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Plunder and Tribute in the Carolingian Empire
Published online by Cambridge University Press: 12 February 2009
Extract
In 882 the Emperor Charles III was forced to break off his siege of the Norsemen's camp at Asselt and make peace with them. One of their leaders, Gottfried, got a Carolingian wife and the benefices in Frisia formerly held by Rorich; the other, Siegfried, got a large sum in gold and silver. Commenting on these events, the Mainz cleric who composed this section of the Annals of Fulda wrote:
and what was still more of a crime, he did not blush to pay tribute, against the custom of his ancestors, the kings of the Franks, and following the advice of evil men, to a man from whom he ought to have exacted tribute and hostages.
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References
1 I am grateful to Wilfried Hartmann, Janet Nelson, Ernst Tremp and Ian Wood for their comments and suggestions.
2 ‘… et quod maioris est criminis, a quo obsides accipere et tributa exigere debuit, huic pravorum usus consilio contra consuetudinem parentum suorum, regum videlicet Francorum, tributa solvere non erubuit.’, Annales Futdenses, ed. Kurze, F. (MGH, SRG, Hannover, 1895) s.a. 882, p. 99 (cf. also pp. 108–9)Google Scholar. See Diimmler, E., Geschichte des ostfrdnkischen Reiches (2nd. edn., 3 vols., Leipzig, 1887–1888), ii. 202ffGoogle Scholar.
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14 Annales regni Francorum, s.a. 772, p. 34.
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22 Annales Fuldenses, s.a. 885, p. 103; cf. also ibid., s.a. 876, p. 98: ‘Frisiones… cum Nordmannis dimicantes victores extiterunt omnesque thesauros… abstulerunt atque inter se diviserunt.’
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37 Recueil des actes de Charles le Chauve, ed. Tessier, G. (3 vols., Paris, 1943–1955) i. 468 no. 177Google Scholar.
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39 As opposed to the precarial benefices which were often granted in return for gifts of land to a church and are frequently recorded in the Bavarian traditiones, for example; here we find much smaller pieces of property and the use of the word benefidolum, cf. Mitlellateinisches Worterbuch, I. A-B, (Munich, 1959–1967), cols. 1432–3Google Scholar, s.v.
40 MGH, Cap., i. 134–5, no. 48, c. 2 (807): all with three or more mansi are to serve; i. 137, no. 50, c. I (808): all with four or more mansi.
41 De ordine palatii, 11. 439–446.
42 Oexle, O.G., ‘Gilden als soziale Gruppen in der Karolingerzeit’, Das Handwerk in vor- und frühgeschichtlicher Zeit, eds Jankuhn, H. and others, (Abhandlungen der Akademie der Wissenschaften zu Gottingen, phil.-hist. Klasse, dritte Folge, 122, Gottingen, 1981), i. 301–8, 339–41Google Scholar. The objection was to the use of armed bands in improper ways—e.g. attacks on missi dominici or intimidating county courts—and perhaps also to armed bands bound together by mutual oaths; on the Carolingians' fear of coniuratio see Epperlein, S., Herrschqft und Volk im karolingischen Imperium (Forschungen zur mittelalterlichen Geschichte, 14, Berlin(E.), 1969), 42–50Google Scholar.
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51 Kienast, W., ‘Germanische Treue und “Königsheil”’, Historische Zeitschrift, 227 (1978), 265–324CrossRefGoogle Scholar, attempts a nuanced defence of the notion against the attacks by F. Graus, but it is so nuanced that I find it impossible to follow over large stretches.
52 ‘fecit rex Carlus conuentum apud Reganesburug; et cum cognovisset fideles suos, episcopos, abbates, et comites, qui cum ipso ibi aderant, et reliquum populum fidelem, qui cum Pippino in ipso consilio pessimo non erant, eos multipliciter honoravit in auro et argento et sirico et donis plurimis.’, Annales Laureshamenses, s.a. 793, p. 38.
53 In connection with education the usage is classical; but it appears to be in the Carolingian period that such words begin to be used of the relationship between lord and follower: cf. e.g. Einhard, , Vita Karoli, preface, p. 1Google Scholar: ‘nutritoris mei Karoli’ and p. 2: ‘nutrimentum in me inpensum’ Ermold, , Carmen in honorem Hludovici, II. 166, 658, 1144Google Scholar; MGH, Cap., ii. 283, no. 256, c. 4.
54 Among the numerous provisions in the capitularies regulating sales, there is one of particular interest in this context, MGH, Cap. i. 142, no. 55 c. 2: ‘ut null us audeat in nocte negotiare in vasa aurea et argentea, mancipia, gemmas, caballos, animalia…’, an almost complete list of ‘noble’ items. It is significant that they could be sold at all, though by daylight only and before reliable witnesses; the prohibition of night (i.e. secret) sales was perhaps intended not only as a general measure against fencing stolen goods, but also to try to prevent feuds arising over the possession of such items.
55 Annales regni Francorum, s.a. 798, pp. 104, 105.
56 Waitz, , Verfassungsgeschichte, iii. 591, iv. 107–110Google Scholar; Ganshof, , Frankish Institutions, 43 with n. 321Google Scholar. Although they are described in Carolingian sources as an ancient institution, the earliest datable reference is c. 6 of the council of Ver (755), MGH, Cap., i. 34. The reference in Formulae Bituricenses, ed. Zeumer, K. (MGH, Formulae Merowingici et Karolini Aevi, Berlin 1882–1886), 178 no. 18Google Scholar, is Carolingian. The last mention of them, so far as I can see, is at Quierzy in 877: MGH, Cap., ii. 363 no. 282.
57 Die Urkunden der deutschen Karolinger, ed. Kehr, P. (MGH, Diplomata, Berlin, 1934), i. 100, no. 70 (852)Google Scholar; Böhmer, J. F., Die Regesten des Kaiserreichs unterden Karolingern. 751–918, 2nd. edn. by Miihlbacher, E. (Innsbruck, 1908), no. 797 (825)Google Scholar.
58 See the Notitia de servitio monasteriorum, ed. Becker, P., in Initia Consuetudinis Benediclinae (Corpus Consuetudinum Monasticarum, I, Siegburg, 1963), 485–99Google Scholar; BöhmerMühlbacher, no. 929 (3 July 834) for Kempten is a diploma of exemption.
59 Die Urkunden der deutschen Karolinger, ed. Schieffer, T., (MGH, Diplpmata, Berlin, 1960) iv. 50–1 no. 18 (898)Google Scholar.
60 Cf. the chárter of Archbishop Wenilo of Sens for Saint-Rémy, Sens, Die Konzilien der karolingischen Teilreiche 843–859, ed. Hartmann, W., (MGH, Concilia, Hannover, 1984), iii. 59, no. 10Google Scholar: ‘Episcopus quoque in exigendis muneribus abbatem eiusdem loci non gravet, sed sufficiat ei ad annua dona equus unus et scutum cum lancea’; diploma of Charles the Bald for Saint-Pierre, Rouen (ed. Tessier, ii. 410, no. 407 (876)).
61 MGH, Cap., ii. 93–4, no. 217, c. 4 (865); Hincmar, Ad Carolum Calvum, Migne, PL 125, cols. 1050D–1051A.
62 Continuator of Fredegar (ed. Wallace-Hadrill), c. 48 p. 116; Annales sancti Amandi, s.a. 807 (MGH, SS, 1. 14); Annales regni Francorum, s.a. 827, p. 173, 829, p. 177; Annales Bertiniani, s.a. 832, p. 8, 833, p. 10, 835, p. 17, 836, p. 19, 837, p. 21, 864 p. 113, 868 p. 150, 874 p. 196; Fragmentum Chronici Fontanellensis, s.a. 851 (MGH, SS, 2. 303).
63 Exul, Hibernicus, Ad Karolum Regent, ed. Dummler, E. (MGH, Poetae Latini medii aevi, I, Berlin, 1881), 396Google Scholar; cf. also Dicuil, , Versus, ed. Strecker, K., (MGH, Poetae Latini medii aevi, 4, Berlin, 1923), 917Google Scholar. Annales Fuldenses, s.a. 870, p. 72: ‘… Fran corum iudicio et Baioariorum necnon Sclavorum, qui de diversis provinciis regi munera deferentes aderant…’. The Breton prince Salomon also handed his tribute over at the same time as the Franks presented the dona in 864: Annales Bertiniani, s.a., p. 113.
64 Continuator of Fredegar (ed. Wallace-Hadrill), c. 36 p. 104: tributa vel munera quod… requirabant; for 882 see above, p. 75, n. 2.
65 Nigellus, Ermoldus, Carmen in honorem Hludovici, 11. 1328–1930, p. 104Google Scholar: En mea rura colit late…/…/Nempe tributa vetat; cf. also 1. 1392, 1465–7.
66 Annales Fuldenses, s.a., 874, p. 81; 877, p. 89.
67 For objections to the theory see Miiller-Mertens, E., Karl der Groβe, Ludwig der Fromme und die Freien (Forschungen zur mittelalterlichen Geschichte, 10, Berlin (E), 1963)Google Scholar; Schulze, H. K., ‘Rodungsfreiheit und Konigsfreiheit. Zu Genese und Kritik neuerer verfassungsrechtlicher Theorien’, Historische zeitschrift, 219 (1974), 529–50Google Scholar; Schmitt, J., Untersuchungen zu den Liberi Homines der Karolingerzeit (Europaische Hochschulschriften, Reihe III, 85, Berne, 1977)Google Scholar. I hope to deal more fully elsewhere with the problems discussed in the following section.
68 Duby, G., The growth of the early European economy, (1974), 32, 86Google Scholar.
69 MGH, Cap., i. 208, no. 101 c. 3: ‘Quomodo causam confinales nostri odio semper habent contra illos qui parati sunt inimicis insidias facere et marcam nostram ampliare’; cf. also ibid., i. 206 no. 99 c. 3.
70 Cf. I. Dienemann-Dietrich, ‘Der frankische Adel in Alemannien im 8. Jahrhundert’, Probleme der alemannischen Geschichte, ed. Mayer, T. (Vortrage und Forschungen…, 1, Lindau, n.d. [1955]), 149–92Google Scholar; Mitterauer, M., Karolinguche Markgrafen im Siidosten (Archiv fur osterreichische Geschichte, 123, Vienna, 1963), 78–84Google Scholar.
71 Bullough, D., ‘Europae paler: Charlemagne and his achievement in the light of recent scholarship’, EHR, lxxxv (1970), 82–3CrossRefGoogle Scholar. For the ‘Northerners’ see the prosopography by Hlawitschka, E., Franken, Alemannen, Bayern und Burgunder in Oberitalien (774–962), (Forschungen zur oberrheinischen Landesgeschichte, 8, Freiburg im Breisgau, 1960)Google Scholar. On pp. 31 off. Hlawitschka gives a list of small men (Staatssiedler) found in Italian sources who came from north of the Alps, but there are surprisingly few of them before the end of the ninth century.
72 There is a good discussion of the aprisio system in Müller-Mertens, , Karl der Groβe, Ludwig der Fromme und die Freien, 61–6Google Scholar; for the evidence very scanty apart from Italy—for military colonists elsewhere see ibid., 74–8 and Schmitt, , Libert Homines, 110–35Google Scholar.
73 The importance of ‘heavy cavalry’ in Carolingian warfare continues to be over-estimated; for a useful corrective see Bullough, , ‘Europae pater’ 84–89Google Scholar, who rightly points to the Carolingians' ability to move armies and mount effective sieges.
74 This is common ground: cf. Schmitt, , Liberi Homines, 211–24Google Scholar; Müller-Mertens, , Karl der Groβe, Ludwig der Frotnme und die Freien, 120–133Google Scholar; Fleckenstein, J., ‘Adel und Kriegertum und ihre Wandlung im Karolingerreich’, Settimane di studi sull'alto medio evo, 27(1981), 82Google Scholar. There is disagreement only about whether Charles' measures were primarily intended to maintain Frankish military power (so Müller-Mertens and Fleckenstein) or were rather an expression of a new Herrscherethos (so Schmitt).
75 For defensio patriae cf. Dannenbauer, H., ‘Die Freien im karolingischen Heer’, Grundlagen der mittelalterlichen Welt (Stuttgart, 1958), 242–3Google Scholar. The earliest specific reference I have found is the Olonna capitulary of 822 (MGH, Cap., i. 319, no. 125, c. 18), but the context of Charlemagne's military preparations in the last decade of his reign is quite clearly a defensive one; cf. Sproemberg, H., ‘Die Seepolitik Karls des GroBen’, Beitrdge zur Belgisch-Niederlandischen Geschichte (Forschungen zur mittelalter-lichen Geschichte, 3, Berlin(E), 1959), 1–30Google Scholar. The one apparent exception is a capitulary which deals with the possibility that the Saxons might be sent into Aquitaine or against the Bohemians (MGH, Cap., i. 136, no. 49, c. 2), but what could be demanded of a recently-conquered tribe is not necessarily a guide to what could be done elsewhere.
76 Corsica: MGH, Cap., i. 325, no. 162, c. 3; Benevento: ibid., ii. 94–5, no. 218, c. 1; 828/9: ibid., ii. 5, no. 185, 7, no. 186, c. 7. On these years see Ganshof, F. L., ‘Am Vorabend der ersten Krise der Regierung Ludwigs des Frommen. Die Jahre 828 und 829’, Friihmittelallerliche Studien, 6 (1972), 40–5Google Scholar.
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78 Annales Bertiniani, s.a. 832, pp. 7–8: ‘denuo annuntiatum est placitum generale kalendas septembris Aurelianis habendum, ibique unumquemque liberum hostiliter aduenire’. So far as I can see, this is the only occasion in the whole of the Carolingian period when such a mass mobilisation is unambiguously and explicitly referred to in a narrative source.
79 In 832 Louis the German was thought to be raising an army of all the Bavarians, free and unfree (Annales Bertiniani, s.a., p. 5); in 802 Charlemagne laid down penalties for the unfree as well as for freemen, should they fail to give help when required in the event of a coastal attack: Eckhardt, W. A., ‘Die Capitularia missorum specialia von 802’, Deutsches Archivfiir Erforschung des Millelalters, 12 (1956), 502, c. 13bGoogle Scholar.
80 Annales Bertiniani, s.a. 859, p. 80 (where, incidentally, the discussion in note 1 is superfluous: the text means what it says, namely that the coniuratw was suppressed by powerful Franks); Regino of Prüm, Chronicon, ed. Kurze, F., (MGH, SRG, Hannover, 1890), s.a. 882, p. 118Google Scholar.
81 Grierson, P. H., ‘Commerce in the Dark Ages: a critique of the evidence’, Transactions of the Royal Historical Society, 5t hser., 9 (1959), 139CrossRefGoogle Scholar.
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84 Annales Fuldenses, s.a. 840, pp. 30–1.
85 On Pippin see Annales Bertiniani, s.a. 859, p. 81 and 864, p. 105; on Hugo see above, pp. 83–4 n. 50 and Regino, Chronicon, s.a. 885, p. 123; on Carloman and Louis th e Younger see Annales Bertiniani, s.a. 861, p. 85, and Annales Fuldenses, s.a. 866, p. 65.
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90 For a similar point about Austrasia in the sixth century see Collins, R., ‘Theudebert I, “Magnus rex Francorum”’, in Idea and Reality in Frankish and Anglo-Saxon Society. Studies presented to J. M. Wallace-Hadrill, eds Wormald, P. and others (Oxford, 1983). 14–15Google Scholar.
91 Annales Fuldenses, s.a. 858, p. 49; 869, p. 68.
92 Verlinden, C., ‘L'origin de sdavus = esclave’, Archiwm Latinitatis Medii Aevi, 17 (1943), 97–128Google Scholar, dates this change in Germany to the tenth and eleventh centuries (elsewhere in Europe not until the thirteenth). But see the diploma of Arnulf for Wiirzburg, , Die Urkunden der deutschen Karolinger, ed. Kehr, P., (MGH, Diplomata, Berlin, 1940), iii. 99, no. 66 (889)Google Scholar: ‘homines ipsius ecclesiae sive accolas vel sclavos’: vel sclavos is an addition to the text of the Vorurkunde, a charter of Louis the Pious' dated 19 December 822 (Bohmer-Miihlbacher, no. 767). The transition can be found in a diploma of Louis the German for Altaich, , Die Urkunden der deutschen Karolinger, i. 117, no. 80 (857)Google Scholar: servos Sclavos vel accolas.
93 Auzias, L., L'Aquitaine carolingienne (778–987) (Toulouse, 1937), 176ffGoogle Scholar. It was only after 864 that Charles the Bald managed a thorough purge of office-holders n Aquitaine: ibid., 328–360. Cf. also Classen, P., ‘Die Vertrage von Verdun und von Coulaines 843 als politische Grundlagen des Westfrankischen Reiches’, Historische Zeitschrift, 196 (1963), 1–2, 34CrossRefGoogle Scholar.
94 The evidence is comprehensively surveyed by Joranson, E., The Danegeld in France (Augustana Library Publications 10, Rock Island, III., 1923)Google Scholar.
95 Annales Fuldenses, s.a. 876, p. 86; cf. Schramm, P. E., ‘Karl der Kahle’, in Kaiser, Kdnige und Papste. Gesammelle Aufsatze zur Geschichte des Mittelalters (Stuttgart, 1968), ii. 133–4Google Scholar. On the treasures, see above, p.78 with n. 17. Hincmar's criticisms are discussed by Nelson, J., ‘The 'Annals of St. Bertin”’, in Charles the Bald. Court and Kingdom, eds Gibson, M. and Nelson, J. (British Archaeological Reports, International Series, 101, Oxford, 1980), 26Google Scholar.
96 ‘Irruit super Bohemos … et fecit eos tributarios’: Widukind, of Corvey, Rerum gestarum Saxoriicarum libri Ires i c. 35 (MGH, SRG, Hannover 1935), 48–51Google Scholar. On the role of tribute-payments in the political economy of the Ottonian Reich see now Leyser, K., ‘Ottonian Government’, EHR, xcvi (1981), 739–41CrossRefGoogle Scholar.
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