misfortunes, and never could he hope to win favor
from the king except by some brilliant success. But this he would yet
achieve, God willing, or perish in the attempt.
The engines were strengthened, and every preparation was
made to meet the rapidly accumulating difficulties. At dawn a large
force set out in the direction of the Tlacopan causeway to secure its
approaches.[796] The advance was made in the order of the day
previous, with guns and pioneers, and with cavalry in front and rear.
The late destruction of houses proved of no considerable advantage,
but the cannon being brought to play on the barricades, an opening
was soon made. The engines, with their fortified sides and covers,
proved more efficient than formerly in checking assaults from the
roofs. The soldiers accordingly advanced with firmer resolution, and
although the showers from the house-tops were still troublesome,
and resistance on the streets was as fierce as ever, yet one after
another the first four canals were captured. The nearest houses
were razed, and with the débris roadways were thrown across the
channels.
These operations were carried on in the face of a bitter
onslaught, and occupied the entire day. Evening being at hand the
crossings were left in charge of a strong guard, composed of the
freshest men, while the rest returned to the fort.
Montezuma the while lay a-dying, prostrate a-dying, not as
Vespasian would have an emperor die—standing; but with manhood,
and the aspirations of man, ay, even the regrets and remorse
incident to foiled endeavor, all crushed he was killed when the insults
of his people fell upon him; he scarcely heeded their darts and
stones.
It is not necessary always that breath shall cease before one can
be dead. From Ianthe’s spirit fell the shackles of sense, the body
being left with its animal life, but soulless. And though corporal life
was yet present in Montezuma, the soul was already free: the
accursed aliens had done their worst. When the might of sacred
sovereignty was extinguished, the remains were less than man,
though they walked, and talked, and wept.
Compared with his present condition, how dignified and happy
death would have been by the hands of his brother priests, before
the gods, in the eyes of the nation, on the sacred sacrificial stone!
Or, like that among the Massagetæ, told of by Herodotus, who
sacrificed and ate their old people, holding natural death a
misfortune—even this or any other stepping down and out would
have been preferable to thus dying like a silly hare in a trap!
He refused food and any attention to the wounds, which were far
from fatal. He tore off the bandages, threw from him all medicines,
and bared his body to disease, even as his soul had been long since
bared, and stretched out his hand to hasten the cold stony grasp of
death. What a farce was life, and honor, and majesty, all to end in
poverty and disgrace! Feeling the all-changing moment at hand, he
summoned Cortés; for despite his long maltreatment he entertained
a kind of affection for the monster, who might even yet prove to be
the demi-god of some far away incomprehensible world. Moreover,
the Spaniard’s intellect and arm were the stronger; he was his son-
in-law and probable successor; therefore, though his jailer, he would
speak with him. And when he came Montezuma said: “The end for
me approaches, Malinche; it is even here. You cannot harm me
further, nor help me if you would. I have given you all; you have
taken all—my liberty, my kingdom, my life, and that which is more to
me than kingdom, liberty, or life, the affection of my people, the love
of my counsellors and friends; and respect—respect of self, and that
sacred respect which, living or dead, is mine by inheritance, and by
virtue of my office. But I would not upbraid you; I pray only that my
ruin will benefit you; I beg of you care for my children, and I conjure
you to avenge me on my rebel subjects and their leaders.”[797]
Moved by the touching appeal, Cortés promised all that was
asked of him, while remonstrating with the monarch for rejecting food
and medicine. Montezuma then, in like manner, exhorted his nobles
who were prisoners with him, and was touched by their sorrow for
the sad state of the empire, and their manifestation of affection for
himself. Father Olmedo, who had never relaxed his efforts for the
captive’s conversion, now pressed to his aid the general. But in vain.
All else these beings maledict had taken from him; they should not
now rob him of his religion. His faith was as dear to him, as true, as
pure, as efficacious, as was theirs to them. Away with another’s
gods! Let each live and die by his own. He was high-priest, too, and
for him to prove recreant to the national faith would overshadow all
his former crimes combined. “What is this they would have of me?”
he groaned within himself. Then turning suddenly to Olmedo, he
asked, “Do Spaniards go to this heaven of yours?” “Assuredly,” was
the reply; “it was made for them, and is held by Christians, against all
others, as the reward of their pure belief and gentle deeds.” “It is
enough; I will none of it,” said Montezuma, who from that moment
would not listen to a word of Christian exhortation.[798] It was early in
the morning of the 30th of June,[799] three days after the trying
scene in the presence of his people, that the monarch breathed his
last. And even the Spaniards forgot for a moment their diabolisms,
and allowed their minds to dwell on the virtues of this magnificent
heathen, this mighty sovereign, their sweet-tempered prisoner, and
kind and generous host.[800]
Of a truth, despite his pusillanimity with regard to the Spaniards,
which was indeed little else than pardonable superstition, this man
was in many respects not unworthy the title of Great so freely
bestowed upon him. Montezuma was but forty-one[801] at the time of
his death, and had wielded the sceptre for nearly eighteen years with
wonderful success. Under him the Aztec empire acquired its widest
extent and greatest glory. While his armies by well directed
operations spread the terror of his name to distant provinces and
increased the national domain by fresh conquests, his subtle
intrigues secured advantages at home, and established the
supremacy of Mexico in the tripartite alliance. With a high regard for
the dignity of his throne, he caused the sovereign to be worshipped
almost like a god, and sustained the grandeur of his surroundings
with lavish expenditure. This severe and ostentatious pride kept him
above the reach of his people, and failing to understand their wants
or to sympathize with their condition, he ruled not by love, but by
fear. Thus it is that we find the native records dwell upon his fitful
cold-blooded cruelty and superstition, not as a tyrant, however, but
as an administrator of their own cruel yet revered rites. He was
reputed just, but this quality was to be found rather in the intention
than in the act. With all his pride he appears to have been most
affable and kind to those with whom he came in contact. The
Spaniards certainly found him so. In their later intercourse other
considerations may have ruled him, however, and with the cunning
and secrecy of his race he may have submitted to the inevitable
demands of circumstances.[802]
Surrounded by fawning ministers, whose existence depended on
his favor, he was encouraged in the extravagant habits of a
magnificent court, which promoted their schemes at the expense of a
tax-ridden people. The ambition to extend his fame and power
required the maintenance of immense armies, of numerous
garrisons, and of costly campaigns, which proved another drain on
the people. This was augmented in subjected provinces by the
extortions of imperial officers, who found means to prevent the cry of
the oppressed from reaching the throne. Perhaps the most terrible
infliction was the levy on the youth of both sexes for slaves, and for
sacrificial victims to appease the bloody appetite of Aztec gods—an
appetite which had increased in horror with the abject superstition of
this otherwise enlightened monarch. Enlightened he undoubtedly
was, for as high-priest he had become versed in the higher learning
of the priesthood. The study of mythology came naturally to him,
while astronomy and natural history were favorite subjects with the
lords of the lake peoples, the former connected with myths and
divinations, the latter illustrated by specimens from different regions,
and collected in the botanic and zoologic gardens of Mexico and
other cities. The studies of his youth had gained for him a well
merited respect from his priestly confrères, and the prudence and
sagacity which controlled the well stored mind commanded attention
in the council.[803] While yet a young man there seemed to develop
qualities which fitted him for the position of high-priest, also as
counsellor, to which his princely rank paved an easy way. Besides
this he had shown himself possessed of great courage, and had
established his fame as a general by many victories.
It was with this reputation, as zealous and learned priest,
prudent statesman, and brave soldier, that he ascended the throne in
1503, while only twenty-three years of age. It is in such terms that
his colleague Nezahualpilli in his coronation address refers to the
hopes entertained of the youthful ruler.[804] Though ever a devout
servant of the gods, the effeminate pleasures of the court weakened
the nerves and energy of the soldier, till his warlike ardor survived
only in a taste for military reviews and for the chase. The caution of
the general remained, but timidity saves few leaders from disaster.
Vanity and designing ministers overruled too often the dictates of
wisdom in the administration of affairs.[805] His path had been
prepared by able predecessors, and answered well for the policy of
aggrandizement which became the leading feature of his reign. In
this his natural liberality and talent for intrigue, fostered by priestly
training, served him well and procured blindly devoted instruments
for his plans. Thus, by fair means and foul, the empire was raised to
the pinnacle of its glory, but not being of a natural or healthy growth it
proved unstable, and crumbling under the strong commotion created
by the approach of Castilians, it revived only for a moment in the
present uprising like the mental illumination preceding death.
Montezuma could not have failed to recognize the insecurity of the
bonds which held it, and influenced by the predictions of its downfall
he readily fell beneath the spell of the superior intellects which were
to assume control. It was his misfortune to have lost the sanguine
energy of his youth, which might have enabled him to rise above the
weaknesses of himself and his age. Duty and honor were overcome
by superstition and absorbing love of power, of life, and he reaped
the natural fruit of puerile and misdirected efforts by losing both.
Resistance might not long have delayed the inevitable, but it would
at least have procured for him an end worthy of his grandeur.
Of his many wives may be named the princesses Teitlalco,
Acatlan, and Miahuaxochitl, of whom the first named appears to
have been the only legitimate consort.[806] By her he left a son,
Asupacaci, who fell during the noche triste, and a daughter,
Tecuichpo, baptized as Isabel, married consecutively to
Quauhtemotzin, the last Mexican sovereign, to visitador general
Alonso Grado, to Pedro Andrade Gallego, and to Juan Cano de
Saavedra. She had children by the latter two, from whom descend
the illustrious families of Andrade-Montezuma and Cano-
Montezuma.
By the Princess Acatlan were left two daughters, baptized as
María and Mariana. The latter alone left offspring, from whom
descends the Sotelo-Montezuma family. By the third wife came to
the emperor the son Tlacahuepantzin, known after baptism as Pedro
Yohualicahuacatzin Montezuma, whose descendants, the condes de
Montezuma y de Tula, intermarried with the noblest families of
Spain, and connected the name with the highest offices of state, and
with the title of grandee.[807]
FOOTNOTES
[793] In Manuscrit de 1528, Aubin Col., Cihuacohuatl and Tzihuacpopocatzin,
brothers of Montezuma, are named as the leaders of the opposition party,
connected also with the followers of Quetzalcoatl, who abhorred the cruel rites of
the Aztecs. They succeeded, it is said, in introducing provisions for the besieged.
Brasseur de Bourbourg, Hist. Nat. Civ., iv. 317-18. But this is doubtful.
[794] This is probably the sally which Herrera intrusts to Salcedo. dec. ii. lib. x.
cap. viii.
[795] ‘Por importunidad de muchos ... acordó de salir della.’ Carta del Ejército, in
Icazbalceta, Col. Doc., i. 429. ‘El ... capitan dilataba de cada dia la dicha salida,’
but the officers insisted that he should leave. Segunda Probanza de Lejalde, in Id.,
423.
[796] Clavigero directs the operation against the Iztapalapan road, which would
have been a useless manœuvre. Cortés is explicit enough on the point.
[797] In a privilegio in favor of the daughter Isabel, Cortés refers to this interview,
saying that three daughters were intrusted to him. No allusion is made to any son.
The affectionate terms in which he herein speaks of Montezuma must be due to
political reasons, and perhaps to a regard for the princesses. Panes, Vireyes, in
Monumentos Domin. Esp., MS., 67-8. Ramirez ridicules the idea of an appeal by
the emperor to Cortés, who was on unfriendly terms with him. Soc. Mex. Geog.,
Boletin, x. 359 et seq. But the effort of Montezuma to save the Spaniards shows
that intercourse had been reëstablished; and was not Cortés, as the husband of
one or more of his daughters, the proper person to protect their sisters?
[798] The question of his conversion has been much discussed. ‘No le pudo atraer
a que se bolviesse Cristiano,’ says Bernal Diaz, Hist. Verdad., 105; and Herrera is
even more explicit. dec. ii. lib. x. cap. x. Cortés and his followers, Martyr and
Oviedo, give no indications to the contrary. Ixtlilxochitl states, however, that he had
learned several prayers, and even begged for baptism, but that the rite was
deferred ‘por la pascua siguiente, que era de la resurreccion, y fue tan
desdichado, que nunca alcanzó tanto bien.’ Hist. Chich., 299. Yet he adds that it
has been said ‘que se bautizó y se llamó Don Juan.’ Relaciones, 457. According
to Gomara he asked for baptism in the beginning of lent, but it was determined to
postpone the rite till pentecost, for greater effect, and as more appropriate for so
high a personage. Owing to the troubles arising out of Narvaez’ arrival nothing
was done then, ‘y despues de herido oluidose con la prissa del pelear!’ Hist. Mex.,
154. Cortés had persuaded him, says Vetancurt, during the early days of his
imprisonment, to accept baptism, and he was taken to the temple for the purpose,
but at the last moment he excused himself on the ground that the Indians would
elect another lord and attack them all if he abandoned the faith. Teatro Mex., iii.
132-3. Father Duran, on the contrary, ever zealous for the natives, and particularly
for his hero, Montezuma, asserts that trustworthy men had vouched for his
baptism. Padre Olmedo had also expressed belief therein, although he had not
been present when it was administered. Hist. Ind., MS., ii. 445. The father’s
memory must have failed him with respect to Olmedo. Camargo has also been
assured of his baptism, with Cortés and Alvarado for sponsors. Hist. Tlax., 166.
Tezozomoc, who claims to have investigated the point, declares explicitly that the
rite was administered on his death-bed, when he received the name of Cárlos, and
that Cortés, Olid, and Alvarado were the sponsors. Recopilacion de verídicas
tradiciones, probando que el emperador Moteuhsoma recibió el santo sacramento
del bautismo. This author wrote at the close of the sixteenth century, and follows
traditions only. Bustamante, in modern times, has also reviewed the question, and
follows Tezozomoc implicitly. In support thereof he quotes a poem, by Captain
Angel Betancourt, wherein he refers to Montezuma as the ‘indio bautizado,’
introduces the vague utterance of Ixtlilxochitl, and even attempts to misconstrue a
certain expression of Cortés. Montezuma tells the latter to baptize his daughters,
and this Bustamante regards as proof that he himself desired the rite. He does not
suppose that the religion of the vicious Spaniards could have had great attractions
for him, but when about to die he accepted it, ‘as the drowning man does the
saving plank.’ Article in Chimalpain, Hist. Conq., i. 287-95. Still fuller is the review
of Ramirez, who follows Torquemada in pointing out the fact that neither Cortés
nor Alvarado ever referred to their supposed sponsorship, as they certainly would
have done in connection with so distinguished a personage had they felt
empowered. Soc. Mex. Geog., Boletin.
[799] Cortés’ chronology, as indicated in the Cartas, shows clearly that he left
Mexico during the night of June 30th, as will be demonstrated. He also implies
what Bernal Diaz and Herrera distinctly assert, that considerable fighting took
place on the Tlacopan road between the time the corpse was surrendered to the
Aztecs and the Spaniards returned to their quarters preparatory to evacuation.
Hence the death must have occurred early on that day. Herrera confirms Cortés’
testimony that he could not have died before the 30th, by saying, ‘en quatro dias
se murio.’ dec. ii. lib. x. cap. x. It is also generally admitted that he was not
wounded before the third day of the siege.
[800] ‘Cortes lloró por èl, y todos nuestros Capitanes, y soldados: è hombres huvo
entre nosotros ... que tan llorado fue, como si fuera nuestro padre.’ Bernal Diaz,
Hist. Verdad., 104. Cortés speaks highly of him, ‘y siempre tuvo mui buena
voluntad á los Españoles,’ but this is in the deed presented to his daughter. See
Privilegio, Monumentos Domin. Esp., MS., 66. In the Cartas he is referred to
merely as a captive who dies. After saying that he never consented to the death of
a Spaniard nor to injury against Cortés, Gomara adds: ‘Tambien ay quien lo
cõtrario diga.’ Hist. Mex., 154-5.
[801] Clavigero says 54, but Bernal Diaz, who was so much in his company, could
hardly have been mistaken, and the comparative youth of his children also
indicates that 41 is more correct.
[803] ‘Fue muy sabio, pues passaua por las cosas assi, o muy necio q̄ no las
sentia.’ Gomara, Hist. Mex., 155. ‘El hombre mas sábio de su siglo,’ is
Bustamante’s interpretation. He also discovers that Montezuma objected to
sacrifices! Chimalpain, Hist. Conq., 292-3.
[805] ‘Pareva aver cangiato di sesso, siccome dicevano i suoi sudditi.’ Clavigero,
Storia Mess., iii. 132.
[806] So Cano, the son-in-law, declares, Oviedo, iii. 549, and so Cortés intimates
in the privilegio to Isabel, whom he calls ‘su legitima heredera,’ especially
commended to him.
[807] Of the rest of the imperial wives and concubines nothing positive is known,
save that a number of them and their daughters were liberally bestowed, as a
mark of imperial favor, on prominent personages, including Spaniards. After the
conquest they sank into obscurity, although some of them still managed to
maintain a certain consideration among the natives, despite their poverty. Bernal
Diaz claims that he received one of the concubines; upon Olid was bestowed a
daughter, and upon Cortés two, it is said, one baptized as Ana, the other as Inés.
Two witnesses declare that Isabel also ‘cinco meses questava casada con ...
Gallego e que pario una fija y que hera del ... Cortés.’ Cortés, Residencia, ii. 242,
244; i. 63, 99, 221, 263. The three daughters confided to Cortés on their father’s
death-bed were not in the Spanish quarters at the time, at least not all of them, but
were found after the conquest and baptized. The eldest and legitimate, the
attractive Tecuichpo, was then the wife of the last and captive sovereign,
Quauhtemotzin, her cousin, who had married her chiefly with a view to strengthen
his hold on the throne, for she was too young for the married state. She was
baptized as Isabel, and her Indian husband having been executed, Cortés, on his
return from Honduras, gave her in marriage to the hidalgo Alonso Grado, of
Alcántara, who had succeeded Ávila as contador, and now held the position of
visitador general of New Spain. In consideration partly of Grado’s services and
partly of Isabel’s rank, the captain-general bestowed as dower, in the emperor’s
name, the town of Tacuba (Tlacopan), with the villages and farms subject to it,
together with the title of señora thereof. The deed, which recounts the services of
her father and the intrusting of his daughters to Cortés, is signed by him as
captain-general and governor of New Spain, and dated June 27, 1523. It is given,
among other books, in Monumentos Domin. Esp., MS., 65-8. Grado dying soon
after, without issue, she married Pedro Andrade Gallego, by whom she had one
son, Juan Andrade, the founder of the Andrade-Montezuma family. This branch
inherited the Villa Alta villages, in Oajaca, and other estates, which in 1745 were
bought up by the crown for a pension of 3000 pesos, continued by the Mexican
government in irregular payments. A member of this branch was the bishop of
Chiapas a few years later. Certificacion de las Mercedes, MS., 14-18. M. Fossey
describes a visit, in 1849, to the poverty-stricken yet proud descendants. Mexique,
497-500. The omission of Gallego’s middle name has led the critical Alaman,
among others, to assume that this family descends from Isabel’s fifth marriage
with Juan Andrade. Prescott’s Mex. (Mex. 1844), ii. 31. Nor is Prescott free from
error in connection with Montezuma’s descendants. The Andrade branch became
allied to the Condes de Miravalle, and a daughter of this house was the wife of
General Barragan, who became presidente interino of the republic, thus raising a
descendant of Montezuma once again to the supreme place in the country. The
Princess Isabel was married a fourth time, to Juan Cano de Saavedra, by whom
she had five children, the inheritors of the Tacuba estates, also exchanged for a
pension which was continued by the republic. Of the Princess Acatlan’s two
daughters, María and Mariana, the former left no issue. Mariana married the
conquistador Juan de Paz, bringing a dower of three towns, and after his death
she took for husband the conqueror Cristóbal de Valderrama. By him she had a
daughter, Leonor, who, marrying Diego Arias Sotelo, gave origin to the Sotelo-
Montezuma family. Fonseca, Hist. Hacienda, i. 464. This work, with its collection of
official papers and extracts, gives a mass of information about the imperial
descendants and estates. Prescott confounds the mother and daughter. Mex., ii.
351-2. Viceroy Mendoza, in a despatch to the emperor of December 10, 1537,
refers to the death, three weeks before, of Valderrama, and speaks of children by
the former husband, which are not admitted in Fonseca. Pacheco and Cárdenas,
Col. Doc., ii. 208. Cortés refers to three sons of Montezuma: the heir, who fell on
the causeway during the noche triste, and two surviving boys, ‘one said to be
insane, the other paralyzed.’ On leaving Mexico he took with him one son and two
daughters, his concubines probably, all of whom perished. Cartas, 135, 153.
Sahagun names two sons, who perished on that occasion. Hist. Conq. (ed. 1840),
122, 126. Ixtlilxochitl gives them different names. Hist. Chich., 302. Cano gives the
name Asupacaci to the heir, or only legitimate son, the brother of his wife Isabel,
and states that he was killed by Quauhtemotzin, who feared him as the only rival
to the throne. Oviedo, iii. 549. Brasseur de Bourbourg follows him, but prefers the
name of Cipocatzin for the young prince, while Axayoca is also applied. Cortés’
version is more likely to be correct, however. One of the surviving sons, ‘Signor di
Tenajoccan,’ Clavigero, Storia Mess., iii. 133, was baptized with the intervention of
his sponsor, Rodrigo de Paz, and died three years after the conquest, ‘y se enterrò
en la Capilla de San Joseph.’ Vetancvrt, Teatro Mex., pt. iii. 144. This author
assumes that the youth fled with the Spaniards from the capital and hid at
Tepotzotlan. The other prince, son of Miahuaxochitl, daughter of the lord of Tula,
and niece of Montezuma—baptized as María, says Vetancurt—received the name
of Don Pedro. He accompanied Cortés to Spain in 1528, it appears, at the age of
eighteen, and made repeated appeals to the emperor for a maintenance in
accordance with his rank. At first some trifling favors were granted, and he,
together with a cousin, was educated by the Franciscans in Madrid. Puga,
Cedulario, 85. President Fuenleal, of the audiencia, and other prominent persons
having added their recommendation, regular pensions and encomiendas were
bestowed, including the town of Tula, the seat of his maternal grandparents, upon
which was based the second title of Condes de Montezuma y de Tula, conferred
on his grandson. The line expired on the male side with the great great-grandson
of the emperor, whose daughter married Sarmiento de Valladares, duke of Atlixco,
and viceroy of New Spain, thus raising the name again to the highest position in
the country. Prescott, following Humboldt, Essai Pol., i. 191, 203, calls Valladares,
by mistake, a descendant of Montezuma. The cousin of the vice-queen married
Silva, the first marquis of Tenebron, whose descendants inherited the title and
estates from the other branch, and became grandees in 1765. Their pension
amounted at this time to 40,000 pesos, says Berni, Titulos de Castilla, which
represented in part the encomiendas withdrawn by the government. The republic
recognized this portion, as it had the pensions to the other branches. Shortly after
the independence of Mexico the holder of the title, Alonso Marcilla de Teruel
Montezuma, came over with the intention of asserting his claim to the throne of his
forefathers, but the prudent possessors of the power thought it best not to admit
him, and he passed on to New Orleans, there to put an end to his life some years
later. Prescott understands that the septuagenarian had been disappointed in love.
Mex., ii. 352. Several members of the Spanish nobility have intermarried with this
line, among them a branch of the Guzman family, whence the claim made for the
consort of Napoleon III. of having Montezuma’s blood in her veins. Gondra gives a
portrait of a member married into the Mendoza family. Prescott’s Mex. (ed. Mex.
1845), 219. One of the line, Padre Louis de Montezuma, wrote the Historia del
Emperador, which has been consulted by Alaman, Disert., i. app. ii. 158. Clavigero
gives a genealogic table in Storia Mess., iii. 235, and Carbajal, while plagiarizing
the statements and blunders of others, adds a few of his own. Hist. Mex., ii. 378-
88. In Fonseca, Hist. Hacienda, i. 455 et seq., are to be found several valuable
extracts concerning titles and estates; also in Reales Cédulas, MS., i. pt. i. 5, ii. 4
etc.; Certificacion de las Mercedes, MS.; Mex. Mem. Hacienda, 1848, 35-6;
Fuenleal, Carta, in Pacheco and Cárdenas, Col. Doc., xiii. 222. The family name
has been spelled in different ways, also by its possessors, as Motezuma,
Muteczuma, Moctezuma, Mocthecuzoma, Motecuhzuma, Moteuhzuma; but
Montezuma is the most common form.
The Historia de las Indias de Nueva-España y Islas de Tierra Firme, by Father
Diego Duran, is claimed by its author, in the introductory to chapter lxxiv., to be
devoted essentially to the life and rule of this monarch, ‘cuya vida é história yo
escribo.’ The preparation of the work was more directly prompted by a
compassion for the maltreated natives, whose champion he constituted himself, in
common with so many of the friars. This spirit led him naturally to color the
occurrences of the conquest; and a non-critical acceptance of whimsical legends
and statements in favor of his protégés tends further to reduce the value of the
work. His deep interest in the aborigines and their history may be explained by the
fact that he was born at Tezcuco, of a native mother. Franco wrongly calls him
Pedro, and Clavigero, Fernando. He professed as a Dominican at Mexico, in
1556, with missionary aspirations, no doubt, but a delicate constitution and
constant suffering confined him rather to the monastery, and directed his efforts to
researches and writing. Castellanos, Defensa, 28, attributes several works to him,
and Eguiara, Bib. Mex., 324, the compilation of the Dominican history of Dávila
Padilla, though not the style and form. Dávila also, ‘scrisse la Storia antica de’
Messicani, servendosi de’ materiali raccolti già da Ferdinando Duran Domenicano
da Tezcuco; ma questa opera non si trova.’ Clavigero, Storia Mess., i. 13. But this
may be a mistake. A similar rewriting would have greatly improved the Historia de
las Indias, which is exceedingly unpolished and slovenly, full of repetitions and bad
spelling, and showing great poverty of expression. On the other hand, it is relieved
by an admirable portrayal of character and knowledge of human nature, and by a
minute study of the effect of conversion on the natives. The work consists of three
tratados, the first in 78 chapters, giving the history of Mexico from its origin to the
conquest, terminating with the expedition to Honduras. This was completed in
1581, while the other two were finished two years before. The second tratado, in
23 chapters, treats of Mexican divinities and rites, and the third, in two, or more
properly nineteen, chapters, of calendar and festivals. Padre Duran died in 1588,
leaving the manuscripts to Juan Tovar, Dávila Padilla, Hist. Fvnd. Mex., 653, who
gave them to Acosta, then occupied in preparing his Natura Novi Orbis, and other
works. The contribution came most opportunely, and was used chiefly for his
account of Mexico, as he frankly admits, though giving the credit to Tovar, who
may have claimed the authorship. On the strength of this statement Clavigero,
with others, confirms the claim to the ‘nobilissimo Gesuita Messicano.’
Torquemada, i. 170-1, ii. 120, himself not spotless, takes advantage of the
confession to rail at Acosta for borrowed plumage, mutilated at that. The
manuscripts, now in the Biblioteca Nacional de Madrid, are written in double
columns and illustrated with numerous plates. Pinelo, Epitome, ii. 711, refers to
them as in two parts. A few copies have been taken, mine forming three volumes.
A set obtained by José Fernando Ramirez, one of Maximilian’s ministers, was
prepared by him for publication, but, owing to the death of the imperial patron, only
the first 68 chapters were issued at Mexico, 1867, in one volume, with notes and
considerable changes of the style. This mutilation, as some term it, may have
been a reason for the seizure of the whole edition, together with the separate
plates, by the republican government. Only a few copies escaped this fate, one of
which I succeeded in obtaining. Although independent issue was long withheld
from Duran, he has at least enjoyed the honor of being associated with one
possessed of far greater fame than he himself could ever hope to achieve.
The motives which impelled Joseph de Acosta to write on America were quite
pretentious. Among the many Spanish books on the New World, he says: ‘I have
not seene any other author which treates of the causes and reasons of these
novelties and wonders of nature, or that hath made any search thereof. Neither
have I read any booke which maketh mention of the histories of the antient
Indians, and naturall inhabitants.’ With a view to repair these omissions he issued
De Natvra Novi Orbis libri dvo, et de Promvlgatione Evangelii, apvd Barbaros, sive
de Procvranda Indorvm Salvte Libri sex. Salmanticœ, 1589. The first part, De
Natura, is a philosophic dissertation on physical features, on the probable
knowledge among the ancients of a western hemisphere, and on the origin of the
Indians. The second part, in six books, bearing a separate imprint under 1588,
though published only in connection with the previous two books, treats entirely of
the method and progress of Indian conversion. The Natura was translated into
Spanish, and incorporated, with some amendments, in the Historia Natvral y moral
de las Indias, Sevilla, 1590, dedicated to Infanta Isabel, which treats also of Indian
history and customs, and refers briefly to the conquest. The work achieved great
success, and was reproduced in numerous editions, in nearly every language,
though often without Acosta’s name, and in distorted form, as in De Bry and some
German versions. This may not be considered bad treatment by those who charge
Acosta with plagiarism, although he frankly admits following a number of authors,
among them ‘es vno Polo Ondegardo, a quien communmente sigo en las cosas
de el Piru: y en las materias de Mexico Ioan de Touar prebendado que fue de la
Iglesia de Mexico, y agora es religioso de nuestra Compañia de Iesvs. El qual por
orden del Virrey hizo dõ Martin Enriquez diligẽte, y copiosa aueriguaciõ de las
historias antiguas.’ See p. 396. There is no doubt that the interest and value of the
work are owing chiefly to the circumstance that the original authorities have
remained sealed, until lately at least; for, despite its pretentious aim, the pages are
marred by frequent indications of the then prevalent superstition and credulity. The
Procvrando Indorvm Salvte is more in consonance with the character of the Jesuit
missionary and scholastic.
Born at Medina del Campo about 1539, he had in his fourteenth year joined
the Society, to which four brothers already belonged. After studying and teaching
theology at Ocana, he proceeded in 1571 to Peru, where he became the second
provincial of his order. Returning to Spain seventeen years later—‘post annos in
Peruano regno exactos quindeciem, in Mexicano & Insularibus duos,’ says the
dedication of 1588 to Philip II., in De Natvra of 1589—he gained the favor of the
king, occupied the offices of visitador and superior, and died as rector at
Salamanca, February 15, 1600. Several other works, in print and manuscript,
chiefly theologic, are attributed to him—see Camus, 104-13—among them De la
criança de Cyro, dedicated to Filipe III. in 1592, which was also a borrowed text,
from Xenophon, and remained a manuscript in the Royal Library.
CHAPTER XXVI.
LA NOCHE TRISTE.
The Captive-King Drama Carried too Far—Better had the Spaniards Taken
Montezuma’s Advice, and have Departed while Opportunity Offered—
Diplomatic Value of a Dead Body—Necessity for an Immediate
Evacuation of the City—Departure from the Fort—Midnight Silence—
The City Roused by a Woman’s Cry—The Fugitives Fiercely Attacked on
All Sides—More Horrors.
And now what must have been the feelings of the invaders, who,
like the ancient mariner, had killed the bird that made the breeze
blow! For assuredly they were responsible for the emperor’s death.
Indeed, the direct charge of murder against Cortés has not been
wanting, even among Spanish chroniclers; but this was owing greatly
to the effort of the general to extricate the army from its desperate
situation while the enemy was supposed to be distracted by grief and
engaged in solemn obsequies. We may be sure, however, that the
Spaniards did not kill Montezuma; that they did not even desire his
death; but regarded it at this juncture as the greatest misfortune
which could happen to them.[808] For in the vast evolvings of their
fast, unfathomable destiny, they were now all like sea-gulls poised in
mid-air while following a swiftly flying ship.
It is interesting to note the manœuvring on both sides over the
dead monarch, who having ministered so faithfully to his enemies
while living, must needs continue in the service after death. The
hostile chiefs were called and informed of the sad consequences of
their outrage on the emperor. The body would be sent to them, so
that they might accord it the last honors. The leaders replied curtly
that they had now a new chief, and cared no longer for Montezuma,
dead or alive. The corpse was nevertheless carefully arrayed in
fitting robes and given in charge of two prisoners, a priest and a
chief,[809] with instructions to carry it to the Mexican camp, and
explain the circumstances of the death and the grief of the
Spaniards. On appearing outside the fort a leader motioned them
back, and would probably have used force but for the priestly
character of the bearers, behind whom the gate had been closed. A
few moments later they disappeared from view. The disrespect
shown the living was not spared the dead. As the corpse was borne
through the streets jeers and insults fell from lips which formerly
kissed the ground on which the monarch had stood. Many declared
that a coward like Montezuma, who had brought so many
misfortunes on the country, was not worthy of even ordinary burial.
[810]The imperial party managed, however, to secure the body, and,
assisted by those to whom the royal blood and high priestly
character of the deceased outweighed other feelings, an honorable
though quiet cremation was accorded in the Celpalco, where
Sahagun intimates that the ashes remained.[811]
Shortly after the body had left the Spanish quarters Cortés sent
a fresh message to the Mexicans, believing that by this time the
presence of the august dead might have had its effect on them. He
pointed out the respect due to the remains of a sovereign, and
proposed a cessation of hostilities with that view, and till they had
elected a successor, one more worthy than the present leader, who
had driven them to rebel.[812] The chiefs replied that the Spaniards
need trouble themselves about nothing but their own safety. They
might come forth, they added tauntingly, to arrange a truce with their