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Tuesday, August 17, 2021

Charlemagne

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Charlemagne
Charlemagne denier Mayence 812 814.jpg
A denarius of Charlemagne dated c. 812–814 with the inscription KAROLVS IMP AVG (Karolus Imperator Augustus) (in Latin)
Emperor of the Carolingian Empire
Reign25 December 800 – 28 January 814
Coronation25 December 800
Old St. Peter's Basilica, Rome
SuccessorLouis the Pious
King of the Lombards
Reign10 July 774 – 28 January 814
Coronation10 July 774
Pavia
PredecessorDesiderius
SuccessorBernard
King of the Franks
Reign9 October 768 – 28 January 814
Coronation9 October 768
Noyon
PredecessorPepin the Short
SuccessorLouis the Pious

Born2 April 742, 747 or 748
Francia
Died28 January 814
(aged 65, 66 or 71)
Aix-la-Chapelle, Francia
Burial
Spouses
Issue
Among others
DynastyCarolingian
FatherPepin the Short
MotherBertrada of Laon
ReligionChalcedonian Christianity
Signum manusCharlemagne's signature

Charlemagne (English: /ˈʃɑːrləmn, ˌʃɑːrləˈmn/ SHAR-lə-mayn, -⁠MAYN, French: [ʃaʁləmaɲ]) or Charles the Great (Latin: Carolus Magnus; 2 April 748 – 28 January 814), numbered Charles I, was King of the Franks from 768, King of the Lombards from 774, and Emperor of the Romans from 800. During the Early Middle Ages, he united the majority of western and central Europe. He was the first recognized emperor to rule from western Europe since the fall of the Western Roman Empire around three centuries earlier. The expanded Frankish state that Charlemagne founded is called the Carolingian Empire. He was later canonised by Antipope Paschal III.

Charlemagne was the eldest son of Pepin the Short and Bertrada of Laon, born before their canonical marriage. He became king of the Franks in 768 following his father's death, initially as co-ruler with his brother Carloman I, until the latter's death in 771. As sole ruler, he continued his father's policy towards the papacy and became its protector, removing the Lombards from power in northern Italy and leading an incursion into Muslim Spain. He campaigned against the Saxons to his east, Christianising them upon penalty of death and leading to events such as the Massacre of Verden. He reached the height of his power in 800 when he was crowned "Emperor of the Romans" by Pope Leo III on Christmas Day at Old St. Peter's Basilica in Rome.

Charlemagne has been called the "Father of Europe" (Pater Europae), as he united most of Western Europe for the first time since the classical era of the Roman Empire and united parts of Europe that had never been under Frankish or Roman rule. His rule spurred the Carolingian Renaissance, a period of energetic cultural and intellectual activity within the Western Church. The Eastern Orthodox Church viewed Charlemagne less favourably due to his support of the filioque and the Pope's having preferred him as emperor over the Byzantine Empire's first female monarch, Irene of Athens. These and other disputes led to the eventual later split of Rome and Constantinople in the Great Schism of 1054.

Charlemagne died in 814 and was laid to rest in Aachen Cathedral in his imperial capital city of Aachen. He married at least four times and had three legitimate sons who lived to adulthood, but only the youngest of them, Louis the Pious, survived to succeed him. He also had numerous illegitimate children with his concubines.

Name and nickname

The Bust of Charlemagne, an idealized portrayal and reliquary said to contain Charlemagne's skull cap, is located at Aachen Cathedral Treasury, and can be regarded as the most famous depiction of the ruler.
 
Arm reliquary of Charlemagne at Aachen Cathedral Treasury

The name Charlemagne, by which the emperor is normally known in English, comes from the French Charles-le-magne, meaning "Charles the Great". In modern German, Karl der Große has the same meaning. His given name was simply Charles (Latin Carolus, Old High German Karlus, Romance Karlo). He was named after his grandfather, Charles Martel, a choice which intentionally marked him as Martel's true heir.

The nickname magnus (great) may have been associated him already in his lifetime, but this is not certain. The contemporary Latin Royal Frankish Annals routinely call him Carolus magnus rex, "Charles the great king". As a nickname, it is only certainly attested in the works of the Poeta Saxo around 900 and it only became standard in all the lands of his former empire around 1000.

Charles' achievements gave a new meaning to his name. In many languages of Europe, the very word for "king" derives from his name; e.g., Polish: król, Ukrainian: король (korol'), Czech: král, Slovak: kráľ, Hungarian: király, Lithuanian: karalius, Latvian: karalis, Russian: король, Macedonian: крал, Bulgarian: крал, Serbo-Croatian Cyrillic: краљ/kralj, Turkish: kral. This development parallels that of the name of the Caesars in the original Roman Empire, which became kaiser and tsar (or czar), among others.

Political background

Francia, early 8th century

By the 6th century, the western Germanic tribe of the Franks had been Christianised, due in considerable measure to the Catholic conversion of Clovis I. Francia, ruled by the Merovingians, was the most powerful of the kingdoms that succeeded the Western Roman Empire. Following the Battle of Tertry, the Merovingians declined into powerlessness, for which they have been dubbed the rois fainéants ("do-nothing kings"). Almost all government powers were exercised by their chief officer, the mayor of the palace.

In 687, Pepin of Herstal, mayor of the palace of Austrasia, ended the strife between various kings and their mayors with his victory at Tertry. He became the sole governor of the entire Frankish kingdom. Pepin was the grandson of two important figures of the Austrasian Kingdom: Saint Arnulf of Metz and Pepin of Landen. Pepin of Herstal was eventually succeeded by his son Charles, later known as Charles Martel (Charles the Hammer).

After 737, Charles governed the Franks in lieu of a king and declined to call himself king. Charles was succeeded in 741 by his sons Carloman and Pepin the Short, the father of Charlemagne. In 743, the brothers placed Childeric III on the throne to curb separatism in the periphery. He was the last Merovingian king. Carloman resigned office in 746, preferring to enter the church as a monk. Pepin brought the question of the kingship before Pope Zachary, asking whether it was logical for a king to have no royal power. The pope handed down his decision in 749, decreeing that it was better for Pepin to be called king, as he had the powers of high office as Mayor, so as not to confuse the hierarchy. He, therefore, ordered him to become the true king.

In 750, Pepin was elected by an assembly of the Franks, anointed by the archbishop, and then raised to the office of king. The Pope branded Childeric III as "the false king" and ordered him into a monastery. The Merovingian dynasty was thereby replaced by the Carolingian dynasty, named after Charles Martel. In 753, Pope Stephen II fled from Italy to Francia, appealing to Pepin for assistance for the rights of St. Peter. He was supported in this appeal by Carloman, Charles' brother. In return, the pope could provide only legitimacy. He did this by again anointing and confirming Pepin, this time adding his young sons Carolus (Charlemagne) and Carloman to the royal patrimony. They thereby became heirs to the realm that already covered most of western Europe. In 754, Pepin accepted the Pope's invitation to visit Italy on behalf of St. Peter's rights, dealing successfully with the Lombards.

Under the Carolingians, the Frankish kingdom spread to encompass an area including most of Western Europe; the east–west division of the kingdom formed the basis for modern France and Germany. Orman portrays the Treaty of Verdun (843) between the warring grandsons of Charlemagne as the foundation event of an independent France under its first king Charles the Bald; an independent Germany under its first king Louis the German; and an independent intermediate state stretching from the Low Countries along the borderlands to south of Rome under Lothair I, who retained the title of emperor and the capitals Aachen and Rome without the jurisdiction. The middle kingdom had broken up by 890 and partly absorbed into the Western kingdom (later France) and the Eastern kingdom (Germany) and the rest developing into smaller "buffer" nations that exist between France and Germany to this day, namely Benelux and Switzerland.

Rise to power

Early life

Date of birth

The most likely date of Charlemagne's birth is reconstructed from several sources. The date of 742—calculated from Einhard's date of death of January 814 at age 72—predates the marriage of his parents in 744. The year given in the Annales Petaviani, 747, would be more likely, except that it contradicts Einhard and a few other sources in making Charlemagne sixty-seven years old at his death. The month and day of 2 April are based on a calendar from Lorsch Abbey.

In 747, Easter fell on 2 April, a coincidence that likely would have been remarked upon by chroniclers but was not. If Easter was being used as the beginning of the calendar year, then 2 April 747 could have been, by modern reckoning, April 748 (not on Easter). The date favoured by the preponderance of evidence is 2 April 742, based on Charlemagne's age at the time of his death. This date supports the concept that Charlemagne was technically an illegitimate child, although that is not mentioned by Einhard in either since he was born out of wedlock; Pepin and Bertrada were bound by a private contract or Friedelehe at the time of his birth, but did not marry until 744.

Place of birth

Roman road connecting Tongeren to the Herstal region. Jupille and Herstal, near Liege, are located in the lower right corner.

Charlemagne's exact birthplace is unknown, although historians have suggested Aachen in modern-day Germany, and Liège (Herstal) in present-day Belgium as possible locations. Aachen and Liège are close to the region whence the Merovingian and Carolingian families originated. Other cities have been suggested, including Düren, Gauting, Mürlenbach, Quierzy, and Prüm. No definitive evidence resolves the question.

Ancestry

External video
Charlemagne at dinner - British Library Royal MS 15 E vi f155r (detail).jpg
video icon The Early Middle Ages, 284–1000: Charlemagne, 46:14, YaleCourses on YouTube, Yale University
video icon Charlemagne: An Introduction, Smarthistory, 7:49, Khan Academy

Charlemagne was the eldest child of Pepin the Short (714 – 24 September 768, reigned from 751) and his wife Bertrada of Laon (720 – 12 July 783), daughter of Caribert of Laon. Many historians consider Charlemagne (Charles) to have been illegitimate, although some state that this is arguable, because Pepin did not marry Bertrada until 744, which was after Charles' birth; this status did not exclude him from the succession.

Records name only Carloman, Gisela, and three short-lived children named Pepin, Chrothais and Adelais as his younger siblings.

It would be folly, I think, to write a word concerning Charles' birth and infancy, or even his boyhood, for nothing has ever been written on the subject, and there is no one alive now who can give information on it.

— Einhard

Ambiguous high office

The most powerful officers of the Frankish people, the Mayor of the Palace (Maior Domus) and one or more kings (rex, reges), were appointed by the election of the people. Elections were not periodic, but were held as required to elect officers ad quos summa imperii pertinebat, "to whom the highest matters of state pertained". Evidently, interim decisions could be made by the Pope, which ultimately needed to be ratified using an assembly of the people that met annually.

Before he was elected king in 751, Pepin was initially a mayor, a high office he held "as though hereditary" (velut hereditario fungebatur). Einhard explains that "the honour" was usually "given by the people" to the distinguished, but Pepin the Great and his brother Carloman the Wise received it as though hereditary, as had their father, Charles Martel. There was, however, a certain ambiguity about quasi-inheritance. The office was treated as joint property: one Mayorship held by two brothers jointly. Each, however, had his own geographic jurisdiction. When Carloman decided to resign, becoming ultimately a Benedictine at Monte Cassino, the question of the disposition of his quasi-share was settled by the pope. He converted the mayorship into a kingship and awarded the joint property to Pepin, who gained the right to pass it on by inheritance.

This decision was not accepted by all family members. Carloman had consented to the temporary tenancy of his own share, which he intended to pass on to his son, Drogo, when the inheritance should be settled at someone's death. By the Pope's decision, in which Pepin had a hand, Drogo was to be disqualified as an heir in favour of his cousin Charles. He took up arms in opposition to the decision and was joined by Grifo, a half-brother of Pepin and Carloman, who had been given a share by Charles Martel, but was stripped of it and held under loose arrest by his half-brothers after an attempt to seize their shares by military action. Grifo perished in combat in the Battle of Saint-Jean-de-Maurienne while Drogo was hunted down and taken into custody.

On the death of Pepin, 24 September 768, the kingship passed jointly to his sons, "with divine assent" (divino nutu). According to the Life, Pepin died in Paris. The Franks "in general assembly" (generali conventu) gave them both the rank of a king (reges) but "partitioned the whole body of the kingdom equally" (totum regni corpus ex aequo partirentur). The annals tell a slightly different version, with the king dying at St-Denis, near Paris. The two "lords" (domni) were "elevated to kingship" (elevati sunt in regnum), Charles on 9 October in Noyon, Carloman on an unspecified date in Soissons. If born in 742, Charles was 26 years old, but he had been campaigning at his father's right hand for several years, which may help to account for his military skill. Carloman was 17.

The language, in either case, suggests that there were not two inheritances, which would have created distinct kings ruling over distinct kingdoms, but a single joint inheritance and a joint kingship tenanted by two equal kings, Charles and his brother Carloman. As before, distinct jurisdictions were awarded. Charles received Pepin's original share as Mayor: the outer parts of the kingdom bordering on the sea, namely Neustria, western Aquitaine, and the northern parts of Austrasia; while Carloman was awarded his uncle's former share, the inner parts: southern Austrasia, Septimania, eastern Aquitaine, Burgundy, Provence, and Swabia, lands bordering Italy. The question of whether these jurisdictions were joint shares reverting to the other brother if one brother died or were inherited property passed on to the descendants of the brother who died was never definitely settled. It came up repeatedly over the succeeding decades until the grandsons of Charlemagne created distinct sovereign kingdoms.

Aquitainian rebellion

Formation of a new Aquitaine

In southern Gaul, Aquitaine had been Romanised and people spoke a Romance language. Similarly, Hispania had been populated by peoples who spoke various languages, including Celtic, but these had now been mostly replaced by Romance languages. Between Aquitaine and Hispania were the Euskaldunak, Latinised to Vascones, or Basques, whose country, Vasconia, extended, according to the distributions of place names attributable to the Basques, mainly in the western Pyrenees but also as far south as the upper Ebro River in Spain and as far north as the Garonne River in France. The French name Gascony derives from Vasconia. The Romans were never able to subjugate the whole of Vasconia. The soldiers they recruited for the Roman legions from those parts they did submit and where they founded the region's first cities were valued for their fighting abilities. The border with Aquitaine was at Toulouse.

In about 660, the Duchy of Vasconia united with the Duchy of Aquitaine to form a single realm under Felix of Aquitaine, ruling from Toulouse. This was a joint kingship with a Basque Duke, Lupus I. Lupus is the Latin translation of Basque Otsoa, "wolf". At Felix's death in 670 the joint property of the kingship reverted entirely to Lupus. As the Basques had no law of joint inheritance but relied on primogeniture, Lupus in effect founded a hereditary dynasty of Basque rulers of an expanded Aquitaine.

Acquisition of Aquitaine by the Carolingians

The Latin chronicles of the end of Visigothic Hispania omit many details, such as identification of characters, filling in the gaps and reconciliation of numerous contradictions. Muslim sources, however, present a more coherent view, such as in the Ta'rikh iftitah al-Andalus ("History of the Conquest of al-Andalus") by Ibn al-Qūṭiyya ("the son of the Gothic woman", referring to the granddaughter of Wittiza, the last Visigothic king of a united Hispania, who married a Moor). Ibn al-Qūṭiyya, who had another, much longer name, must have been relying to some degree on family oral tradition.

According to Ibn al-Qūṭiyya Wittiza, the last Visigothic king of a united Hispania died before his three sons, Almund, Romulo, and Ardabast reached maturity. Their mother was queen regent at Toledo, but Roderic, army chief of staff, staged a rebellion, capturing Córdoba. He chose to impose a joint rule over distinct jurisdictions on the true heirs. Evidence of a division of some sort can be found in the distribution of coins imprinted with the name of each king and in the king lists. Wittiza was succeeded by Roderic, who reigned for seven and a half years, followed by Achila (Aquila), who reigned three and a half years. If the reigns of both terminated with the incursion of the Saracens, then Roderic appears to have reigned a few years before the majority of Achila. The latter's kingdom is securely placed to the northeast, while Roderic seems to have taken the rest, notably modern Portugal.

The Saracens crossed the mountains to claim Ardo's Septimania, only to encounter the Basque dynasty of Aquitaine, always the allies of the Goths. Odo the Great of Aquitaine was at first victorious at the Battle of Toulouse in 721. Saracen troops gradually massed in Septimania and in 732 an army under Emir Abdul Rahman Al Ghafiqi advanced into Vasconia, and Odo was defeated at the Battle of the River Garonne. They took Bordeaux and were advancing towards Tours when Odo, powerless to stop them, appealed to his arch-enemy, Charles Martel, mayor of the Franks. In one of the first of the lightning marches for which the Carolingian kings became famous, Charles and his army appeared in the path of the Saracens between Tours and Poitiers, and in the Battle of Tours decisively defeated and killed al-Ghafiqi. The Moors returned twice more, each time suffering defeat at Charles' hands—at the River Berre near Narbonne in 737 and in the Dauphiné in 740. Odo's price for salvation from the Saracens was incorporation into the Frankish kingdom, a decision that was repugnant to him and also to his heirs.

Loss and recovery of Aquitaine

After the death of his father, Hunald I allied himself with free Lombardy. However, Odo had ambiguously left the kingdom jointly to his two sons, Hunald and Hatto. The latter, loyal to Francia, now went to war with his brother over full possession. Victorious, Hunald blinded and imprisoned his brother, only to be so stricken by conscience that he resigned and entered the church as a monk to do penance. The story is told in Annales Mettenses priores. His son Waifer took an early inheritance, becoming duke of Aquitaine and ratified the alliance with Lombardy. Waifer decided to honour it, repeating his father's decision, which he justified by arguing that any agreements with Charles Martel became invalid on Martel's death. Since Aquitaine was now Pepin's inheritance because of the earlier assistance that was given by Charles Martel, according to some the latter and his son, the young Charles, hunted down Waifer, who could only conduct a guerrilla war, and executed him.

Among the contingents of the Frankish army were Bavarians under Tassilo III, Duke of Bavaria, an Agilofing, the hereditary Bavarian ducal family. Grifo had installed himself as Duke of Bavaria, but Pepin replaced him with a member of the ducal family yet a child, Tassilo, whose protector he had become after the death of his father. The loyalty of the Agilolfings was perpetually in question, but Pepin exacted numerous oaths of loyalty from Tassilo. However, the latter had married Liutperga, a daughter of Desiderius, king of Lombardy. At a critical point in the campaign, Tassilo left the field with all his Bavarians. Out of reach of Pepin, he repudiated all loyalty to Francia. Pepin had no chance to respond as he grew ill and died within a few weeks after Waifer's execution.

The first event of the brothers' reign was the uprising of the Aquitainians and Gascons, in 769, in that territory split between the two kings. One year earlier, Pepin had finally defeated Waifer, Duke of Aquitaine, after waging a destructive, ten-year war against Aquitaine. Now, Hunald II led the Aquitainians as far north as Angoulême. Charles met Carloman, but Carloman refused to participate and returned to Burgundy. Charles went to war, leading an army to Bordeaux, where he set up a fort at Fronsac. Hunald was forced to flee to the court of Duke Lupus II of Gascony. Lupus, fearing Charles, turned Hunald over in exchange for peace, and Hunald was put in a monastery. Gascon lords also surrendered, and Aquitaine and Gascony were finally fully subdued by the Franks.

Marriage to Desiderata

The brothers maintained lukewarm relations with the assistance of their mother Bertrada, but in 770 Charles signed a treaty with Duke Tassilo III of Bavaria and married a Lombard Princess (commonly known today as Desiderata), the daughter of King Desiderius, to surround Carloman with his own allies. Though Pope Stephen III first opposed the marriage with the Lombard princess, he found little to fear from a Frankish-Lombard alliance.

Less than a year after his marriage, Charlemagne repudiated Desiderata and married a 13-year-old Swabian named Hildegard. The repudiated Desiderata returned to her father's court at Pavia. Her father's wrath was now aroused, and he would have gladly allied with Carloman to defeat Charles. Before any open hostilities could be declared, however, Carloman died on 5 December 771, apparently of natural causes. Carloman's widow Gerberga fled to Desiderius' court with her sons for protection.

Wives, concubines, and children

Charlemagne had eighteen children with eight of his ten known wives or concubines. Nonetheless, he had only four legitimate grandsons, the four sons of his fourth son, Louis. In addition, he had a grandson (Bernard of Italy, the only son of his third son, Pepin of Italy), who was illegitimate but included in the line of inheritance. Among his descendants are several royal dynasties, including the Habsburg, and Capetian dynasties. By consequence, most if not all established European noble families ever since can genealogically trace some of their background to Charlemagne.




c. 768 His first relationship was with Himiltrude. The nature of this relationship is variously described as concubinage, a legal marriage, or a Friedelehe.[f] (Charlemagne put her aside when he married Desiderata.) The union with Himiltrude produced a son:
Start date Wives and their children Concubines and their children
c. 770 After her, his first wife was Desiderata, daughter of Desiderius, king of the Lombards; married in 770, annulled in 771.
c. 771 His second wife was Hildegard of the Vinzgau (757/758–783), married 771, died 783. By her he had nine children:
c. 773
His first known concubine was Gersuinda. By her he had:
  • Adaltrude (b. 774)
c. 774
His second known concubine was Madelgard. By her he had:
c. 784 His third wife was Fastrada, married 784, died 794. By her he had:
c. 794 His fourth wife was Luitgard, married 794, died childless.
c. 800
His fourth known concubine was Regina. By her he had:
c. 804
His fifth known concubine was Ethelind. By her he had:

Children

Charlemagne (left) and Pepin the Hunchback (10th-century copy of 9th-century original)

During the first peace of any substantial length (780–782), Charles began to appoint his sons to positions of authority. In 781, during a visit to Rome, he made his two youngest sons kings, crowned by the Pope. The elder of these two, Carloman, was made the king of Italy, taking the Iron Crown that his father had first worn in 774, and in the same ceremony was renamed "Pepin" (not to be confused with Charlemagne's eldest, possibly illegitimate son, Pepin the Hunchback). The younger of the two, Louis, became King of Aquitaine. Charlemagne ordered Pepin and Louis to be raised in the customs of their kingdoms, and he gave their regents some control of their subkingdoms, but kept the real power, though he intended his sons to inherit their realms. He did not tolerate insubordination in his sons: in 792, he banished Pepin the Hunchback to Prüm Abbey because the young man had joined a rebellion against him.

Charles was determined to have his children educated, including his daughters, as his parents had instilled the importance of learning in him at an early age. His children were also taught skills in accord with their aristocratic status, which included training in riding and weaponry for his sons, and embroidery, spinning and weaving for his daughters.

The sons fought many wars on behalf of their father. Charles was mostly preoccupied with the Bretons, whose border he shared and who insurrected on at least two occasions and were easily put down. He also fought the Saxons on multiple occasions. In 805 and 806, he was sent into the Böhmerwald (modern Bohemia) to deal with the Slavs living there (Bohemian tribes, ancestors of the modern Czechs). He subjected them to Frankish authority and devastated the valley of the Elbe, forcing tribute from them. Pippin had to hold the Avar and Beneventan borders and fought the Slavs to his north. He was uniquely poised to fight the Byzantine Empire when that conflict arose after Charlemagne's imperial coronation and a Venetian rebellion. Finally, Louis was in charge of the Spanish March and fought the Duke of Benevento in southern Italy on at least one occasion. He took Barcelona in a great siege in 797.

Charlemagne instructing his son Louis the Pious

Charlemagne kept his daughters at home with him and refused to allow them to contract sacramental marriages (though he originally condoned an engagement between his eldest daughter Rotrude and Constantine VI of Byzantium, this engagement was annulled when Rotrude was 11). Charlemagne's opposition to his daughters' marriages may possibly have intended to prevent the creation of cadet branches of the family to challenge the main line, as had been the case with Tassilo of Bavaria. However, he tolerated their extramarital relationships, even rewarding their common-law husbands and treasuring the illegitimate grandchildren they produced for him. He also refused to believe stories of their wild behaviour. After his death the surviving daughters were banished from the court by their brother, the pious Louis, to take up residence in the convents they had been bequeathed by their father. At least one of them, Bertha, had a recognised relationship, if not a marriage, with Angilbert, a member of Charlemagne's court circle.

Italian campaigns

Conquest of the Lombard kingdom

The Frankish king Charlemagne was a devout Catholic and maintained a close relationship with the papacy throughout his life. In 772, when Pope Adrian I was threatened by invaders, the king rushed to Rome to provide assistance. Shown here, the pope asks Charlemagne for help at a meeting near Rome.

At his succession in 772, Pope Adrian I demanded the return of certain cities in the former exarchate of Ravenna in accordance with a promise at the succession of Desiderius. Instead, Desiderius took over certain papal cities and invaded the Pentapolis, heading for Rome. Adrian sent ambassadors to Charlemagne in autumn requesting he enforce the policies of his father, Pepin. Desiderius sent his own ambassadors denying the pope's charges. The ambassadors met at Thionville, and Charlemagne upheld the pope's side. Charlemagne demanded what the pope had requested, but Desiderius swore never to comply. Charlemagne and his uncle Bernard crossed the Alps in 773 and chased the Lombards back to Pavia, which they then besieged. Charlemagne temporarily left the siege to deal with Adelchis, son of Desiderius, who was raising an army at Verona. The young prince was chased to the Adriatic littoral and fled to Constantinople to plead for assistance from Constantine V, who was waging war with Bulgaria.

The siege lasted until the spring of 774 when Charlemagne visited the pope in Rome. There he confirmed his father's grants of land, with some later chronicles falsely claiming that he also expanded them, granting Tuscany, Emilia, Venice and Corsica. The pope granted him the title patrician. He then returned to Pavia, where the Lombards were on the verge of surrendering. In return for their lives, the Lombards surrendered and opened the gates in early summer. Desiderius was sent to the abbey of Corbie, and his son Adelchis died in Constantinople, a patrician. Charles, unusually, had himself crowned with the Iron Crown and made the magnates of Lombardy pay homage to him at Pavia. Only Duke Arechis II of Benevento refused to submit and proclaimed independence. Charlemagne was then master of Italy as king of the Lombards. He left Italy with a garrison in Pavia and a few Frankish counts in place the same year.

Instability continued in Italy. In 776, Dukes Hrodgaud of Friuli and Hildeprand of Spoleto rebelled. Charlemagne rushed back from Saxony and defeated the Duke of Friuli in battle; the Duke was slain. The Duke of Spoleto signed a treaty. Their co-conspirator, Arechis, was not subdued, and Adelchis, their candidate in Byzantium, never left that city. Northern Italy was now faithfully his.

Southern Italy

In 787, Charlemagne directed his attention towards the Duchy of Benevento, where Arechis II was reigning independently with the self-given title of Princeps. Charlemagne's siege of Salerno forced Arechis into submission. However, after Arechis II's death in 787, his son Grimoald III proclaimed the Duchy of Benevento newly independent. Grimoald was attacked many times by Charles' or his sons' armies, without achieving a definitive victory. Charlemagne lost interest and never again returned to Southern Italy where Grimoald was able to keep the Duchy free from Frankish suzerainty.

Carolingian expansion to the south

Vasconia and the Pyrenees

The destructive war led by Pepin in Aquitaine, although brought to a satisfactory conclusion for the Franks, proved the Frankish power structure south of the Loire was feeble and unreliable. After the defeat and death of Waiofar in 768, while Aquitaine submitted again to the Carolingian dynasty, a new rebellion broke out in 769 led by Hunald II, a possible son of Waifer. He took refuge with the ally Duke Lupus II of Gascony, but probably out of fear of Charlemagne's reprisal, Lupus handed him over to the new King of the Franks to whom he pledged loyalty, which seemed to confirm the peace in the Basque area south of the Garonne. In the campaign of 769, Charlemagne seems to have followed a policy of "overwhelming force" and avoided a major pitched battle.

Wary of new Basque uprisings, Charlemagne seems to have tried to contain Duke Lupus's power by appointing Seguin as the Count of Bordeaux (778) and other counts of Frankish background in bordering areas (Toulouse, County of Fézensac). The Basque Duke, in turn, seems to have contributed decisively or schemed the Battle of Roncevaux Pass (referred to as "Basque treachery"). The defeat of Charlemagne's army in Roncevaux (778) confirmed his determination to rule directly by establishing the Kingdom of Aquitaine (ruled by Louis the Pious) based on a power base of Frankish officials, distributing lands among colonisers and allocating lands to the Church, which he took as an ally. A Christianisation programme was put in place across the high Pyrenees (778).

The new political arrangement for Vasconia did not sit well with local lords. As of 788 Adalric was fighting and capturing Chorson, Carolingian Count of Toulouse. He was eventually released, but Charlemagne, enraged at the compromise, decided to depose him and appointed his trustee William of Gellone. William, in turn, fought the Basques and defeated them after banishing Adalric (790).

From 781 (Pallars, Ribagorça) to 806 (Pamplona under Frankish influence), taking the County of Toulouse for a power base, Charlemagne asserted Frankish authority over the Pyrenees by subduing the south-western marches of Toulouse (790) and establishing vassal counties on the southern Pyrenees that were to make up the Marca Hispanica. As of 794, a Frankish vassal, the Basque lord Belasko (al-Galashki, 'the Gaul') ruled Álava, but Pamplona remained under Cordovan and local control up to 806. Belasko and the counties in the Marca Hispánica provided the necessary base to attack the Andalusians (an expedition led by William Count of Toulouse and Louis the Pious to capture Barcelona in 801). Events in the Duchy of Vasconia (rebellion in Pamplona, count overthrown in Aragon, Duke Seguin of Bordeaux deposed, uprising of the Basque lords, etc.) were to prove it ephemeral upon Charlemagne's death.

Roncesvalles campaign

According to the Muslim historian Ibn al-Athir, the Diet of Paderborn had received the representatives of the Muslim rulers of Zaragoza, Girona, Barcelona and Huesca. Their masters had been cornered in the Iberian peninsula by Abd ar-Rahman I, the Umayyad emir of Cordova. These "Saracen" (Moorish and Muwallad) rulers offered their homage to the king of the Franks in return for military support. Seeing an opportunity to extend Christendom and his own power and believing the Saxons to be a fully conquered nation, Charlemagne agreed to go to Spain.

In 778, he led the Neustrian army across the Western Pyrenees, while the Austrasians, Lombards, and Burgundians passed over the Eastern Pyrenees. The armies met at Saragossa and Charlemagne received the homage of the Muslim rulers, Sulayman al-Arabi and Kasmin ibn Yusuf, but the city did not fall for him. Indeed, Charlemagne faced the toughest battle of his career. The Muslims forced him to retreat. He decided to go home since he could not trust the Basques, whom he had subdued by conquering Pamplona. He turned to leave Iberia, but as he was passing through the Pass of Roncesvalles one of the most famous events of his reign occurred. The Basques attacked and destroyed his rearguard and baggage train. The Battle of Roncevaux Pass, though less a battle than a skirmish, left many famous dead, including the seneschal Eggihard, the count of the palace Anselm, and the warden of the Breton March, Roland, inspiring the subsequent creation of the Song of Roland (La Chanson de Roland).

Contact with the Saracens

Harun al-Rashid receiving a delegation of Charlemagne in Baghdad, by Julius Köckert (1864)

The conquest of Italy brought Charlemagne in contact with the Saracens who, at the time, controlled the Mediterranean. Charlemagne's eldest son, Pepin the Hunchback, was much occupied with Saracens in Italy. Charlemagne conquered Corsica and Sardinia at an unknown date and in 799 the Balearic Islands. The islands were often attacked by Saracen pirates, but the counts of Genoa and Tuscany (Boniface) controlled them with large fleets until the end of Charlemagne's reign. Charlemagne even had contact with the caliphal court in Baghdad. In 797 (or possibly 801), the caliph of Baghdad, Harun al-Rashid, presented Charlemagne with an Asian elephant named Abul-Abbas and a clock.

Wars with the Moors

In Hispania, the struggle against the Moors continued unabated throughout the latter half of his reign. Louis was in charge of the Spanish border. In 785, his men captured Girona permanently and extended Frankish control into the Catalan littoral for the duration of Charlemagne's reign (the area remained nominally Frankish until the Treaty of Corbeil in 1258). The Muslim chiefs in the northeast of Islamic Spain were constantly rebelling against Cordovan authority, and they often turned to the Franks for help. The Frankish border was slowly extended until 795, when Girona, Cardona, Ausona and Urgell were united into the new Spanish March, within the old duchy of Septimania.

In 797, Barcelona, the greatest city of the region, fell to the Franks when Zeid, its governor, rebelled against Cordova and, failing, handed it to them. The Umayyad authority recaptured it in 799. However, Louis of Aquitaine marched the entire army of his kingdom over the Pyrenees and besieged it for two years, wintering there from 800 to 801, when it capitulated. The Franks continued to press forward against the emir. They probably took Tarragona and forced the submission of Tortosa in 809. The last conquest brought them to the mouth of the Ebro and gave them raiding access to Valencia, prompting the Emir al-Hakam I to recognise their conquests in 813.

Eastern campaigns

Saxon Wars

Charlemagne's additions to the Frankish Kingdom

Charlemagne was engaged in almost constant warfare throughout his reign, often at the head of his elite scara bodyguard squadrons. In the Saxon Wars, spanning thirty years and eighteen battles, he conquered Saxonia and proceeded to convert it to Christianity.

The Germanic Saxons were divided into four subgroups in four regions. Nearest to Austrasia was Westphalia and farthest away was Eastphalia. Between them was Engria and north of these three, at the base of the Jutland peninsula, was Nordalbingia.

In his first campaign, in 773, Charlemagne forced the Engrians to submit and cut down an Irminsul pillar near Paderborn. The campaign was cut short by his first expedition to Italy. He returned in 775, marching through Westphalia and conquering the Saxon fort at Sigiburg. He then crossed Engria, where he defeated the Saxons again. Finally, in Eastphalia, he defeated a Saxon force, and its leader Hessi converted to Christianity. Charlemagne returned through Westphalia, leaving encampments at Sigiburg and Eresburg, which had been important Saxon bastions. He then controlled Saxony with the exception of Nordalbingia, but Saxon resistance had not ended.

Following his subjugation of the Dukes of Friuli and Spoleto, Charlemagne returned rapidly to Saxony in 776, where a rebellion had destroyed his fortress at Eresburg. The Saxons were once again defeated, but their main leader, Widukind, escaped to Denmark, his wife's home. Charlemagne built a new camp at Karlstadt. In 777, he called a national diet at Paderborn to integrate Saxony fully into the Frankish kingdom. Many Saxons were baptised as Christians.

In the summer of 779, he again invaded Saxony and reconquered Eastphalia, Engria and Westphalia. At a diet near Lippe, he divided the land into missionary districts and himself assisted in several mass baptisms (780). He then returned to Italy and, for the first time, the Saxons did not immediately revolt. Saxony was peaceful from 780 to 782.

Charlemagne receiving the submission of Widukind at Paderborn in 785, painted c. 1840 by Ary Scheffer

He returned to Saxony in 782 and instituted a code of law and appointed counts, both Saxon and Frank. The laws were draconian on religious issues; for example, the Capitulatio de partibus Saxoniae prescribed death to Saxon pagans who refused to convert to Christianity. This led to renewed conflict. That year, in autumn, Widukind returned and led a new revolt. In response, at Verden in Lower Saxony, Charlemagne is recorded as having ordered the execution of 4,500 Saxon prisoners by beheading, known as the Massacre of Verden ("Verdener Blutgericht"). The killings triggered three years of renewed bloody warfare. During this war, the East Frisians between the Lauwers and the Weser joined the Saxons in revolt and were finally subdued. The war ended with Widukind accepting baptism. The Frisians afterwards asked for missionaries to be sent to them and a bishop of their own nation, Ludger, was sent. Charlemagne also promulgated a law code, the Lex Frisonum, as he did for most subject peoples.

Thereafter, the Saxons maintained the peace for seven years, but in 792 Westphalia again rebelled. The Eastphalians and Nordalbingians joined them in 793, but the insurrection was unpopular and was put down by 794. An Engrian rebellion followed in 796, but the presence of Charlemagne, Christian Saxons and Slavs quickly crushed it. The last insurrection occurred in 804, more than thirty years after Charlemagne's first campaign against them, but also failed. According to Einhard:

The war that had lasted so many years was at length ended by their acceding to the terms offered by the King; which were renunciation of their national religious customs and the worship of devils, acceptance of the sacraments of the Christian faith and religion, and union with the Franks to form one people.

Submission of Bavaria

By 774, Charlemagne had invaded the Kingdom of Lombardy, and he later annexed the Lombardian territories and assumed its crown, placing the Papal States under Frankish protection. The Duchy of Spoleto south of Rome was acquired in 774, while in the central western parts of Europe, the Duchy of Bavaria was absorbed and the Bavarian policy continued of establishing tributary marches, (borders protected in return for tribute or taxes) among the Slavic Serbs and Czechs. The remaining power confronting the Franks in the east were the Avars. However, Charlemagne acquired other Slavic areas, including Bohemia, Moravia, Austria and Croatia.

In 789, Charlemagne turned to Bavaria. He claimed that Tassilo III, Duke of Bavaria was an unfit ruler, due to his oath-breaking. The charges were exaggerated, but Tassilo was deposed anyway and put in the monastery of Jumièges. In 794, Tassilo was made to renounce any claim to Bavaria for himself and his family (the Agilolfings) at the synod of Frankfurt; he formally handed over to the king all of the rights he had held. Bavaria was subdivided into Frankish counties, as had been done with Saxony.

Avar campaigns

In 788, the Avars, an Asian nomadic group that had settled down in what is today Hungary (Einhard called them Huns), invaded Friuli and Bavaria. Charlemagne was preoccupied with other matters until 790 when he marched down the Danube and ravaged Avar territory to the Győr. A Lombard army under Pippin then marched into the Drava valley and ravaged Pannonia. The campaigns ended when the Saxons revolted again in 792.

For the next two years, Charlemagne was occupied, along with the Slavs, against the Saxons. Pippin and Duke Eric of Friuli continued, however, to assault the Avars' ring-shaped strongholds. The great Ring of the Avars, their capital fortress, was taken twice. The booty was sent to Charlemagne at his capital, Aachen, and redistributed to his followers and to foreign rulers, including King Offa of Mercia. Soon the Avar tuduns had lost the will to fight and travelled to Aachen to become vassals to Charlemagne and to become Christians. Charlemagne accepted their surrender and sent one native chief, baptised Abraham, back to Avaria with the ancient title of khagan. Abraham kept his people in line, but in 800, the Bulgarians under Khan Krum attacked the remains of the Avar state.

In 803, Charlemagne sent a Bavarian army into Pannonia, defeating and bringing an end to the Avar confederation.

In November of the same year, Charlemagne went to Regensburg where the Avar leaders acknowledged him as their ruler. In 805, the Avar khagan, who had already been baptised, went to Aachen to ask permission to settle with his people south-eastward from Vienna. The Transdanubian territories became integral parts of the Frankish realm, which was abolished by the Magyars in 899–900.

Northeast Slav expeditions

In 789, in recognition of his new pagan neighbours, the Slavs, Charlemagne marched an Austrasian-Saxon army across the Elbe into Obotrite territory. The Slavs ultimately submitted, led by their leader Witzin. Charlemagne then accepted the surrender of the Veleti under Dragovit and demanded many hostages. He also demanded permission to send missionaries into this pagan region unmolested. The army marched to the Baltic before turning around and marching to the Rhine, winning much booty with no harassment. The tributary Slavs became loyal allies. In 795, when the Saxons broke the peace, the Abotrites and Veleti rebelled with their new ruler against the Saxons. Witzin died in battle and Charlemagne avenged him by harrying the Eastphalians on the Elbe. Thrasuco, his successor, led his men to conquest over the Nordalbingians and handed their leaders over to Charlemagne, who honoured him. The Abotrites remained loyal until Charles' death and fought later against the Danes.

Southeast Slav expeditions

Europe around 800

When Charlemagne incorporated much of Central Europe, he brought the Frankish state face to face with the Avars and Slavs in the southeast. The most southeast Frankish neighbours were Croats, who settled in Lower Pannonia and Duchy of Croatia. While fighting the Avars, the Franks had called for their support. During the 790s, he won a major victory over them in 796. Duke Vojnomir of Lower Pannonia aided Charlemagne, and the Franks made themselves overlords over the Croats of northern Dalmatia, Slavonia and Pannonia.

The Frankish commander Eric of Friuli wanted to extend his dominion by conquering the Littoral Croat Duchy. During that time, Dalmatian Croatia was ruled by Duke Višeslav of Croatia. In the Battle of Trsat, the forces of Eric fled their positions and were routed by the forces of Višeslav. Eric was among those killed which was a great blow for the Carolingian Empire.

Charlemagne also directed his attention to the Slavs to the west of the Avar khaganate: the Carantanians and Carniolans. These people were subdued by the Lombards and Bavarii and made tributaries, but were never fully incorporated into the Frankish state.

Imperium

Coronation

Imperial Coronation of Charlemagne, by Friedrich Kaulbach, 1861

In 799, Pope Leo III had been assaulted by some of the Romans, who tried to put out his eyes and tear out his tongue. Leo escaped and fled to Charlemagne at Paderborn. Charlemagne, advised by scholar Alcuin, travelled to Rome, in November 800 and held a synod. On 23 December, Leo swore an oath of innocence to Charlemagne. His position having thereby been weakened, the Pope sought to restore his status. Two days later, at Mass, on Christmas Day (25 December), when Charlemagne knelt at the altar to pray, the Pope crowned him Imperator Romanorum ("Emperor of the Romans") in Saint Peter's Basilica. In so doing, the Pope rejected the legitimacy of Empress Irene of Constantinople:

Pope Leo III, crowning Charlemagne from Chroniques de France ou de Saint Denis, vol. 1; France, second quarter of 14th century.

When Odoacer compelled the abdication of Romulus Augustulus, he did not abolish the Western Empire as a separate power, but caused it to be reunited with or sink into the Eastern, so that from that time there was a single undivided Roman Empire ... [Pope Leo III and Charlemagne], like their predecessors, held the Roman Empire to be one and indivisible, and proposed by the coronation of [Charlemagne] not to proclaim a severance of the East and West ... they were not revolting against a reigning sovereign, but legitimately filling up the place of the deposed Constantine VI ... [Charlemagne] was held to be the legitimate successor, not of Romulus Augustulus, but of Constantine VI ...

Charlemagne's coronation as Emperor, though intended to represent the continuation of the unbroken line of Emperors from Augustus to Constantine VI, had the effect of setting up two separate (and often opposing) Empires and two separate claims to imperial authority. It led to war in 802, and for centuries to come, the Emperors of both West and East would make competing claims of sovereignty over the whole.

Einhard says that Charlemagne was ignorant of the Pope's intent and did not want any such coronation:

[H]e at first had such an aversion that he declared that he would not have set foot in the Church the day that they [the imperial titles] were conferred, although it was a great feast-day, if he could have foreseen the design of the Pope.

A number of modern scholars, however, suggest that Charlemagne was indeed aware of the coronation; certainly, he cannot have missed the bejewelled crown waiting on the altar when he came to pray—something even contemporary sources support.

Debate

The throne of Charlemagne and the subsequent German Kings in Aachen Cathedral

Historians have debated for centuries whether Charlemagne was aware before the coronation of the Pope's intention to crown him Emperor (Charlemagne declared that he would not have entered Saint Peter's had he known, according to chapter twenty-eight of Einhard's Vita Karoli Magni), but that debate obscured the more significant question of why the Pope granted the title and why Charlemagne accepted it.

Collins points out "[t]hat the motivation behind the acceptance of the imperial title was a romantic and antiquarian interest in reviving the Roman Empire is highly unlikely." For one thing, such romance would not have appealed either to Franks or Roman Catholics at the turn of the ninth century, both of whom viewed the Classical heritage of the Roman Empire with distrust. The Franks took pride in having "fought against and thrown from their shoulders the heavy yoke of the Romans" and "from the knowledge gained in baptism, clothed in gold and precious stones the bodies of the holy martyrs whom the Romans had killed by fire, by the sword and by wild animals", as Pepin III described it in a law of 763 or 764.

Furthermore, the new title—carrying with it the risk that the new emperor would "make drastic changes to the traditional styles and procedures of government" or "concentrate his attentions on Italy or on Mediterranean concerns more generally"—risked alienating the Frankish leadership.

For both the Pope and Charlemagne, the Roman Empire remained a significant power in European politics at this time. The Byzantine Empire, based in Constantinople, continued to hold a substantial portion of Italy, with borders not far south of Rome. Charles' sitting in judgment of the Pope could be seen as usurping the prerogatives of the Emperor in Constantinople:

By whom, however, could he [the Pope] be tried? Who, in other words, was qualified to pass judgement on the Vicar of Christ? In normal circumstances the only conceivable answer to that question would have been the Emperor at Constantinople; but the imperial throne was at this moment occupied by Irene. That the Empress was notorious for having blinded and murdered her own son was, in the minds of both Leo and Charles, almost immaterial: it was enough that she was a woman. The female sex was known to be incapable of governing, and by the old Salic tradition was debarred from doing so. As far as Western Europe was concerned, the Throne of the Emperors was vacant: Irene's claim to it was merely an additional proof, if any were needed, of the degradation into which the so-called Roman Empire had fallen.

Coronation of Charlemagne, drawing by Julius Schnorr von Karolsfeld

For the Pope, then, there was "no living Emperor at that time" though Henri Pirenne disputes this saying that the coronation "was not in any sense explained by the fact that at this moment a woman was reigning in Constantinople". Nonetheless, the Pope took the extraordinary step of creating one. The papacy had since 727 been in conflict with Irene's predecessors in Constantinople over a number of issues, chiefly the continued Byzantine adherence to the doctrine of iconoclasm, the destruction of Christian images; while from 750, the secular power of the Byzantine Empire in central Italy had been nullified.

Coronation of an idealised king, depicted in the Sacramentary of Charles the Bald (about 870)

By bestowing the Imperial crown upon Charlemagne, the Pope arrogated to himself "the right to appoint ... the Emperor of the Romans, ... establishing the imperial crown as his own personal gift but simultaneously granting himself implicit superiority over the Emperor whom he had created." And "because the Byzantines had proved so unsatisfactory from every point of view—political, military and doctrinal—he would select a westerner: the one man who by his wisdom and statesmanship and the vastness of his dominions ... stood out head and shoulders above his contemporaries."

With Charlemagne's coronation, therefore, "the Roman Empire remained, so far as either of them [Charlemagne and Leo] were concerned, one and indivisible, with Charles as its Emperor", though there can have been "little doubt that the coronation, with all that it implied, would be furiously contested in Constantinople".

Alcuin writes hopefully in his letters of an Imperium Christianum ("Christian Empire"), wherein, "just as the inhabitants of the [Roman Empire] had been united by a common Roman citizenship", presumably this new empire would be united by a common Christian faith. This is the view of Pirenne when he says "Charles was the Emperor of the ecclesia as the Pope conceived it, of the Roman Church, regarded as the universal Church". The Imperium Christianum was further supported at a number of synods all across Europe by Paulinus of Aquileia.

What is known, from the Byzantine chronicler Theophanes, is that Charlemagne's reaction to his coronation was to take the initial steps towards securing the Constantinopolitan throne by sending envoys of marriage to Irene, and that Irene reacted somewhat favourably to them.

The Coronation of Charlemagne, by assistants of Raphael, c. 1516–1517

It is important to distinguish between the universalist and localist conceptions of the empire, which remain controversial among historians. According to the former, the empire was a universal monarchy, a "commonwealth of the whole world, whose sublime unity transcended every minor distinction"; and the emperor "was entitled to the obedience of Christendom". According to the latter, the emperor had no ambition for universal dominion; his realm was limited in the same way as that of every other ruler, and when he made more far-reaching claims his object was normally to ward off the attacks either of the Pope or of the Byzantine emperor. According to this view, also, the origin of the empire is to be explained by specific local circumstances rather than by overarching theories.

According to Ohnsorge, for a long time, it had been the custom of Byzantium to designate the German princes as spiritual "sons" of the Romans. What might have been acceptable in the fifth century had become provoking and insulting to the Franks in the eighth century. Charles came to believe that the Roman emperor, who claimed to head the world hierarchy of states, was, in reality, no greater than Charles himself, a king as other kings, since beginning in 629 he had entitled himself "Basileus" (translated literally as "king"). Ohnsorge finds it significant that the chief wax seal of Charles, which bore only the inscription: "Christe, protege Carolum regem Francorum [Christ, protect Charles, king of the Franks], was used from 772 to 813, even during the imperial period and was not replaced by a special imperial seal; indicating that Charles felt himself to be just the king of the Franks. Finally, Ohnsorge points out that in the spring of 813 at Aachen Charles crowned his only surviving son, Louis, as the emperor without recourse to Rome with only the acclamation of his Franks. The form in which this acclamation was offered was Frankish-Christian rather than Roman. This implies both independence from Rome and a Frankish (non-Roman) understanding of empire.

Imperial title

Charlemagne used these circumstances to claim that he was the "renewer of the Roman Empire", which had declined under the Byzantines. In his official charters, Charles preferred the style Karolus serenissimus Augustus a Deo coronatus magnus pacificus imperator Romanum gubernans imperium ("Charles, most serene Augustus crowned by God, the great, peaceful emperor ruling the Roman empire") to the more direct Imperator Romanorum ("Emperor of the Romans").

The title of Emperor remained in the Carolingian family for years to come, but divisions of territory and in-fighting over supremacy of the Frankish state weakened its significance. The papacy itself never forgot the title nor abandoned the right to bestow it. When the family of Charles ceased to produce worthy heirs, the Pope gladly crowned whichever Italian magnate could best protect him from his local enemies. The empire would remain in continuous existence for over a millennium, as the Holy Roman Empire, a true imperial successor to Charles.

Imperial diplomacy

Europe around 814

The iconoclasm of the Byzantine Isaurian Dynasty was endorsed by the Franks. The Second Council of Nicaea reintroduced the veneration of icons under Empress Irene. The council was not recognised by Charlemagne since no Frankish emissaries had been invited, even though Charlemagne ruled more than three provinces of the classical Roman empire and was considered equal in rank to the Byzantine emperor. And while the Pope supported the reintroduction of the iconic veneration, he politically digressed from Byzantium. He certainly desired to increase the influence of the papacy, to honour his saviour Charlemagne, and to solve the constitutional issues then most troubling to European jurists in an era when Rome was not in the hands of an emperor. Thus, Charlemagne's assumption of the imperial title was not a usurpation in the eyes of the Franks or Italians. It was, however, seen as such in Byzantium, where it was protested by Irene and her successor Nikephoros I—neither of whom had any great effect in enforcing their protests.

The East Romans, however, still held several territories in Italy: Venice (what was left of the Exarchate of Ravenna), Reggio (in Calabria), Otranto (in Apulia), and Naples (the Ducatus Neapolitanus). These regions remained outside of Frankish hands until 804, when the Venetians, torn by infighting, transferred their allegiance to the Iron Crown of Pippin, Charles' son. The Pax Nicephori ended. Nicephorus ravaged the coasts with a fleet, initiating the only instance of war between the Byzantines and the Franks. The conflict lasted until 810 when the pro-Byzantine party in Venice gave their city back to the Byzantine Emperor, and the two emperors of Europe made peace: Charlemagne received the Istrian peninsula and in 812 the emperor Michael I Rangabe recognised his status as Emperor, although not necessarily as "Emperor of the Romans".

Danish attacks

After the conquest of Nordalbingia, the Frankish frontier was brought into contact with Scandinavia. The pagan Danes, "a race almost unknown to his ancestors, but destined to be only too well known to his sons" as Charles Oman described them, inhabiting the Jutland peninsula, had heard many stories from Widukind and his allies who had taken refuge with them about the dangers of the Franks and the fury which their Christian king could direct against pagan neighbours.

In 808, the king of the Danes, Godfred, expanded the vast Danevirke across the isthmus of Schleswig. This defence, last employed in the Danish-Prussian War of 1864, was at its beginning a 30 km (19 mi) long earthenwork rampart. The Danevirke protected Danish land and gave Godfred the opportunity to harass Frisia and Flanders with pirate raids. He also subdued the Frank-allied Veleti and fought the Abotrites.

Godfred invaded Frisia, joked of visiting Aachen, but was murdered before he could do any more, either by a Frankish assassin or by one of his own men. Godfred was succeeded by his nephew Hemming, who concluded the Treaty of Heiligen with Charlemagne in late 811.

Death

Persephone sarcophagus of Charlemagne
 
A portion of the 814 death shroud of Charlemagne. It represents a quadriga and was manufactured in Constantinople. Musée de Cluny, Paris.
 
Europe at the death of the Charlemagne 814.

In 813, Charlemagne called Louis the Pious, king of Aquitaine, his only surviving legitimate son, to his court. There Charlemagne crowned his son as co-emperor and sent him back to Aquitaine. He then spent the autumn hunting before returning to Aachen on 1 November. In January, he fell ill with pleurisy. In deep depression (mostly because many of his plans were not yet realised), he took to his bed on 21 January and as Einhard tells it:

He died January twenty-eighth, the seventh day from the time that he took to his bed, at nine o'clock in the morning, after partaking of the Holy Communion, in the seventy-second year of his age and the forty-seventh of his reign.

Frederick II's gold and silver casket for Charlemagne, the Karlsschrein

He was buried that same day, in Aachen Cathedral, although the cold weather and the nature of his illness made such a hurried burial unnecessary. The earliest surviving planctus, the Planctus de obitu Karoli, was composed by a monk of Bobbio, which he had patronised. A later story, told by Otho of Lomello, Count of the Palace at Aachen in the time of Emperor Otto III, would claim that he and Otto had discovered Charlemagne's tomb: Charlemagne, they claimed, was seated upon a throne, wearing a crown and holding a sceptre, his flesh almost entirely incorrupt. In 1165, Emperor Frederick I re-opened the tomb again and placed the emperor in a sarcophagus beneath the floor of the cathedral. In 1215 Emperor Frederick II re-interred him in a casket made of gold and silver known as the Karlsschrein.

Charlemagne's death emotionally affected many of his subjects, particularly those of the literary clique who had surrounded him at Aachen. An anonymous monk of Bobbio lamented:

From the lands where the sun rises to western shores, people are crying and wailing ... the Franks, the Romans, all Christians, are stung with mourning and great worry ... the young and old, glorious nobles, all lament the loss of their Caesar ... the world laments the death of Charles ... O Christ, you who govern the heavenly host, grant a peaceful place to Charles in your kingdom. Alas for miserable me.

Louis succeeded him as Charles had intended. He left a testament allocating his assets in 811 that was not updated prior to his death. He left most of his wealth to the Church, to be used for charity. His empire lasted only another generation in its entirety; its division, according to custom, between Louis's own sons after their father's death laid the foundation for the modern states of Germany and France.

Administration

Organisation

The Carolingian king exercised the bannum, the right to rule and command. Under the Franks, it was a royal prerogative but could be delegated. He had supreme jurisdiction in judicial matters, made legislation, led the army, and protected both the Church and the poor. His administration was an attempt to organise the kingdom, church and nobility around him. As an administrator, Charlemagne stands out for his many reforms: monetary, governmental, military, cultural and ecclesiastical. He is the main protagonist of the "Carolingian Renaissance".

Military

Charlemagne's success rested primarily on novel siege technologies and excellent logistics rather than the long-claimed "cavalry revolution" led by Charles Martel in 730s. However, the stirrup, which made the "shock cavalry" lance charge possible, was not introduced to the Frankish kingdom until the late eighth century.

Horses were used extensively by the Frankish military because they provided a quick, long-distance method of transporting troops, which was critical to building and maintaining the large empire.

Economic and monetary reforms

Monogram of Charlemagne, including signum manus, from the subscription of a royal diploma: Signum (monogr.: KAROLVS) Karoli gloriosissimi regis

Charlemagne had an important role in determining Europe's immediate economic future. Pursuing his father's reforms, Charlemagne abolished the monetary system based on the gold sou. Instead, he and the Anglo-Saxon King Offa of Mercia took up Pippin's system for pragmatic reasons, notably a shortage of the metal.

The gold shortage was a direct consequence of the conclusion of peace with Byzantium, which resulted in ceding Venice and Sicily to the East and losing their trade routes to Africa. The resulting standardisation economically harmonised and unified the complex array of currencies that had been in use at the commencement of his reign, thus simplifying trade and commerce.

Denier from the era of Charlemagne, Tours, 793–812

Charlemagne established a new standard, the livre carolinienne (from the Latin libra, the modern pound), which was based upon a pound of silver—a unit of both money and weight—worth 20 sous (from the Latin solidus [which was primarily an accounting device and never actually minted], the modern shilling) or 240 deniers (from the Latin denarius, the modern penny). During this period, the livre and the sou were counting units; only the denier was a coin of the realm.

Charlemagne instituted principles for accounting practice by means of the Capitulare de villis of 802, which laid down strict rules for the way in which incomes and expenses were to be recorded.

Charlemagne applied this system to much of the European continent, and Offa's standard was voluntarily adopted by much of England. After Charlemagne's death, continental coinage degraded, and most of Europe resorted to using the continued high-quality English coin until about 1100.

Jews in Charlemagne's realm

Early in Charlemagne's rule he tacitly allowed Jews to monopolise money lending. The lending of money in return for interest was proscribed in 814 because it violated Church law. Charlemagne introduced the Capitulary for the Jews, a prohibition on Jews engaging in money-lending due to the religious convictions of the majority of his constituents. Effectively banning money lending was a reversal of his earlier recorded general policy. Charlemagne also performed a significant number of microeconomic reforms, such as direct control of prices and feudal levies. He invited Italian Jews to immigrate, as royal clients independent of the feudal landowners, and form trading communities in the agricultural regions of Provence and the Rhineland. Their trading activities augmented the otherwise almost exclusively agricultural economies of these regions.

Charlemagne's Capitulary for the Jews was not representative of his overall economic relationship or attitude towards the Frankish Jews; this relationship evolved throughout his reign. His personal physician, for example, was Jewish, and he employed one Jew, Isaac, who was his personal representative to the Muslim caliphate of Baghdad.

Education reforms

Charlemagne in a contemporary sketch

Part of Charlemagne's success as a warrior, an administrator and ruler can be traced to his admiration for learning and education. His reign is often referred to as the Carolingian Renaissance because of the flowering of scholarship, literature, art and architecture that characterise it. Charlemagne came into contact with the culture and learning of other countries (especially Moorish Spain, Anglo-Saxon England, and Lombard Italy) due to his vast conquests. He greatly increased the provision of monastic schools and scriptoria (centres for book-copying) in Francia.

Charlemagne was a lover of books, sometimes having them read to him during meals. He was thought to enjoy the works of Augustine of Hippo. His court played a key role in producing books that taught elementary Latin and different aspects of the church. It also played a part in creating a royal library that contained in-depth works on language and Christian faith.

Charlemagne encouraged clerics to translate Christian creeds and prayers into their respective vernaculars as well to teach grammar and music. Due to the increased interest of intellectual pursuits and the urging of their king, the monks accomplished so much copying that almost every manuscript from that time was preserved. At the same time, at the urging of their king, scholars were producing more secular books on many subjects, including history, poetry, art, music, law, theology, etc. Due to the increased number of titles, private libraries flourished. These were mainly supported by aristocrats and churchmen who could afford to sustain them. At Charlemagne's court, a library was founded and a number of copies of books were produced, to be distributed by Charlemagne. Book production was completed slowly by hand and took place mainly in large monastic libraries. Books were so in demand during Charlemagne's time that these libraries lent out some books, but only if that borrower offered valuable collateral in return.

The privileges of Charlemagne at the Modena Cathedral (containing the monogram of Charlemagne), dated 782

Most of the surviving works of classical Latin were copied and preserved by Carolingian scholars. Indeed, the earliest manuscripts available for many ancient texts are Carolingian. It is almost certain that a text which survived to the Carolingian age survives still.

The pan-European nature of Charlemagne's influence is indicated by the origins of many of the men who worked for him: Alcuin, an Anglo-Saxon from York; Theodulf, a Visigoth, probably from Septimania; Paul the Deacon, Lombard; Italians Peter of Pisa and Paulinus of Aquileia; and Franks Angilbert, Angilram, Einhard and Waldo of Reichenau.

Charlemagne promoted the liberal arts at court, ordering that his children and grandchildren be well-educated, and even studying himself (in a time when even leaders who promoted education did not take time to learn themselves) under the tutelage of Peter of Pisa, from whom he learned grammar; Alcuin, with whom he studied rhetoric, dialectic (logic), and astronomy (he was particularly interested in the movements of the stars); and Einhard, who tutored him in arithmetic.

His great scholarly failure, as Einhard relates, was his inability to write: when in his old age he attempted to learn—practising the formation of letters in his bed during his free time on books and wax tablets he hid under his pillow—"his effort came too late in life and achieved little success", and his ability to read—which Einhard is silent about, and which no contemporary source supports—has also been called into question.

In 800, Charlemagne enlarged the hostel at the Muristan in Jerusalem and added a library to it. He certainly had not been personally in Jerusalem.

Church reforms

Charlemagne expanded the reform Church's programme unlike his father, Pippin, and uncle, Carloman. The deepening of the spiritual life was later to be seen as central to public policy and royal governance. His reform focused on strengthening the church's power structure, improving clergy's skill and moral quality, standardising liturgical practices, improvements on the basic tenets of the faith and the rooting out of paganism. His authority extended over church and state. He could discipline clerics, control ecclesiastical property and define orthodox doctrine. Despite the harsh legislation and sudden change, he had developed support from clergy who approved his desire to deepen the piety and morals of his subjects.

In 809–810, Charlemagne called a church council in Aachen, which confirmed the unanimous belief in the West that the Holy Spirit proceeds from the Father and the Son (ex Patre Filioque) and sanctioned inclusion in the Nicene Creed of the phrase Filioque (and the Son). For this Charlemagne sought the approval of Pope Leo III. The Pope, while affirming the doctrine and approving its use in teaching, opposed its inclusion in the text of the Creed as adopted in the 381 First Council of Constantinople. This spoke of the procession of the Holy Spirit from the Father, without adding phrases such as "and the Son", "through the Son", or "alone". Stressing his opposition, the Pope had the original text inscribed in Greek and Latin on two heavy shields that were displayed in Saint Peter's Basilica.

Writing reforms

Page from the Lorsch Gospels of Charlemagne's reign

During Charles' reign, the Roman half uncial script and its cursive version, which had given rise to various continental minuscule scripts, were combined with features from the insular scripts in use in Irish and English monasteries. Carolingian minuscule was created partly under the patronage of Charlemagne. Alcuin, who ran the palace school and scriptorium at Aachen, was probably a chief influence.

The revolutionary character of the Carolingian reform, however, can be over-emphasised; efforts at taming Merovingian and Germanic influence had been underway before Alcuin arrived at Aachen. The new minuscule was disseminated first from Aachen and later from the influential scriptorium at Tours, where Alcuin retired as an abbot.

Political reforms

Charlemagne engaged in many reforms of Frankish governance while continuing many traditional practices, such as the division of the kingdom among sons.

Divisio regnorum

In 806, Charlemagne first made provision for the traditional division of the empire on his death. For Charles the Younger he designated Austrasia and Neustria, Saxony, Burgundy and Thuringia. To Pippin, he gave Italy, Bavaria, and Swabia. Louis received Aquitaine, the Spanish March and Provence. The imperial title was not mentioned, which led to the suggestion that, at that particular time, Charlemagne regarded the title as an honorary achievement that held no hereditary significance.

Pepin died in 810 and Charles in 811. Charlemagne then reconsidered the matter, and in 813, crowned his youngest son, Louis, co-emperor and co-King of the Franks, granting him a half-share of the empire and the rest upon Charlemagne's own death. The only part of the Empire that Louis was not promised was Italy, which Charlemagne specifically bestowed upon Pippin's illegitimate son Bernard.

Appearance

Manner

13th-century stained glass depiction of Charlemagne, Strasbourg Cathedral

Einhard tells in his twenty-fourth chapter:

Charles was temperate in eating, and particularly so in drinking, for he abominated drunkenness in anybody, much more in himself and those of his household; but he could not easily abstain from food, and often complained that fasts injured his health. He very rarely gave entertainments, only on great feast-days, and then to large numbers of people. His meals ordinarily consisted of four courses, not counting the roast, which his huntsmen used to bring in on the spit; he was more fond of this than of any other dish. While at table, he listened to reading or music. The subjects of the readings were the stories and deeds of olden time: he was fond, too, of St. Augustine's books, and especially of the one titled "The City of God".

Charlemagne threw grand banquets and feasts for special occasions such as religious holidays and four of his weddings. When he was not working, he loved Christian books, horseback riding, swimming, bathing in natural hot springs with his friends and family, and hunting. Franks were well known for horsemanship and hunting skills. Charles was a light sleeper and would stay in his bed chambers for entire days at a time due to restless nights. During these days, he would not get out of bed when a quarrel occurred in his kingdom, instead summoning all members of the situation into his bedroom to be given orders. Einhard tells again in the twenty-fourth chapter: "In summer after the midday meal, he would eat some fruit, drain a single cup, put off his clothes and shoes, just as he did for the night, and rest for two or three hours. He was in the habit of awaking and rising from bed four or five times during the night."

Language

Charlemagne probably spoke a Rhenish Franconian dialect.

He also spoke Latin and had at least some understanding of Greek, according to Einhard (Grecam vero melius intellegere quam pronuntiare poterat, "he could understand Greek better than he could speak it").

The largely fictional account of Charlemagne's Iberian campaigns by Pseudo-Turpin, written some three centuries after his death, gave rise to the legend that the king also spoke Arabic.

Physical appearance

The Carolingian-era equestrian statuette thought to represent Charlemagne (from Metz Cathedral, now in the Louvre)

Charlemagne's personal appearance is known from a good description by Einhard after his death in the biography Vita Karoli Magni. Einhard states:

He was heavily built, sturdy, and of considerable stature, although not exceptionally so, since his height was seven times the length of his own foot. He had a round head, large and lively eyes, a slightly larger nose than usual, white but still attractive hair, a bright and cheerful expression, a short and fat neck, and he enjoyed good health, except for the fevers that affected him in the last few years of his life. Towards the end, he dragged one leg. Even then, he stubbornly did what he wanted and refused to listen to doctors, indeed he detested them, because they wanted to persuade him to stop eating roast meat, as was his wont, and to be content with boiled meat.

The physical portrait provided by Einhard is confirmed by contemporary depictions such as coins and his 8-inch (20 cm) bronze statuette kept in the Louvre. In 1861, Charlemagne's tomb was opened by scientists who reconstructed his skeleton and estimated it to be measured 1.95 metres (6 ft 5 in). An estimate of his height from an X-ray and CT scan of his tibia performed in 2010 is 1.84 metres (6 ft 0 in). This puts him in the 99th percentile of height for his period, given that average male height of his time was 1.69 metres (5 ft 7 in). The width of the bone suggested he was gracile in body build.

Dress

Later depiction of Charlemagne in the Bibliothèque Nationale de France

Charlemagne wore the traditional costume of the Frankish people, described by Einhard thus:

He used to wear the national, that is to say, the Frank, dress—next his skin a linen shirt and linen breeches, and above these a tunic fringed with silk; while hose fastened by bands covered his lower limbs, and shoes his feet, and he protected his shoulders and chest in winter by a close-fitting coat of otter or marten skins.

He wore a blue cloak and always carried a sword typically of a golden or silver hilt. He wore intricately jeweled swords to banquets or ambassadorial receptions. Nevertheless:

He despised foreign costumes, however handsome, and never allowed himself to be robed in them, except twice in Rome, when he donned the Roman tunic, chlamys, and shoes; the first time at the request of Pope Hadrian, the second to gratify Leo, Hadrian's successor.

On great feast days, he wore embroidery and jewels on his clothing and shoes. He had a golden buckle for his cloak on such occasions and would appear with his great diadem, but he despised such apparel according to Einhard, and usually dressed like the common people.

Homes

Charlemagne had residences across his kingdom, including numerous private estates that were governed in accordance with the Capitulare de villis. A 9th-century document detailing the inventory of an estate at Asnapium listed amounts of livestock, plants and vegetables and kitchenware including cauldrons, drinking cups, brass kettles and firewood. The manor contained seventeen houses built inside the courtyard for nobles and family members and was separated from its supporting villas.

Beatification

Charlemagne was revered as a saint in the Holy Roman Empire and some other locations after the twelfth century. The Apostolic See did not recognise his invalid canonisation by Antipope Paschal III, done to gain the favour of Frederick Barbarossa in 1165. The Apostolic See annulled all of Paschal's ordinances at the Third Lateran Council in 1179. He is not enumerated among the 28 saints named "Charles" in the Roman Martyrology. His beatification has been acknowledged as cultus confirmed and is celebrated on 28 January.

Cultural impact

Middle Ages

The author of the Visio Karoli Magni written around 865 uses facts gathered apparently from Einhard and his own observations on the decline of Charlemagne's family after the dissensions war (840–43) as the basis for a visionary tale of Charles' meeting with a prophetic spectre in a dream.

One of a chain of Middle Welsh legends about Charlemagne: Ystorya de Carolo Magno from the Red Book of Hergest (Jesus College, Oxford, MS 111), 14th century

Charlemagne was a model knight as one of the Nine Worthies who enjoyed an important legacy in European culture. One of the great medieval literary cycles, the Charlemagne cycle or the Matter of France, centres on his deeds—the Emperor with the Flowing Beard of Roland fame—and his historical commander of the border with Brittany, Roland, and the 12 paladins. These are analogous to, and inspired the myth of, the Knights of the Round Table of King Arthur's court. Their tales constitute the first chansons de geste.

In the 12th century, Geoffrey of Monmouth based his stories of Arthur largely on stories of Charlemagne. During the Hundred Years' War in the 14th century, there was considerable cultural conflict in England, where the Norman rulers were aware of their French roots and identified with Charlemagne, Anglo-Saxon natives felt more affinity for Arthur, whose own legends were relatively primitive. Therefore, storytellers in England adapted legends of Charlemagne and his 12 Peers to the Arthurian tales.

In the Divine Comedy, the spirit of Charlemagne appears to Dante in the Heaven of Mars, among the other "warriors of the faith".

19th century

Emperor Charlemagne, by Albrecht Dürer, 1511–1513, Germanisches Nationalmuseum

Charlemagne's capitularies were quoted by Pope Benedict XIV in his apostolic constitution 'Providas' against freemasonry: "For in no way are we able to understand how they can be faithful to us, who have shown themselves unfaithful to God and disobedient to their Priests".

Charlemagne appears in Adelchi, the second tragedy by Italian writer Alessandro Manzoni, first published in 1822.

In 1867, an equestrian statue of Charlemagne was made by Louis Jehotte and was inaugurated in 1868 on the Boulevard d'Avroy in Liège. In the niches of the neo-roman pedestal are six statues of Charlemagne's ancestors (Sainte Begge, Pépin de Herstal, Charles Martel, Bertrude, Pépin de Landen and Pépin le Bref).

The North Wall Frieze in the courtroom of the Supreme Court of the United States depicts Charlemagne as a legal reformer.

20th century

The city of Aachen has, since 1949, awarded an international prize (called the Karlspreis der Stadt Aachen) in honour of Charlemagne. It is awarded annually to "personages of merit who have promoted the idea of western unity by their political, economic and literary endeavours." Winners of the prize include Richard von Coudenhove-Kalergi, the founder of the pan-European movement, Alcide De Gasperi, and Winston Churchill.

In its national anthem, "El Gran Carlemany", the nation of Andorra credits Charlemagne with its independence.

In 1964, young French singer France Gall released the hit song "Sacré Charlemagne" in which the lyrics blame the great king for imposing the burden of compulsory education on French children.

Charlemagne is quoted by Dr Henry Jones, Sr. in Indiana Jones and the Last Crusade. After using his umbrella to induce a flock of seagulls to smash through the glass cockpit of a pursuing German fighter plane, Henry Jones remarks, "I suddenly remembered my Charlemagne: 'Let my armies be the rocks and the trees and the birds in the sky.'" Despite the quote's popularity since the movie, there is no evidence that Charlemagne actually said this.

21st century

A 2010 episode of QI discussed the mathematics completed by Mark Humphrys that calculated that all modern Europeans are highly likely to share Charlemagne as a common ancestor (see most recent common ancestor).

The Economist featured a weekly column entitled "Charlemagne", focusing generally on European affairs and, more usually and specifically, on the European Union and its politics.

Actor and singer Christopher Lee's symphonic metal concept album Charlemagne: By the Sword and the Cross and its heavy metal follow-up Charlemagne: The Omens of Death feature the events of Charlemagne's life.

In April 2014, on the occasion of the 1200th anniversary of Charlemagne's death, public art Mein Karl by Ottmar Hörl at Katschhof place was installed between city hall and the Aachen cathedral, displaying 500 Charlemagne statues.

Charlemagne features as a playable character in the 2014 Charlemagne expansion for the grand strategy video game Crusader Kings 2.

Historiography of the fall of the Western Roman Empire

From Wikipedia, the free encyclopedia

The Western and Eastern Roman Empires by 476 CE

The causes and mechanisms of the fall of the Western Roman Empire are a historical theme that was introduced by historian Edward Gibbon in his 1776 book The History of the Decline and Fall of the Roman Empire. He started an ongoing historiographical discussion about what caused the Fall of the Western Roman Empire, and the reduced power of the remaining Eastern Empire, in the 4th–5th centuries. Gibbon was not the first to speculate on why the Empire collapsed, but he was the first to give a well-researched and well-referenced account. Many theories of causality have been explored. In 1984, Alexander Demandt enumerated 210 different theories on why Rome fell, and new theories emerged thereafter. Gibbon himself explored ideas of internal decline (the disintegration of political, economic, military, and other social institutions, civil wars) and of attacks from outside the Empire. "From the eighteenth century onward," historian Glen Bowersock wrote, "we have been obsessed with the fall: it has been valued as an archetype for every perceived decline, and, hence, as a symbol for our own fears."

Overview of historiography

Historiographically, the primary issue historians have looked at when analyzing any theory is the continued existence of the Eastern Empire or Byzantine Empire, which lasted almost a thousand years after the fall of the West. For example, Gibbon implicates Christianity in the fall of the Western Empire, yet the eastern half of the Empire, which was even more Christian than the west in geographic extent, fervor, penetration and vast numbers continued on for a thousand years afterwards (although Gibbon did not consider the Eastern Empire to be much of a success). As another example, environmental or weather changes affected the east as much as the west, yet the east did not "fall."

Theories will sometimes reflect the particular concerns that historians might have on cultural, political, or economic trends in their own times. Gibbon's criticism of Christianity reflects the values of the Enlightenment; his ideas on the decline in martial vigor could have been interpreted by some as a warning to the growing British Empire. In the 19th century socialist and anti-socialist theorists tended to blame decadence and other political problems. More recently, environmental concerns have become popular, with deforestation and soil erosion proposed as major factors, and destabilizing population decreases due to epidemics such as early cases of bubonic plague and malaria also cited. Global climate changes of 535–536, perhaps caused by the possible eruption of Krakatoa in 535, as mentioned by David Keys and others, is another example. Ideas about transformation with no distinct fall mirror the rise of the postmodern tradition, which rejects periodization concepts. What is not new are attempts to diagnose Rome's particular problems, with Satire X, written by Juvenal in the early 2nd century at the height of Roman power, criticizing the peoples' obsession with "bread and circuses" and rulers seeking only to gratify these obsessions.

One of the primary reasons for the vast number of theories is the notable lack of surviving evidence from the 4th and 5th centuries. For example, there are so few records of an economic nature it is difficult to arrive at even a generalization of the economic conditions. Thus, historians must quickly depart from available evidence and comment based on how things ought to have worked, or based on evidence from previous and later periods, on inductive reasoning. As in any field where available evidence is sparse, the historian's ability to imagine the 4th and 5th centuries will play as important a part in shaping our understanding as the available evidence, and thus be open for endless interpretation.

The end of the Western Roman Empire traditionally has been seen by historians to mark the end of the Ancient Era and beginning of the Middle Ages. More recent schools of history, such as Late Antiquity, offer a more nuanced view from the traditional historical narrative.

There is no consensus on a date for the start of the Decline. Gibbon started his account in 98. The year 376 is taken as pivotal by many modern historians. In that year there was an unmanageable influx of Goths and other Barbarians into the Balkan provinces, and the situation of the Western Empire generally worsened thereafter, with recoveries being incomplete and temporary. Significant events include the Battle of Adrianople in 378, the death of Theodosius I in 395 (the last time the Roman Empire was politically unified), the crossing of the Rhine in 406 by Germanic tribes, the execution of Stilicho in 408, the sack of Rome in 410, the death of Constantius III in 421, the death of Aetius in 454, and the second sack of Rome in 455, with the death of Majorian in 461 marking the end of the last opportunity for recovery.

Gibbon took September 4, 476 as a convenient marker for the final dissolution of the Western Roman Empire, when Romulus Augustus, the last Emperor of the Western Roman Empire, was deposed by Odoacer, a Germanic chieftain. Some modern historians question the significance of the year 476 for its end. Julius Nepos, the Western emperor recognized by the Eastern Roman Empire, continued to rule in Dalmatia, until he was assassinated in 480. The Ostrogothic rulers of Italia considered themselves upholders of the direct line of Roman tradition, and the Eastern emperors considered themselves the sole rightful Roman rulers of a united empire. Roman cultural traditions continued throughout the territory of the Western Empire, and a recent school of interpretation argues that the great political changes can more accurately be described as a complex cultural transformation, rather than a fall.

Overview of events

Romulus Augustus was deposed as Western Roman Emperor in 476 while still young. However, Julius Nepos continued to claim the title of Western Emperor after his deposition.

The decline of the Roman Empire is one of the traditional markers of the end of Classical Antiquity and the beginning of the European Middle Ages. Throughout the 5th century, the Empire's territories in western Europe and northwestern Africa, including Italy, fell to various invading or indigenous peoples in what is sometimes called the Migration period. Although the eastern half still survived with borders essentially intact for several centuries (until the Muslim conquests), the Empire as a whole had initiated major cultural and political transformations since the Crisis of the Third Century, with the shift towards a more openly autocratic and ritualized form of government, the adoption of Christianity as the state religion, and a general rejection of the traditions and values of Classical Antiquity. While traditional historiography emphasized this break with Antiquity by using the term "Byzantine Empire" instead of Roman Empire, recent schools of history offer a more nuanced view, seeing mostly continuity rather than a sharp break. The Empire of Late Antiquity already looked very different from classical Rome.

The Roman Empire emerged from the Roman Republic when Julius Caesar and Augustus Caesar transformed it from a republic into a monarchy. Rome reached its zenith in the 2nd century, then fortunes slowly declined (with many revivals and restorations along the way). The reasons for the decline of the Empire are still debated today, and are likely multiple. Historians infer that the population appears to have diminished in many provinces—especially western Europe—from the diminishing size of fortifications built to protect the cities from barbarian incursions from the 3rd century on. Some historians even have suggested that parts of the periphery were no longer inhabited because these fortifications were restricted to the center of the city only. Tree rings suggest "distinct drying" beginning in 250.

By the late 3rd century, the city of Rome no longer served as an effective capital for the Emperor and various cities were used as new administrative capitals. Successive emperors, starting with Constantine, privileged the eastern city of Byzantium, which he had entirely rebuilt after a siege. Later renamed Constantinople, and protected by formidable walls in the late 4th and early 5th centuries, it was to become the largest and most powerful city of Christian Europe in the Early Middle Ages. Since the Crisis of the Third Century, the Empire was intermittently ruled by more than one emperor at once (usually two), presiding over different regions. At first a haphazard form of power sharing, this eventually settled on an east–west administrative division between the Western Roman Empire (centered on Rome, but now usually presided from other seats of power such as Trier, Milan, and especially Ravenna), and the Eastern Roman Empire (with its capital initially in Nicomedia, and later Constantinople). The Latin-speaking west, under dreadful demographic crisis, and the wealthier Greek-speaking east, also began to diverge politically and culturally. Although this was a gradual process, still incomplete when Italy came under the rule of barbarian chieftains in the last quarter of the 5th century, it deepened further afterward, and had lasting consequences for the medieval history of Europe.

Throughout the 5th century, Western emperors were usually figureheads, while the Eastern emperors maintained more independence. For most of the time, the actual rulers in the West were military strongmen who took the titles of magister militum, patrician, or both, such as Stilicho, Aetius, and Ricimer. Although Rome was no longer the capital in the West, it remained the West's largest city and its economic center. But the city was sacked by rebellious Visigoths in 410 and by the Vandals in 455, events that shocked contemporaries and signaled the disintegration of Roman authority. Saint Augustine wrote The City of God partly as an answer to critics who blamed the sack of Rome by the Visigoths on the abandonment of the traditional pagan religions.

In June 474, Julius Nepos became Western Emperor but in the next year the magister militum Orestes revolted and made his son Romulus Augustus emperor. Romulus, however, was not recognized by the Eastern Emperor Zeno and so was technically an usurper, Nepos still being the legal Western Emperor. Nevertheless, Romulus Augustus is often known as the last Western Roman Emperor. In 476, after being refused lands in Italy, Orestes' Germanic mercenaries under the leadership of the chieftain Odoacer captured and executed Orestes and took Ravenna, the Western Roman capital at the time, deposing Romulus Augustus. The whole of Italy was quickly conquered, and Odoacer was granted the title of patrician by Zeno, effectively recognizing his rule in the name of the Eastern Empire. Odoacer returned the Imperial insignia to Constantinople and ruled as King in Italy. Following Nepos' death Theodoric the Great, King of the Ostrogoths, conquered Italy with Zeno's approval.

Meanwhile, much of the rest of the Western provinces were conquered by waves of Germanic invasions, most of them being disconnected politically from the East altogether and continuing a slow decline. Although Roman political authority in the West was lost, Roman culture would last in most parts of the former Western provinces into the 6th century and beyond.

The first invasions disrupted the West to some degree, but it was the Gothic War launched by the Eastern Emperor Justinian in the 6th century, and meant to reunite the Empire, that eventually caused the most damage to Italy, as well as straining the Eastern Empire militarily. Following these wars, Rome and other Italian cities would fall into severe decline (Rome itself was almost completely abandoned). Another blow came with the Persian invasion of the East in the 7th century, immediately followed by the Muslim conquests, especially of Egypt, which curtailed much of the key trade in the Mediterranean on which Europe depended.

The Empire was to live on in the East for many centuries, and enjoy periods of recovery and cultural brilliance, but its size would remain a fraction of what it had been in classical times. It became an essentially regional power, centered on Greece and Anatolia. Modern historians tend to prefer the term Byzantine Empire for the eastern, medieval stage of the Roman Empire.

Highlights

The decline of the Western Roman Empire was a process spanning many centuries; there is no consensus when it might have begun but many dates and time lines have been proposed by historians.

3rd century

  • The Crisis of the Third Century (234–284), a period of political instability.
  • The reign of Emperor Diocletian (284–305), who attempted substantial political and economic reforms, many of which would remain in force in the following centuries.
4th century

  • The reign of Constantine I (306–337), who built the new eastern capital of Constantinople and converted to Christianity, legalizing and even favoring to some extent this religion. All Roman emperors after Constantine, except for Julian, would be Christians.
  • The first war with the Visigoths (376–382), culminating in the Battle of Adrianople (August 9, 378), in which a large Roman army was defeated by the Visigoths, and Emperor Valens was killed. The Visigoths, fleeing a migration of the Huns, had been allowed to settle within the borders of the Empire by Valens, but were mistreated by the local Roman administrators, and rebelled.
  • The reign of Theodosius I (379–395), last emperor to reunite under his authority the western and eastern halves of the Empire. Theodosius continued and intensified the policies against paganism of his predecessors, eventually outlawing it, and making Nicaean Christianity the state religion.
5th century

  • The Crossing of the Rhine: on December 31, 406 (or 405, according to some historians), a mixed band of Vandals, Suebi and Alans crossed the frozen river Rhine at Moguntiacum (modern Mainz), and began to ravage Gaul. Some moved on to the regions of Hispania and Africa. The Empire would never regain control over most of these lands.
  • The second war with the Visigoths, led by king Alaric, in which they raided Greece, and then invaded Italy, culminating in the sack of Rome (410). The Visigoths eventually left Italy and founded the Visigothic Kingdom in southern Gaul and Hispania.
  • The rise of the Hunnic Empire under Attila and Bleda (434–453), who raided the Balkans, Gaul, and Italy, threatening both Constantinople and Rome.
  • The second sack of Rome, this time by the Vandals (455).
  • Failed counterstrikes against the Vandals (461–468). The Western Emperor Majorian planned a naval campaign against the Vandals to reconquer northern Africa in 461, but word of the preparations got out to the Vandals, who took the Roman fleet by surprise and destroyed it. A second naval expedition against the Vandals, sent by Emperors Leo I and Anthemius, was defeated at Cape Bon in 468.
Europe in 476, from Muir's Historical Atlas (1911)
  • Deposition of the last Western Emperors, Julius Nepos and Romulus Augustus (475–480). Julius Nepos, who had been nominated by the Eastern Emperor Zeno, was deposed by the rebelled magister militum Orestes, who installed his own son Romulus in the imperial throne. Both Zeno and his rival Basiliscus, in the East, continued to regard Julius Nepos, who fled to Dalmatia, as the legitimate Western Emperor, and Romulus as an usurper. Shortly after, Odoacer, magister militum appointed by Julius, invaded Italy, defeated Orestes, and deposed Romulus Augustus on September 4, 476. Odoacer then proclaimed himself ruler of Italy and asked the Eastern Emperor Zeno to become formal Emperor of both empires, and in so doing legalize Odoacer's own position as Imperial viceroy of Italy. Zeno did so, setting aside the claims of Nepos, who was murdered by his own soldiers in 480.
  • Foundation of the Ostrogothic Kingdom in Italy (493). Concerned with the success and popularity of Odoacer, Zeno started a campaign against him, at first with words, then by inciting the Ostrogoths to take back Italy from him. They did as much, but then founded an independent kingdom of their own, under the rule of king Theodoric. Italy and the entire West were lost to the Empire.

Theories and explanations of a fall

The various theories and explanations for the fall of the Roman Empire in the West may be very broadly classified into four schools of thought, although the classification is not without overlap:

The tradition positing general malaise goes back to Edward Gibbon who argued that the edifice of the Roman Empire had been built on unsound foundations to begin with. According to Gibbon, the fall was - in the final analysis - inevitable. On the other hand, Gibbon had assigned a major portion of the responsibility for the decay to the influence of Christianity, and is often, though perhaps unjustly, seen as the founding father of the school of monocausal explanation.

On the other hand, the school of catastrophic collapse holds that the fall of the Empire had not been a pre-determined event and need not be taken for granted. Rather, it was due to the combined effect of a number of adverse processes, many of them set in motion by the Migration of the Peoples, that together applied too much stress to the Empire's basically sound structure.

Finally, the transformation school challenges the whole notion of the 'fall' of the Empire, asking to distinguish between the fall into disuse of a particular political dispensation, anyway unworkable towards its end, and the fate of the Roman civilisation which under-girded the Empire. According to this school, drawing its basic premise from the Pirenne thesis, the Roman world underwent a gradual (though often violent) series of transformations, morphing into the medieval world. The historians belonging to this school often prefer to speak of Late Antiquity instead of the Fall of the Roman Empire.

Decay owing to general malaise

Edward Gibbon

In The History of the Decline and Fall of the Roman Empire (1776–88), Edward Gibbon famously placed the blame on a loss of civic virtue among the Roman citizens. They gradually entrusted the role of defending the Empire to barbarian mercenaries who eventually turned on them. Gibbon held that Christianity contributed to this shift by making the populace less interested in the worldly here-and-now because it was willing to wait for the rewards of heaven.

The decline of Rome was the natural and inevitable effect of immoderate greatness. Prosperity ripened the principle of decay; the causes of destruction multiplied with the extent of conquest; and as soon as time or accident had removed the artificial supports, the stupendous fabric yielded to the pressure of its own weight.

In discussing Barbarism and Christianity I have actually been discussing the Fall of Rome.

Vegetius on military decline

Writing in the 5th century, the Roman historian Vegetius pleaded for reform of what must have been a greatly weakened army. The historian Arther Ferrill has suggested that the Roman Empire – particularly the military – declined largely as a result of an influx of Germanic mercenaries into the ranks of the legions. This "Germanization" and the resultant cultural dilution or "barbarization" led not only to a decline in the standard of drill and overall military preparedness within the Empire, but also to a decline of loyalty to the Roman government in favor of loyalty to commanders. Ferrill agrees with other Roman historians such as A.H.M. Jones:

...the decay of trade and industry was not a cause of Rome’s fall. There was a decline in agriculture and land was withdrawn from cultivation, in some cases on a very large scale, sometimes as a direct result of barbarian invasions. However, the chief cause of the agricultural decline was high taxation on the marginal land, driving it out of cultivation. Jones is surely right in saying that taxation was spurred by the huge military budget and was thus ‘indirectly’ the result of the barbarian invasion.

Arnold J. Toynbee and James Burke

In contrast with the declining empire theories, historians such as Arnold J. Toynbee and James Burke argue that the Roman Empire itself was a rotten system from its inception, and that the entire Imperial era was one of steady decay of institutions founded in Republican times. In their view, the Empire could never have lasted longer than it did without radical reforms that no Emperor could implement. The Romans had no budgetary system and thus wasted whatever resources they had available. The economy of the Empire was a Raubwirtschaft or plunder economy based on looting existing resources rather than producing anything new. The Empire relied on riches from conquered territories (this source of revenue ending, of course, with the end of Roman territorial expansion) or on a pattern of tax collection that drove small-scale farmers into destitution (and onto a dole that required even more exactions upon those who could not escape taxation), or into dependency upon a landed élite exempt from taxation. With the cessation of tribute from conquered territories, the full cost of their military machine had to be borne by the citizenry.

An economy based upon slave labor precluded a middle class with buying power. The Roman Empire produced few exportable goods. Material innovation, whether through entrepreneurialism or technological advancement, all but ended long before the final dissolution of the Empire. Meanwhile, the costs of military defense and the pomp of Emperors continued. Financial needs continued to increase, but the means of meeting them steadily eroded. In the end, due to economic failure, even the armor and weaponry of soldiers became so obsolete that the enemies of the Empire had better armor and weapons as well as larger forces. The decrepit social order offered so little to its subjects that many saw the barbarian invasion as liberation from onerous obligations to the ruling class.

By the late 5th century the barbarian conqueror Odoacer had no use for the formality of an Empire upon deposing Romulus Augustus and chose neither to assume the title of Emperor himself nor to select a puppet, although legally he kept the lands as a commander of the Eastern Empire and maintained the Roman institutions such as the consulship. The formal end of the Roman Empire on the West in AD 476 thus corresponds with the time in which the Empire and the title Emperor no longer had value.

Michael Rostovtzeff, Ludwig von Mises, and Bruce Bartlett

Historian Michael Rostovtzeff and economist Ludwig von Mises both argued that unsound economic policies played a key role in the impoverishment and decay of the Roman Empire. According to them, by the 2nd century AD, the Roman Empire had developed a complex market economy in which trade was relatively free. Tariffs were low and laws controlling the prices of foodstuffs and other commodities had little impact because they did not fix the prices significantly below their market levels. After the 3rd century, however, debasement of the currency (i.e., the minting of coins with diminishing content of gold, silver, and bronze) led to inflation. The price control laws then resulted in prices that were significantly below their free-market equilibrium levels. It should, however, be noted that Constantine initiated a successful reform of the currency which was completed before the barbarian invasions of the 4th century, and that thereafter the currency remained sound everywhere that remained within the empire until at least the 11th century - at any rate for gold coins.

According to Rostovtzeff and Mises, artificially low prices led to the scarcity of foodstuffs, particularly in cities, whose inhabitants depended on trade to obtain them. Despite laws passed to prevent migration from the cities to the countryside, urban areas gradually became depopulated and many Roman citizens abandoned their specialized trades to practice subsistence agriculture. This, coupled with increasingly oppressive and arbitrary taxation, led to a severe net decrease in trade, technical innovation, and the overall wealth of the Empire.

Bruce Bartlett traces the beginning of debasement to the reign of Nero. He claims that the emperors increasingly relied on the army as the sole source of their power, and therefore their economic policy was driven more and more by a desire to increase military funding in order to buy the army's loyalty. By the 3rd century, according to Bartlett, the monetary economy had collapsed. But the imperial government was now in a position where it had to satisfy the demands of the army at all costs. Failure to do so would result in the army forcibly deposing the emperor and installing a new one. Therefore, being unable to increase monetary taxes, the Roman Empire had to resort to direct requisitioning of physical goods anywhere it could find them - for example taking food and cattle from farmers. The result, in Bartlett's view, was social chaos, and this led to different responses from the authorities and from the common people. The authorities tried to restore order by requiring free people (i.e. non-slaves) to remain in the same occupation or even at the same place of employment. Eventually, this practice was extended to force children to follow the same occupation as their parents. So, for instance, farmers were tied to the land, and the sons of soldiers had to become soldiers themselves. Many common people reacted by moving to the countryside, sometimes joining the estates of the wealthy, and in general trying to be self-sufficient and interact as little as possible with the imperial authorities. Thus, according to Bartlett, Roman society began to dissolve into a number of separate estates that operated as closed systems, provided for all their own needs and did not engage in trade at all. These were the beginnings of feudalism.

Joseph Tainter

In his 1988 book The Collapse of Complex Societies, American anthropologist Tainter presents the view that for given technological levels there are implicit declining returns to complexity, in which systems deplete their resource base beyond levels that are ultimately sustainable. Tainter argues that societies become more complex as they try to solve problems. Social complexity can include differentiated social and economic roles, reliance on symbolic and abstract communication, and the existence of a class of information producers and analysts who are not involved in primary resource production. Such complexity requires a substantial "energy" subsidy (meaning resources, or other forms of wealth). When a society confronts a "problem", such as a shortage of or difficulty in gaining access to energy, it tends to create new layers of bureaucracy, infrastructure, or social class to address the challenge.

For example, as Roman agricultural output slowly declined and population increased, per-capita energy availability dropped. The Romans solved this problem in the short term by conquering their neighbours to appropriate their energy surpluses (metals, grain, slaves, etc.). However, this solution merely exacerbated the issue over the long term; as the Empire grew, the cost of maintaining communications, garrisons, civil government, etc., increased. Eventually, this cost grew so great that any new challenges such as invasions and crop failures could not be solved by the acquisition of more territory. At that point, the Empire fragmented into smaller units.

Though it's often presumed that the collapse of the Roman Empire was a catastrophe for everyone involved, Tainter points out that it can be seen as a very rational preference of individuals at the time, many of whom were better off (all but the elite, presumably). Archeological evidence from human bones indicates that average nutrition improved after the collapse in many parts of the former Roman Empire. Average individuals may have benefited because they no longer had to invest in the burdensome complexity of empire.

In Tainter's view, while invasions, crop failures, disease or environmental degradation may be the apparent causes of societal collapse, the ultimate cause is diminishing returns on investments in social complexity.

Adrian Goldsworthy

In The Complete Roman Army (2003) Adrian Goldsworthy, a British military historian, sees the causes of the collapse of the Roman Empire not in any 'decadence' in the make-up of the Roman legions, but in a combination of endless civil wars between factions of the Roman Army fighting for control of the Empire. This inevitably weakened the army and the society upon which it depended, making it less able to defend itself against the growing numbers of Rome's enemies. The army still remained a superior fighting instrument to its opponents, both civilized and barbarian; this is shown in the victories over Germanic tribes at the Battle of Strasbourg (357) and in its ability to hold the line against the Sassanid Persians throughout the 4th century. But, says Goldsworthy, "Weakening central authority, social and economic problems and, most of all, the continuing grind of civil wars eroded the political capacity to maintain the army at this level." Goldsworthy set out in greater detail his theory that recurring civil wars during the late fourth and early fifth centuries contributed to the fall of the West Roman Empire (395-476), in his book The Fall of the West: The Slow Death of the Roman Superpower (2009).

Monocausal decay

Disease

William H. McNeill, a world historian, noted in chapter three of his book Plagues and Peoples (1976) that the Roman Empire suffered the severe and protracted Antonine Plague starting around 165 AD. For about twenty years, waves of one or more diseases, possibly the first epidemics of smallpox and measles, swept through the Empire, ultimately killing about half the population. Similar epidemics, such as the Plague of Cyprian, also occurred in the 3rd century. McNeill argues that the severe fall in population left the state apparatus and army too large for the population to support, leading to further economic and social decline that eventually killed the Western Empire. The Eastern half survived due to its larger population, which even after the plagues was sufficient for an effective state apparatus.

Archaeology has revealed that from the 2nd century onward, the inhabited area in most Roman towns and cities grew smaller and smaller. Imperial laws concerning "agri deserti", or deserted lands, became increasingly common and desperate. The economic collapse of the 3rd century may also be evidence of a shrinking population as Rome's tax base was also shrinking and could no longer support the Roman Army and other Roman institutions.

Rome's success had led to increased contact with Asia though trade, especially in a sea route through the Red Sea that Rome cleared of pirates shortly after conquering Egypt. Wars also increased contact with Asia, particularly wars with the Persian Empire. With increased contact with Asia came increased transmission of disease into the Mediterranean from Asia. Romans used public fountains, public latrines, public baths, and supported many brothels all of which were conducive to the spread of pathogens. Romans crowded into walled cities and the poor and the slaves lived in very close quarters with each other. Epidemics began sweeping though the Empire.

The culture of the German barbarians living just across the Rhine and Danube rivers was not so conducive to the spread of pathogens. Germans lived in small scattered villages that did not support the same level of trade as did Roman settlements. Germans lived in single-family detached houses. Germans did not have public baths nor as many brothels and drank ale made with boiled water. The barbarian population seemed to be on the rise. The demographics of Europe were changing.

Economically, depopulation led to the impoverishment of East and West as economic ties among different parts of the empire weakened. Increasing raids by barbarians further strained the economy and further reduced the population, mostly in the West. In areas near the Rhine and Danube frontiers, raids by barbarians killed Romans and disrupted commerce. Raids also forced Romans into walled towns and cities furthering the spread of pathogens and increasing the rate of depopulation in the West. A low population and weak economy forced Rome to use barbarians in the Roman Army to defend against other barbarians.

Environmental degradation

Another theory is that gradual environmental degradation caused population and economic decline. Deforestation and excessive grazing led to erosion of meadows and cropland. Increased irrigation without suitable drainage caused salinization, especially in North Africa. These human activities resulted in fertile land becoming nonproductive and eventually increased desertification in some regions. Many animal species became extinct. The recent research of Tainter stated that "deforestation did not cause the Roman collapse", although it could be a minor contributing factor.

Also, high taxes and heavy slavery are another reason for decline, as they forced small farmers out of business and into the cities, which became overpopulated. Roman cities were only designed to hold a certain number of people, and once they passed that, disease, water shortage and food shortage became common.

Lead poisoning

Publishing several articles in the 1960s, the sociologist Seabury Colum Gilfillan advanced the argument that lead poisoning was a significant factor in the decline of the Roman Empire. Later, a posthumously published book elaborated on Gilfillan's work on this topic.

Jerome Nriagu, a geochemist, argued in a 1983 book that "lead poisoning contributed to the decline of the Roman empire." His work centred on the level to which the ancient Romans, who had few sweeteners besides honey, would boil must in lead pots to produce a reduced sugar syrup called defrutum, concentrated again into sapa. This syrup was used to some degree to sweeten wine and food. If acidic must is boiled within lead vessels the sweet syrup it yields will contain a quantity of Pb(C2H3O2)2 or lead(II) acetate. Lead was also leached from the glazes on amphorae and other pottery, from pewter drinking vessels and cookware, and from lead piping used for municipal water supplies and baths.

The main culinary use of defrutum was to sweeten wine, but it was also added to fruit and meat dishes as a sweetening and souring agent and even given to food animals such as suckling pig and duck to improve the taste of their flesh. Defrutum was mixed with garum to make the popular condiment oenogarum, and as such was one of Rome's most popular condiments. Quince and melon were preserved in defrutum and honey through the winter, and some Roman women used defrutum or sapa as a cosmetic. Defrutum was often used as a food preservative in provisions for Roman troops.

Nriagu produced a table showing his estimated consumption of lead by various classes within the Roman Empire. However, to produce the table Nriagu assumes all of the defrutum/sapa consumed to have been made in lead vessels:

Population Source Lead level in source Daily intake Absorption factor Lead absorbed
Aristocrats

Air 0.05 µg/m3 20 m3 0.4 0.4 µg/day

Water 50 (50–200) µg/l 1.0 liter 0.1 5 (5–20) µg/day

Wines 300 (200–1500) 2.0 liters 0.3 180 (120–900) µg/day

Foods 0.2 (0.1–2.0) µg/g 3 kg (7 lb) 0.1 60 (30–600) µg/day

Other/Misc.
5.0 µg/day

Total
250 (160-1250) µg/day
Plebeians

Less food, same wine consumption. 35 (35-320) µg/day
Slaves

Still less food, more water, 0.75 liters wine 15 (15-77) µg/day

Lead is not removed quickly from the body. It tends to form lead phosphate complexes within bone. This is detectable in preserved bone. Chemical analysis of preserved skeletons found in Herculaneum by Dr. Sara C. Bisel from the University of Minnesota indicated they contained lead in concentrations of 84 parts per million (ppm), whereas skeletons found in a Greek cave had lead concentrations of just 3ppm. However, the lead content revealed in many other ancient Roman remains have been shown to have been less than half those of modern Europeans, which have concentrations between 20-50ppm.

Criticism of lead poisoning theory

The role and importance of lead poisoning in contributing to the fall of the Roman Empire is the subject of controversy, and its importance and validity is discounted by many historians. John Scarborough, a pharmacologist and classicist, criticized Nriagu's book as "so full of false evidence, miscitations, typographical errors, and a blatant flippancy regarding primary sources that the reader cannot trust the basic arguments." He concluded that ancient authorities were well aware of lead poisoning and that it was not endemic in the Roman empire nor did it cause its fall.

Although defrutum and sapa prepared in leaden containers would indubitably have contained toxic levels of lead, the use of leaden containers, though popular, was not the standard, and copper was used far more generally. The exact amount of sapa added to wine was also not standardised, and there is no indication of how often sapa was added or in what quantity.

Additionally, Roman authors such as Pliny the Elder and Vitruvius recognised the toxicity of lead. Vitruvius, who flourished during Augustus' time, writes that the Romans knew very well of the dangers.

Water conducted through earthen pipes is more wholesome than that through lead; indeed that conveyed in lead must be injurious, because from it white lead [cerussa, lead carbonate, PbCO3] is obtained, and this is said to be injurious to the human system. This may be verified by observing the workers in lead, who are of a pallid colour; water should therefore on no account be conducted in leaden pipes if we are desirous that it should be wholesome.

— VIII.6.10–11

Nevertheless, recent research supports the idea that the lead found in the water came from the supply pipes, rather than another source of contamination. It was not unknown for locals to punch holes in the pipes to draw water off, increasing the number of people exposed to the lead.

Thirty years ago, Jerome Nriagu argued in a milestone paper that Roman civilization collapsed as a result of lead poisoning. Clair Patterson, the scientist who convinced governments to ban lead from gasoline, enthusiastically endorsed this idea, which nevertheless triggered a volley of publications aimed at refuting it. Although today lead is no longer seen as the prime culprit of Rome's demise, its status in the system of water distribution by lead pipes (fistulæ) still stands as a major public health issue. By measuring Pb isotope compositions of sediments from the Tiber River and the Trajanic Harbor, the present work shows that "tap water" from ancient Rome had 100 times more lead than local spring waters.

Catastrophic collapse

J. B. Bury

J. B. Bury's History of the Later Roman Empire (1889/1923) challenged the prevailing "theory of moral decay" established by Gibbon as well as the classic "clash of Christianity vs. paganism" theory, citing the relative success of the Eastern Empire, which was resolutely Christian. He held that Gibbon's grand history, though epoch-making in its research and detail, was too monocausal. His main difference from Gibbon lay in his interpretation of facts, rather than disputing any facts. He made it clear that he felt that Gibbon's thesis concerning "moral decay" was viable—but incomplete. Bury's judgment was that:

The gradual collapse of the Roman power ... was the consequence of a series of contingent events. No general causes can be assigned that made it inevitable.

Bury held that a number of crises arose simultaneously: economic decline, Germanic expansion, depopulation of Italy, dependency on Germanic foederati for the military, the disastrous (though Bury believed unknowing) treason of Stilicho, loss of martial vigor, Aetius' murder, the lack of any leader to replace Aetius—a series of misfortunes which, in combination, proved catastrophic:

The Empire had come to depend on the enrollment of barbarians, in large numbers, in the army, and ... it was necessary to render the service attractive to them by the prospect of power and wealth. This was, of course, a consequence of the decline in military spirit, and of depopulation, in the old civilised Mediterranean countries. The Germans in high command had been useful, but the dangers involved in the policy had been shown in the cases of Merobaudes and Arbogastes. Yet this policy need not have led to the dismemberment of the Empire, and but for that series of chances its western provinces would not have been converted, as and when they were, into German kingdoms. It may be said that a German penetration of western Europe must ultimately have come about. But even if that were certain, it might have happened in another way, at a later time, more gradually, and with less violence. The point of the present contention is that Rome's loss of her provinces in the fifth century was not an "inevitable effect of any of those features which have been rightly or wrongly described as causes or consequences of her general 'decline'". The central fact that Rome could not dispense with the help of barbarians for her wars (gentium barbararum auxilio indigemus) may be held to be the cause of her calamities, but it was a weakness which might have continued to be far short of fatal but for the sequence of contingencies pointed out above.

Peter Heather

Peter Heather, in his The Fall of the Roman Empire (2005), maintains the Roman imperial system with its sometimes violent imperial transitions and problematic communications notwithstanding, was in fairly good shape during the first, second, and part of the 3rd centuries AD. According to Heather, the first real indication of trouble was the emergence in Iran of the Sassanid Persian empire (226–651). As reviewed by one writer on Heather's writing,

The Sassanids were sufficiently powerful and internally cohesive to push back Roman legions from the Euphrates and from much of Armenia and southeast Turkey. Much as modern readers tend to think of the "Huns" as the nemesis of the Roman Empire, for the entire period under discussion it was the Persians who held the attention and concern of Rome and Constantinople. Indeed, 20–25% of the military might of the Roman Army was addressing the Persian threat from the late third century onward ... and upwards of 40% of the troops under the Eastern Emperors.

Heather goes on to state—in the tradition of Gibbon and Bury—that it took the Roman Empire about half a century to cope with the Sassanid threat, which it did by stripping the western provincial towns and cities of their regional taxation income. The resulting expansion of military forces in the Middle East was finally successful in stabilizing the frontiers with the Sassanids, but the reduction of real income in the provinces of the Empire led to two trends which, Heather says, had a negative long-term impact. First, the incentive for local officials to spend their time and money in the development of local infrastructure disappeared. Public buildings from the 4th century onward tended to be much more modest and funded from central budgets, as the regional taxes had dried up. Second, Heather says "the landowning provincial literati now shifted their attention to where the money was ... away from provincial and local politics to the imperial bureaucracies." Having set the scene of an Empire stretched militarily by the Sassanid threat, Heather then suggests, using archaeological evidence, that the Germanic tribes on the Empire's northern border had altered in nature since the 1st century. Contact with the Empire had increased their material wealth, and that in turn had led to disparities of wealth sufficient to create a ruling class capable of maintaining control over far larger groupings than had previously been possible. Essentially they had become significantly more formidable foes.

Heather then posits what amounts to a domino theory—namely that pressure on peoples very far away from the Empire could result in sufficient pressure on peoples on the Empire's borders to make them contemplate the risk of full scale immigration to the empire. Thus he links the Gothic invasion of 376 directly to Hunnic movements around the Black Sea in the decade before. In the same way he sees the invasions across the Rhine in 406 as a direct consequence of further Hunnic incursions in Germania; as such he sees the Huns as deeply significant in the fall of the Western Empire long before they themselves became a military threat to the Empire. He postulates that the Hunnic expansion caused unprecedented immigration in 376 and 406 by barbarian groupings who had become significantly more politically and militarily capable than in previous eras. This impacted an empire already at maximum stretch due to the Sassanid pressure. Essentially he argues that the external pressures of 376–470 could have brought the Western Empire down at any point in its history.

He disputes Gibbon's contention that Christianity and moral decay led to the decline. He also rejects the political infighting of the Empire as a reason, considering it was a systemic recurring factor throughout the Empire's history which, while it might have contributed to an inability to respond to the circumstances of the 5th century, it consequently cannot be blamed for them. Instead he places its origin squarely on outside military factors, starting with the Sassanids. Like Bury, he does not believe the fall was inevitable, but rather a series of events which came together to shatter the Empire. He differs from Bury, however, in placing the onset of those events far earlier in the Empire's timeline, with the Sassanid rise.

Bryan Ward-Perkins

Bryan Ward-Perkins's The Fall of Rome and the End of Civilization (2005) takes a traditional view tempered by modern discoveries, arguing that the empire's demise was caused by a vicious circle of political instability, foreign invasion, and reduced tax revenue. Essentially, invasions caused long-term damage to the provincial tax base, which lessened the Empire's medium- to long-term ability to pay and equip the legions, with predictable results. Likewise, constant invasions encouraged provincial rebellion as self-help, further depleting Imperial resources. Contrary to the trend among some historians of the "there was no fall" school, who view the fall of Rome as not necessarily a "bad thing" for the people involved, Ward-Perkins argues that in many parts of the former Empire the archaeological record indicates that the collapse was truly a disaster.

Ward-Perkins' theory, much like Bury's, and Heather's, identifies a series of cyclic events that came together to cause a definite decline and fall.

Transformation

Henri Pirenne

In the second half of the 19th century, some historians focused on the continuities between the Roman Empire and the post-Roman Germanic kingdoms rather than the rupture. In Histoire des institutions politiques de l'ancienne France (1875–89), Fustel de Coulanges argued that the barbarians simply contributed to an ongoing process of transforming Roman institutions.

Henri Pirenne continued this idea with the "Pirenne Thesis", published in the 1920s, which remains influential to this day. It holds that even after the barbarian invasions, the Roman way of doing things did not immediately change; barbarians came to Rome not to destroy it, but to take part in its benefits, and thus they tried to preserve the Roman way of life. The Pirenne Thesis regards the rise of the Frankish realm in Europe as a continuation of the Roman Empire, and thus validates the crowning of Charlemagne as the first Holy Roman Emperor as a successor of the Roman Emperors. According to Pirenne, the real break in Roman history occurred in the 7th and 8th centuries as a result of Arab expansion. Islamic conquest of the area of today's south-eastern Turkey, Syria, Palestine, North Africa, Spain and Portugal ruptured economic ties to western Europe, cutting the region off from trade and turning it into a stagnant backwater, with wealth flowing out in the form of raw resources and nothing coming back. This began a steady decline and impoverishment so that by the time of Charlemagne western Europe had become almost entirely agrarian at a subsistence level, with no long-distance trade. Pirenne's view on the continuity of the Roman Empire before and after the Germanic invasion has been supported by recent historians such as François Masai, Karl Ferdinand Werner, and Peter Brown.

Some modern critics have argued that the "Pirenne Thesis" erred on two counts: by treating the Carolingian realm as a Roman state and by overemphasizing the effect of the Islamic conquests on the Byzantine or Eastern Roman Empire. Other critics have argued that while Pirenne was correct in arguing for the continuity of the Empire beyond the sack of Rome, the Arab conquests in the 7th century may not have disrupted Mediterranean trade routes to the degree that Pirenne argued. Michael McCormick in particular has argued that some recently unearthed sources, such as collective biographies, describe new trade routes. Moreover, other records and coins document the movement of Islamic currency into the Carolingian Empire. McCormick has concluded that if money was coming in, some type of goods must have been going out – including slaves, timber, weapons, honey, amber, and furs.

Lucien Musset and the clash of civilizations

In the spirit of "Pirenne thesis", a school of thought pictured a clash of civilizations between the Roman and the Germanic world, a process taking place roughly between 3rd and 8th century.

The French historian Lucien Musset, studying the Barbarian invasions, argues the civilization of Medieval Europe emerged from a synthesis between the Graeco-Roman world and the Germanic civilizations penetrating the Roman Empire. The Roman Empire did not fall, did not decline, it just transformed but so did the Germanic populations which invaded it. To support this conclusion, beside the narrative of the events, he offers linguistic surveys of toponymy and anthroponymy, analyzes archaeological records, studies the urban and rural society, the institutions, the religion, the art, the technology.

Late Antiquity

Historians of Late Antiquity, a field pioneered by Peter Brown, have turned away from the idea that the Roman Empire fell at all – refocusing instead on Pirenne's thesis. They see a transformation occurring over centuries, with the roots of Medieval culture contained in Roman culture and focus on the continuities between the classical and Medieval worlds. Thus, it was a gradual process with no clear break. Brown argues in his book that:

Factors we would regard as natural in a 'crisis'—malaise caused by urbanization, public disasters, the intrusion of alien religious ideas, and a consequent heightening of religious hopes and fears—may not have bulked as large in the minds of the men of the late second and third centuries as we suppose... The towns of the Mediterranean were small towns. For all their isolation from the way of life of the villagers, they were fragile excrescences in a spreading countryside."

Butane

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