Documente Academic
Documente Profesional
Documente Cultură
The sixth volume of The New Cambridge Medieval History covers the
fourteenth century, a period dominated by plague, other natural dis-
asters and war which brought to an end three centuries of economic
growth and cultural expansion in Christian Europe, but one which also
saw important developments in government, changes of emphasis
and concern in religious and intellectual life, giving greater weight to
the voice of the laity, and new cultural and artistic patterns, not least
with the rise of vernacular literature.
The volume is divided into four sections. Part I sets the scene by dis-
cussion of general themes in the theory and practice of government,
religion, social and economic history, and culture, including discus-
sions of art, architecture and chivalry. Part II deals with the individual
histories of the states of western Europe; part III with the Church at
the time of the Avignon papacy and the Great Schism; and part IV
with eastern and northern Europe, Byzantiumand the early Ottomans,
giving particular attention to the social and economic relations with
westerners and those of other civilisations in the Mediterranean.
Cambridge Histories Online Cambridge University Press, 2008
Cambridge Histories Online Cambridge University Press, 2008
The New Cambridge Medieval History
rri+ori:i ro:rr
David Abulaa Rosamond McKitterick
Martin Brett Edward Powell
Simon Keynes Jonathan Shepard
Peter Linehan Peter Spuord
Volume \i c. +,ooc. ++
Cambridge Histories Online Cambridge University Press, 2008
St Louis of Toulouse crowning Robert of Anjou, by Simone Martini (c. ),
Naples, Museo nazionale di Capodimonte
Cambridge Histories Online Cambridge University Press, 2008
THE NEW
CAMBRIDGE
MEDIEVAL HISTORY
Volume VI c. .,ooc. .,.,
rri+rr r
MICHAEL JONES
Professor of Medieval French History
University of Nottingham
Cambridge Histories Online Cambridge University Press, 2008
c:rrircr ti\rrsi+ rrrss
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, Sa
~
o Paulo
Cambridge University Press
The Edinburgh Building, Cambridge cr. .rt, UK
Published in the United States of America by Cambridge University Press, New York
www.cambridge.org
Information on this title: www.cambridge.org/,-c.+o.,cc
Cambridge University Press .ccc
This book is in copyright. Subject to statutory exception
and to the provisionsof relevant collective licensing agreements,
no reproduction of any part may take place without
the written permission of Cambridge University Press.
First published .ccc
Reprinted .cco
Printed in the United Kingdomat the University Press, Cambridge
A catalogue record for this book is available from the British Library
Library of Congress Cataloguing in Publication data
isr-+ ,--o-.+-o.,c-c paperback
isr-+c o-.+-o.,c- hardback
Cambridge University Press has no responsibility for the persistence or accuracy of URLs
for external or third-party internet websites referred to in this book, and does not guarantee
that any content on such websites is, or will remain, accurate or appropriate.
Cambridge Histories Online Cambridge University Press, 2008
CONTENTS
List of plates page xi
List of gures xiv
List of maps xv
List of genealogical tables xvi
List of contributors xvii
Preface xix
Acknowledgements xxii
List of abbreviations xxiii
r:r+ i crrr:i +nrrs
+ Introduction ,
icn:ri jors
. The theory and practice of government in western Europe
in the fourteenth century +-
:irrr+ ric:trirrr
, Currents of religious thought and expression .
jrrr c:++o
The universities 66
j:ctrs \rrcrr
Rural society s.
r:ti rrrrr:
o Urban life +o.
jr:-rirrrr irct:
- Plague and family life +.
cnris+i:r ki:riscn-ztrrr
vii
Cambridge Histories Online Cambridge University Press, 2008
s Trade in fourteenth-century Europe +
rr+rr srtrrorr
, Chivalry and the aristocracy .o,
:tricr krr
+o Court patronage and international Gothic ...
r:ti riski
++ Architecture .,
r:ti crossir
+. Literature in Italian, French and English: uses and muses of the
vernacular .-
ick n:\ri
r:r+ ii +nr s+:+rs or +nr \rs+
+, The British Isles
(a) England: Edward II and Edward III .-,
\. :rk orror
(b) The reign of Richard II .,-
c:roiir . r:rro
(c) Wales ,,
:. r. c:rr
(d) Fourteenth-century Scotland ,
:ir:rrr cr:+
(e) Ireland ,-
rori rr:r
+ France
(a) The last Capetians and early Valois kings, +,++,o ,ss
icn:ri jors
(b) France under Charles V and Charles VI ..
rr:oisr :t+r:r
+ Italy in the age of Dante and Petrarch
(a) The Italian north .
jon i:\
(b) Florence and the republican tradition o,
iotis crrr
(c) The Italian south ss
r:\ir :rti:ri:
viii Contents
Cambridge Histories Online Cambridge University Press, 2008
Contents ix
+o The empire
(a) From Adolf of Nassau to Lewis of Bavaria, +.,.+,- +
rr+rr nrrrr
(b) The Luxemburgs and Rupert of the Palatinate, +,-++o +
i\: ni:\c`rk
+- The Low Countries, +.,o++ -o
\:i+rr rrr\rirr
+s The Iberian Peninsula
(a) The Crown of Aragon ,
:i: rorr
(b) Castile, Navarre and Portugal o+,
rr+rr iirn:
r:r+ iii +nr cntrcn :r roii+ics
+, The Avignon papacy o,
r. . r. zt+sni
.o The Great Schism o-
no\:rr k:isk
r:r+ i\ or+nrr :r r:s+rr rtrorr
.+ Baltic Europe o,,
s. c. ro\rii
.. The kingdoms of central Europe in the fourteenth century -,
ci:trr icn:tr
., The principalities of Rus in the fourteenth century -o
:c snirirs koii:
. The Byzantine empire in the fourteenth century -,
:criiki r. i:iot
. Latins in the Aegean and the Balkans in the fourteenth century s.
icnri r:i:rr
.o The rise of the Ottomans s,,
i. r+i kt+
Cambridge Histories Online Cambridge University Press, 2008
.- Christians and Muslims in the eastern Mediterranean so
rr+rr rrrtr
Appendix: genealogical tables ss
Primary sources and secondary works arranged by chapter s,
Index +o--
x Contents
Cambridge Histories Online Cambridge University Press, 2008
PLATES
frontispiece
St Louis of Toulouse crowning Robert of Anjou, by Simone Martini
(c. +.s+,), Naples, Museo nazionale di Capodimonte
between pages oo and oo
+ Ely Cathedral, Lady Chapel, +,.+c. +,,, looking east
(Woodmansterne)
. Avignon, Palais des Papes, Chambre du Cerf, executed under Pope
Clement VI (+,..) (Giraudon, Paris)
, Assisi, San Francesco, lower church, showing frescos by Cimabue (far
left), workshop of Giotto (crossing vault) and Pietro Lorenzetti
(opposite transept); Simone worked in chapel o the nave
Simone Martini, The Holy Family, signed and dated +,., executed at
Avignon; the subject-matter, Christs deance of his earthly parents, is
almost unique in western art (Liverpool, Walker Art Gallery)
Palazzo Pubblico, Siena: Ambrogio Lorenzetti, Allegory of Good
Government
o The Hours of Queen Jeanne dEvreux of France, illuminated by Jean
Pucelle, c. +,.s, fols. +v+or, The Arrest of Christ and the Annunciation
(The Cloisters Museum, New York)
- Karlstein Castle, Prague, interior decorations of Emperor Charles IVs
private chapel dedicated to St Catherine; the painted niche is Italian in
style, the altar frontal Bohemian
s Coronation Book of Charles V of France (+,o), the king receives the
kiss of his peers (British Library, Cotton MS Tiberius B \iii fol. or)
, Fragments of murals from St Stephens Chapel, Westminster, +,oo,,
showing Old Testament stories; the scheme of paintings shows Italian,
French and Flemish inuence (British Museum)
+o The Wilton Diptych, c. +,, (National Gallery, London)
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++ Strozzi altarpiece in Santa Maria Novella, Florence, Orcagna workshop,
Triumph of Death (detail), +,os
+. February, from the Trs Riches Heures of John, duke of Berry, ++,+o,
fol. .v (Muse Cond, Chantilly) (Giraudon, Paris)
+, Prophet from the Moses fountain, Chartreuse de Champmol, Dijon, by
Claus Sluter, +,,+o,
+ Angers Apocalypse tapestries, illustration of Revelation s:+o++, the
star wormwood, made in the +,-os for Louis I, duke of Anjou (Angers,
Muses des Tapisseries) (Giraudon, Paris)
+ Portrait of King John II of France, c. +,o (The Louvre, Paris)
+o Cadaver egy, detail from the tomb of Cardinal Jean de Lagrange
(d. +o.), Saint-Martial, Avignon
+- St Stephens Chapel, Westminster Palace, begun +.,., interior elevation
of the north side of the eastern bay of the upper chapel (drawing by
Richard Dixon, c. +soo, Courtauld Institute)
+s Gloucester Cathedral, choir looking east, begun c. +,,- (Photo:
Christopher Wilson)
+, Marienburg (Malbork), castle of the Teutonic Knights, from the west,
the High Castle (begun before +.so) to the right, the grand masters
Palace (begun c. +,,o) to the left (Bildarchiv. Foto Marburg)
.o Westminster Hall, +,,++o+, interior (A.F. Kersting)
.+ Lbeck, St Mary, choir begun +.-- ( Jutta Brdern, Brunswick)
.. Bruges, town hall, c. +,--s-
., Florence, Palazzo Vecchio, +.,,+,+, view from north-west, with the
Loggia dei Lanzi (+,-oc. +,s+) on the right (Alinari)
. Florence, Giottos Campanile, begun c. +,, ( Courtauld Institute)
. Toulouse, Dominican (so-called Jacobin) church, begun +..,,
completed +,,o, interior looking north-east
.o Ely Cathedral, octagon and lantern, +,..o (Christopher Wilson)
.- Gloucester cathedral, fan vaults in the east walk of the cloister,
c. +,+o (Christopher Wilson)
.s Oxford, New College, +,-,so, view from the west (Loggan
print +o-)
., Hull, Holy Trinity church, choir interior, looking east, c. +,.os and later
(Christopher Wilson)
,o Mehun-sur-Yvre Castle, begun +,o-, view from the north (from a
miniature by the Limburg brothers in the Trs Riches Heures of John,
duke of Berry, ++,+o (Muse Cond, Chantilly) (Giraudon, Paris)
,+ Cologne Cathedral, west faade, designed c. +,oo+o: the two lowest
storeys of the south-west tower c. +,+o early fteenth century; the
lowest parts of the north-west tower fteenth century; the remainder
xii List of plates
Cambridge Histories Online Cambridge University Press, 2008
constructed +s.so according to the surviving medieval Plan F (Helga
Schmidt-Glassner, Stuttgart)
,. Prague Cathedral, +,s, interior of the choir (Werner Neumeister,
Munich)
,, Schwbisch Gmnd, Holy Cross church, interior of the nave and choir,
looking east (Helga Schmidt-Glassner, Stuttgart)
, Barcelona Cathedral, begun +.,s, interior looking north-east (Mas,
Barcelona)
, Palma de Mallorca Cathedral, begun +,oo, interior looking east (Mas,
Barcelona)
,o Milan Cathedral, exterior of choir looking west, begun +,so (Mansell,
Alinari)
,- Orvieto Cathedral, nave exterior from north-west, begun +.,o, faade
begun +,+o by Lorenzo Maitani (Alinari)
,s Florence, S. Croce, interior looking east, begun in c. +.,. (Alinari)
List of plates xiii
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FIGURES
+ Plan of Chapter House, Marienburg (Malbork), castle of the
Teutonic Knights, c. +,,o page .,o
. Karlstein (Karlstejn) Castle, begun +,s, complete by +,o- .,o
, Plan of Vincennes, begun in +,o+ .,-
Ulm Minster, Plan A for the west tower by Ulrich von Ensingen,
c. +,,. (Stadtarchiv Ulm, I) .o
Wells Cathedral, plan of the choir, retrochoir and lady chapel,
c. +,..c. +,o .o
o Strasbourg Cathedral, Plan B, +.--; redrawing of the original
plan by Dehio-Bezold .,
- Prague Cathedral, ground plan, by Matthias of Arras
(active +,.) (black sections) and Peter Parler (active +,o,,)
(grey sections) .+
s Plan of Florence Cathedral, begun +.,, present nave +,--s,
walls of octagon +,--+.+ .
xiv
Cambridge Histories Online Cambridge University Press, 2008
MAPS
+ Universities active in +,oo page os
. University foundations, +,oo+oo o,
, Universities active in +oo -o
Europes trade, c. +,oo +-o
Europes trade, c. +oo +,
o Scotland in the fourteenth century ,
- The Hundred Years War to +,oo o.
s France in +,oo os
, The Hundred Years War, +,oo,o .s
+o The Iberian peninsula ,,
++ Baltic Europe in the fourteenth century -oo
+. The Grand Duchy of Lithuania -o
+, Prussia in the late fourteenth century -+
+ Livonia in the fourteenth century -+-
+ Russia, c. +,,o -oo
+o The Byzantine empire during the reign of Michael VIII soo
+- The Byzantine empire in the +,os s+
+s The Aegean world s,-
+, Anatolia and the Balkans, c. +,o ss
.o The Ottoman state, c. +oo s
xv
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GENEALOGICAL TABLES
+ The royal family in the reign of Richard II page sso
. The later Capetians and early Valois kings of France ss-
, The Gediminid Grand Dukes of Lithuania in the fourteenth century sss
The northern monarchies: the descent of Eric of Pomerania s,o
The house of Luxemburg s,+
o The house of Anjou in Hungary and Naples s,.
- Daniilovich grand princes of Moscow s,
xvi
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CONTRIBUTORS
r:\ir :rti:ri:: Reader in Mediterranean History, University of
Cambridge, and Fellow of Gonville and Caius College
rr:oisr :t+r:r: Professor, Ecole Normale des Jeunes Filles, Paris
icnri r:i:rr Professor, University of Paris IV
c:roiir . r:rro: Reader in Medieval History, Royal Holloway and
Bedford New College, University of London
r:ti riski University Lecturer, Cambridge, and Fellow of Gonville and
Caius College
:. r. c:rr Professor of Welsh History, University of Wales, Bangor
jrrr c:++o Fellow of Oriel College, University of Oxford
r:ti crossir Reader, Courtauld Institute of Art, University of London
rr+rr rrrtr Reader, University of Wales, Cardi
:i: rorr Sometime Reader in History, University of Durham
rori rr:r Professor of Medieval History, University of Durham
r:ti rrrrr: Professor of History, Yale University
:ir:rrr cr:+ Senior Lecturer, University of Lancaster
iotis crrr Professor of History, Monash University
ick n:\ri Senior Lecturer, University of York
rr+rr nrrrr Emeritus Professor of History, University of Wrzburg
i\: ni:\c`rk Professor of Auxiliary Historical Sciences and
Archivistics, Charles University, Prague
icn:ri jors Professor of Medieval French History, University of
Nottingham
no\:rr k:isk Professor of History, University of Florida, Miami
:tricr krr Reader, University of Oxford, and Fellowof Balliol College
cnris+i:r ki:riscn-ztrrr Professor, Ecole des Hautes Etudes en
Sciences Sociales, Paris
:c snirirs koii: Professor of History, Stanford University
:criiki r. i:iot Professor, Harvard University
xvii
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jon i:\ Senior Lecturer, University of Wales, Swansea
jr:-rirrrr irct: Professor of History, University of Rouen
rr+rr iirn: Lecturer, University of Cambridge, and Fellow of St
Johns College
i. r+i kt+ Faculty Member, Sabanc University, Istanbul
ci:trr icn:tr Professor of History, University of Paris I
\. :rk orror Professor of History, University of York
\:i+rr rrr\rirr Professor of History, University of Ghent
:irrr+ ric:trirrr Professor of History, University of Paris II
s. c. ro\rii Institute of History, Vilnius
rr+rr srtrrorr Sometime Reader in Monetary History, University of
Cambridge, and Fellow of Queens College
j:ctrs \rrcrr Professor of History, University of Paris II
r. . r. zt+sni University Archivist, University of Cambridge, Fellow of
Corpus Christi College
xviii List of contributors
Cambridge Histories Online Cambridge University Press, 2008
PREFACE
My rst vicarious experience of the tribulations and triumphs of an editor of
a Cambridge History came as I watched my remarkable tutor, J.P. Cooper, strug-
gling for more than ten years to bring to birth his volume The Decline of Spain
and the Thirty Years War .oo,,/,, (+,-o), in the New Cambridge Modern History.
Perhaps I should have learnt then that collaborative ventures call for more than
usual editorial skills and patience, above all that they need much wielding of
iron sts in velvet gloves, if the project is to be kept within reasonable word
and time limits and the editor is to remain on speaking terms with contribu-
tors who rst produced their chapters while cajoling those still some way
behind into making the nal eort! In the circumstances although, as with
other volumes in this series, there has been slippage in the originally proposed
schedule, the time from conception to birth is only just verging on the ele-
phantine for works of this scale. It is thus with great pleasure (as well as a
strong sense of relief) that I can now say how grateful I am to all those who
have contributed. Particular thanks are due to those who replaced others, rst
chosen but unable to produce their chapters. Among these we may sadly note
two ne American scholars, David Herlihy and John Boswell, both of whom
died before they could write any part of their proposed pieces. In the case of
the former, an ideal replacement, Christiane Klapisch-Zuber, who collabo-
rated with Herlihy in the ground-breaking work, Les Toscans et leurs familles
(+,-s), willingly undertook to write in his stead, whilst at an even later stage
Alan Forey kindly supplied a chapter on the kingdom of Aragon which
Boswell had originally agreed to do. Another late replacement to whom I am
immensely indebted is Stephen Rowell, who not only provides a wide-ranging
survey of Baltic history, but also made helpful suggestions with regard to other
chapters touching on the Slav world. It is important to add that Paul Freedman
was an even later recruit since the eleventh hour had already struck when he
generously agreed to write the section on rural society (for which Guy Bois had
originally contracted), without which the section on the Economy would have
xix
Cambridge Histories Online Cambridge University Press, 2008
been sadly inadequate. It is certainly through no fault of these scholars that I
have to apologise here to those colleagues who so speedily and eciently dis-
charged their obligations within a brief time after the launch of this volume
only to see their chapters delayed for several years; they have been given some
opportunity to revise their texts, though naturally some would now approach
the task in a dierent fashion if asked to do so again in the light of their own
maturer experience and continuing advances in their respective elds. An
attempt has been made to note major additions to bibliographies compiled
some years ago, though it has seemed best to allow them mainly to represent
the work on which the individual chapters were then based.
As editor of a large and international team I have been immensely encour-
aged over the time this volume has been in production by the friendship shown
me by busy scholars in many countries and by their unstinting co-operation as
I edited their work for the nal text. Many who were simply names to me when
the project began, I now know much better and I am happy to acknowledge
my debt to them. I think it also fair to say that for many, if not all contributors,
the challenge of condensing what in most elds has become an enormous
modern literature of their respective subjects often proved more taxing than
they had rst imagined. Few of the chapters that follow make any claim to be
comprehensive; all contributors have had to make invidious choices about
what to include or exclude (some of which are explained in the Introduction
below); all have accepted editorial guidance with remarkable patience even
where that may have been wrong-headed. Some have chosen to annotate their
chapters fairly extensively; others have simply provided bibliographies which
reect their own reading and provide guidance to some of the most useful lit-
erature in their area. I hope that failure to standardise in this respect will be
accepted as a reasonable compromise since I was anxious not to cram all con-
tributors into the same procrustean mould.
Among those without whom the volume would have been very dierent,
mention may especially be made of Juliet Vale who has been responsible for
translating chapters , , , , (b), and from French, and (a) from
German, while Paula Kennedy translated (b) from Czech; both were metic-
ulous in their eorts to convey the sense of the original and in ensuring that
the appropriate conventions have been used for transliterating names of
people, places and oces to make the chapters accessible to an English-speak-
ing audience, performing indeed much of the work of a general editor, for
which I am very grateful. Likewise I have received valuable assistance in pro-
cessing the bibliographies from Claire Taylor. The help of the volumes copy-
editor, Linda Randall, and its indexer, David Atkins, have been invaluable in
improving the consistency and accuracy of the text. My thanks must also go
to fellow editors of this History, especially Rosamond McKitterick, David
xx Preface
Cambridge Histories Online Cambridge University Press, 2008
Abulaa and Christopher Allmand, as well as to other members of the
Editorial Board, for their help and encouragement over the last decade. For his
forbearance and unfailingly supportive advice and help through good days and
bad, a special mention must be made of William Davies of the Press, whose
worst-case scenario I hope we have just collectively avoided.
icn:ri jors
Preface xxi
Cambridge Histories Online Cambridge University Press, 2008
ACKNOWLEDGEMENTS
Permission to reproduce pictures and photographs of buildings or of other
objects in their care has been acknowledged above (pp. xixiii); the sources of
gures +s are also acknowledged appropriately, while the genealogical tables
have been prepared in house at the Press. We are grateful to Reginald Piggott
for expert preparation of the maps from dicult copy and in accord with the
sometimes exigent demands of authors.
Finally, but by no means least, the editor would also like to place on record
the enormous help that he has received from Dr Elizabeth Jones, latterly for
proof-reading and stylistic suggestions, but also for support of every kind over
many more years than even this volume has been in production.
xxii
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ABBREVIATIONS
AAPH Anais de Academia portuguesa da historia
AASS Acta Sanctorum, ed. J. Bollandus et al.
AB Analecta Bollandiana
ABret Annales de Bretagne
ABSHF Annuaire-bulletin de la Socit de lhistoire de France
ABurg Annales de Bourgogne
ACNSS Actes du Congrs national des Socits savantes
ADH Annales de dmographie historique
AE Annales de lEst
AEM Anuario de estudios medievales
AESC Annales: conomies, socits, civilisations
AFH Archivum Franciscanum Historicum
AFP Archivum Fratrum Praedicatorum
AgHR Agricultural History Review
AHC Annuarium Historiae Conciliorum
AHDE Anuario de historia del derecho espaol
AHP Archivum Historiae Ponticiae
AIBL Acadmie des inscriptions et belles-lettres
AIPHO Annuaire de lInstitut de Philologie et dHistoire Orientales
AK Archiv fr Kulturgeschichte
ALKG Archiv fr Literatur- und Kirchengeschichte des Mittelalters
AmHR American Historical Review
AMi Annales du Midi
AN Archives nationales, Paris
ANo Annales de Normandie
APAE Anciens pays et assembls dtat
APH Acta Poloniae Historica
ArtB Art Bulletin
ASF Archivio di stato di Firenze
xxiii
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ASI Archivio storico italiano
ASL Archivio storico lombardo
ASP Archivio di stato di Pisa
AV Archivio veneziani
BAE Biblioteca de autores espaoles
BAR British Archaeological Reports
BB Byzantino-Bulgarica
BBA The Black Book of the Admiralty, ed. T. Twiss, RS, i, London
(+s-.)
BBCS Bulletin of the Board of Celtic Studies
BBHS Bulletin of the Business Historical Society
BCRH Bulletin de la Commission royale dhistoire
BEC Bibliothque de lcole des chartes
BEFAR Bibliothque des coles franaises dAthnes et de Rome
BEP Bulletin des estudes portugaises
BF Byzantinische Forschungen
BG Bijdragen tot de Geschiedenis
BH Bulletin hispanique
Bib. mun. Bibliothque municipale
BIDR Bolletino dellInstituto di diritto romano
BIHR Bulletin of the Institute of Historical Research
BJRL Bulletin of the John Rylands Library
BL British Library
BMGM Bijdragen en Mededelingen voor de Geschiedenis der Nederlanden
BN Bibliothque Nationale de France, Paris
BPH(.,.,) Bulletin philologique et historique (jusqu .,.,)
BRAH Boletn de la Real academia de la historia
BS Byzantine Studies/Etudes byzantines
BSAF Bulletin de la Socit des antiquaires de France
BSBS Bolletino storico-bibliograco subalpino
BSOAS Bulletin of the School of Oriental and African Studies
BSPS Bolletino storico pisano
BSPSP Bolletino della Societa pavese di storia patria
BST Biblioteca storica toscana
BZ Byzantinische Zeitschrift
CAXI Crnica de Alfonso XI, ed. C. Rosell, BAE, oo, Madrid (+s-)
CBHB Corpus Bruxellense Historiae Byzantinae
CEFR Collection de lEcole franaise de Rome
CEHE The Cambridge Economic History of Europe, ed. J.H.
Clapham, M.M. Postan et al., s vols., Cambridge
(+,+s,)
xxiv List of abbreviations
Cambridge Histories Online Cambridge University Press, 2008
CEIII Crnica de Enrique III, ed. C. Rosell, BAE, os, Madrid
(+s--)
CFIV Crnica de Fernando IV, ed. C. Rosell, BAE, oo, Madrid
(+s-)
CFan Cahiers de Fanjeaux
CH Cuadernos de historia
CH(E) Cuadernos de historia (de Espaa)
CHCA Congresso de historia de la corona de Aragn
CIEB Congrs international des tudes byzantines
CJI Crnica de Juan I, ed. C. Rosell, BAE, os, Madrid (+s--)
CJII Chronique des rgnes de Jean II et de Charles V, ed. R.
Delachenal, vols., Paris (+,+-.o)
CMCS Cambridge Medieval Celtic Studies
CMH Cambridge Medieval History
CMRS Cahiers du monde russe et sovitique
CNRS Centre national des recherches scientiques
Cortes Cortes de los antiguos reinos de Len y de Castilla, ed. Real
Academia de la Historia, i, ii, Madrid (+so+,)
CPI Crnica de Pedro I, ed. C. Rosell, BAE, oo, Madrid (+s-)
CPIII Pere III of Catalonia (Pedro IV of Aragon) Chronicle, trans. M.
Hillgarth, with introduction and notes by J.N. Hillgarth, .
vols., Toronto (+,so)
CRC Crnicas de los reyes de Castilla desde Don Alfonso el Sabio, ed.
F. Cerda, i, Madrid (+-s+)
CRH Commission royale dhistoire
CSHB Corpus Scriptorum Historiae Byzantinae, o vols., Berlin
(+s.s,+)
CT Georey Chaucer, Canterbury Tales
DA Deutsches Archiv fr Erforschung des Mittelalters
DBI Dizionario biograco degli Italiani, ed. A.M. Ghisalberti et. al.,
, vols. continuing, Rome (+,oo,-)
DDG Dukhovnye i dogovornye gramoty velikikh i udel nykh kniazei
XIVXVI vv., Moscow and Leningrad (+,o)
DOP Dumbarton Oaks Papers
DR Downside Review
DVE Dante Alighieri, De vulgari eloquentia, ed. A. Marigo, ,rd
edn, Florence (+,-)
DVL Diplomatarium Veneto-Levantinum, i: .,oo.,,o; ii: .,,..,,,,
ed. G.M. Thomas, Venice (+sso,,)
EB Etudes balkaniques
EcHR Economic History Review
List of abbreviations xxv
Cambridge Histories Online Cambridge University Press, 2008
EETS Early English Text Society
EHH Etudes historiques hongroises
EHR English Historical Review
EO Etudes orientales
FC Jean Froissart, Chroniques, ed. S. Luce et al., + vols.
continuing, Paris (+so,+,-)
FHS French Historical Studies
FOG Forschungen zur osteuropischen Geschichte
FS Franziskanische Studien
GAKGS Gesammelte Aufstze zur Kulturgeschichte Spaniens
GBA Gazette des beaux arts
GDGSO M. Hayez (ed.), Gense et dbuts du grand schisme doccident,
Paris (+,so)
GG Geschichte und Gesellschaft
Gli Scaligeri G.M. Varanini (ed.), Gli Scaligeri, Verona (+,ss)
GP, ed. Failler George Pachymeres, Relations historiques, ed. A. Failler, .
vols., Paris (+,s)
GP, ed. Bekkerus George Pachymeres, De Michaele et Andronico Palaeologis
Libri Tredecim, ed. I. Bekkerus, . vols., Paris (+s-)
Gregoras Nicephorus Gregoras, Byzantina Historia, iiii, ed. L.
Schopen and I. Bekker, CSHB, Bonn (+s.,)
HEMP Historia de Espaa, general ed. R. Mendez Pidal, +s vols.,
Madrid (+,-,o)
HF Georey Chaucer, The House of Fame
HG Hansische Geschichtsbltter
HID Historia. Instituciones. Documentos.
HJb Historisches Jahrbuch
HL Cl. Devic and J. Vaissete, Histoire gnrale de Languedoc, ed.
A. Molinier et al., +o vols, Toulouse (+s-.+,o)
HMGOG Handelingen van de Maatschappij voor Geschiedenis en
Oudheidkunde van Gent
HR Historical Research
HT History Today
HUS Harvard Ukrainian Studies
HZ Historische Zeitschrift
IARP Index Actorum Romanorum Ponticum ab Innocenti III
ad Martinum V Electum
IC, Hist. Ioannis Cantacuzeni, Eximperatoris Historiarum Libri IV,
ed. L. Schopen, , vols., CSHB, Bonn (+s.s,.)
IESH Irish Economic and Social History
IH Linformation historique
xxvi List of abbreviations
Cambridge Histories Online Cambridge University Press, 2008
IHS Irish Historical Studies
IJTS International Journal of Turkish Studies
IMU Italia medievale e umanistica
IZ Istoricheskie zapiski
JBAA Journal of the British Archaeological Association
JBaS Journal of Baltic Studies
JBS Journal of British Studies
JEEH Journal of European Economic History
JEH Journal of Ecclesiastical History
JG J. and P. Zepos (eds.), Jus Graecoromanum, i, Athens
(+,,+)
JGF Jahrbuch fr Geschichte des Feudalismus
JGO Jahrbcher fr Geschichte Osteuropas
JHI Journal of the History of Ideas
JHP Journal of the History of Philosophy
JIH Journal of Interdisciplinary History
JItH Journal of Italian History
JMH Journal of Medieval History
JMRS Journal of Medieval and Renaissance Studies
JB Jahrbuch der sterreichischen Byzantinistik
JRAS Journal of the Royal Asiatic Society
JRSAI Journal of the Royal Society of Antiquaries of Ireland
JS Journal des Savants
JSAH Journal of the Society of Architectural Historians
JThS Journal of Theological Studies
JWCI Journal of the Warburg and Courtauld Institutes
JWH Journal of World History
JZCH Jernimo Zurita. Cuadernos de Historia
KQS Kirchengeschichtliche Quellen und Studien
LJ London Journal
LS Lusitania Sacra
MA Le moyen ge
MAHEFR Mlanges de archologie et dhistoire publis par lEcole franaise de
Rome
MCV Mlanges de la casa de Velazquez
MED Middle English Dictionary, general ed. Hans Kurath, ++
vols. (continuing), Ann Arbor (+,o )
MEFRA/M Mlanges de lEcole franaise de Rome
MGH Monumenta Germaniae Historica
MH Mediaevalia et Humanistica
MHR Mediterranean History Review
List of abbreviations xxvii
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MIG Mitteilungen des Instituts fr sterreichische
Geschichtsforschung
MKVA Medelingen van de Koninklijkse Vlaamse Academie
MPG J.-P. Migne, Patrologia e Cursus Completus, Series Graeca, +o+
vols., Paris (+s-oo)
MS Mediaeval Studies
MSHAB Mmoires de la Socit dhistoire et darchologie de Bretagne
MSHP Mmoires de la Socit de lhistoire de Paris et de lIle de France
(N)AV (Nuovo) Archivio veneto
NCMH New Cambridge Medieval History
NMS Nottingham Medieval Studies
NRHDFE Nouvelle revue historique de droit franais et tranger
NRS Nuova rivista storica
OCA Orientalia Christiana Analecta
OCP Orientalia Christiana Periodica
ODB Oxford Dictionary of Byzantium, , vols., Oxford (+,,+)
OESA Order of Augustinian Canons
OFM Order of Friars Minor (Franciscans)
OMCTH Ordines Militares. Colloquia Torunensia Historica
OP Order of Friars Preacher (Dominicans)
OSP Oxford Slavonic Papers
Part. Las Siete Partidas, ed. Real Academia de la Historia, , vols.,
Madrid (+so-; repr. +,-.)
PBA Proceedings of the British Academy
PBSR Papers of the British School at Rome
PER Parliaments, Estates and Respresentation
Poly. Ranulph Higden, Polychronicon, ed. C. Babington and J.R.
Lumby
P&P Past & Present
PP William Langland, Piers Plowman by William Langland: An
Edition of the C-Text, ed. D.A. Pearsall, London (+,-s)
PrAPS Proceedings of the American Philosophical Society
PRIA Proceedings of the Royal Irish Academy
PRO Public Record Oce
PS Population Studies
PTEC Positions des thses de lEcole des chartes
PU Preussisches Urkundenbuch, ed. M. Hein, E. Maschke, K.
Conrad et al., o vols., Knigsberg and Marburg
(+ss.+,so)
QAMK Quellen und Abhandlungen zur mittelrheinischen
Kirchengeschichte
xxviii List of abbreviations
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QDHG Quellen und Darstellung zur Hansische Geschichte
QFIAB Quellen und Forschungen aus italienischen Archiven und
Bibliotheken
QFGG Quellen und Forschungen aus dem Gebiet der
Geschichte
QSBG Quellen und Studien zur baltischen Geschichte
QSGDO Quellen und Studien zur Geschichte der Deutschen
Ordens
RAH Real academia de la historia
RBPH Revue Belge de philologie et dhistoire
REB Revue des tudes byzantines
REG Revue des tudes grecques
RF Romanische Forschungen
RH Revue historique
RHDFE Revue historique de droit franais et tranger
RHE Revue dhistoire ecclsiastique
RHGF Recueil des historiens des Gaules et de la France
RIS Rerum Italicarum Scriptores, ed. L.A. Muratori, . vols.,
Milan (+-.,+); new edn G. Carducci and V. Fiorini,
Citt di Castello and Bologna (+,oo )
RLR Revue des langues romanes
RMAL Revue du moyen ge Latin
RN Revue du Nord
RPH Revista portuguesa de histria
RPV Registres du trsor des chartes, iii: Rgne de Philippe de Valois, pt
+: JJ o,A o,, ed. J. Viard, Aline Valle and J. Favier, Paris
(+,-s)
RQ Rmische Quartalschrift
RQH Revue des questions historiques
RQly Renaissance Quarterly
RS Rolls Series
RSCI Rivista di storia della chiesa in Italia
RSH Revue des sciences humaines
RSJB Recueils de la Socit Jean Bodin
RStds Renaissance Studies
RuH Russian History
SAO Studia et Acta Orientalia
SB Studia Byzantina
SCH Studies in Church History
SDECH S.B. Chrimes and A.L. Brown, Select Documents of English
Constitutional History .,o,.,,, London (+,o)
List of abbreviations xxix
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SEER Slavonic and East European Review
SF Sdost Forschungen
SFGG Spanische Forschungen der Grresgesellschaft
SG Studia Gratiana
SH Studia Hibernica
SHF Socit de lhistoire de France
SHR Scottish Historical Review
SJ Society of Jesus
SJH Scandinavian Journal of History
SL Standen en Landen
SM Studi Medievali
SMGBO Studien und Mitteilungen zur Geschichte des Benediktineordens
und seiner Zweige
SMRT Studies in Medieval and Reformation Thought
SR Slavic Review
SRP Scriptores Rerum Prussicarum, ed. T. Hirsch et al., vols.,
Leipzig (+so+-); repr. with a sixth vol., Frankfurt am
Main (+,o)
ST Studi e Testi
SV Studi veneziani
SVen Storia di Venezia
THSC Transactions of the Honourable Society of Cymmrodorion
TM Travaux et mmoires
TODL Trudy Otdela drevnerusskoi literatury
TRHS Transactions of the Royal Historical Society
UTET Unione tipograco-editrice torinese
VF Vortrge und Forschungen
VKAWLSKB Verhandlingen Koninklijke Academie voor
Wetenschappen, Letteren en Schone Kunsten van Belgi
VMGOG Verhandlingen van de Maatschappij voor Geschiedenis
en Ouheidkunde van Gent
VQHF Vatikanische Quellen zur Geschichte der ppstlichen
Hof- und Finanzverwaltung
VSW Vierteljahrschrift fur Sozial- und Wirtschaftsgeschichte
VV Vizantiiskii Vremennik
WF Wege der Forschung
WHR Welsh History Review
ZHF Zeitschrift fr historische Forschung
ZKG Zeitschrift fr Kirchengeschichte
ZR Zeitschrift fr Rechtsgeschichte
ZRVI Zbornik Radova Vizantoloshkog Instituta
xxx List of abbreviations
Cambridge Histories Online Cambridge University Press, 2008
PART I
GENERAL THEMES
Cambridge Histories Online Cambridge University Press, 2008
Cambridge Histories Online Cambridge University Press, 2008
cn:r+rr +
INTRODUCTION
Michael Jones
+nis volume replaces the seventh volume of the Cambridge Medieval History,
which was seen through the press in +,,. by C.W. Previt-Orton and Z.N.
Brooke.
1
That volume, subtitled Decline of the Empire and Papacy, dealt with
roughly speaking, the fourteenth century, though that was interpreted gener-
ously from +.. in the case of Spain, and from c. +.-o in the accounts of
England, France and Germany, while terminal dates for some chapters ran well
into the fteenth century. Moreover, in a signicant proportion of the volume,
especially in thematic chapters devoted to the Jews, medieval estates, peasant
life, the early Renaissance and medieval mysticism, discussion was set in a
broader context, often covering the whole period from ++oo to +oo, with a
consequent diminution of specic information on the characteristics of the
fourteenth century itself, a period recognised by all scholars, then as now, as
amongst the most turbulent, even apocalyptic, of the entire Middle Ages or, as
one well-informed contemporary, Filippo Villani, starkly put it, this shipwreck
of a century which is going from bad to worse.
2
Not that there was any lack of information in Decline of the Empire and Papacy
in other respects: approximately three-quarters of the volume was devoted to
traditional political history within a strong narrative framework, above all the
deeds of popes and emperors, kings and princes, parliaments and estates. Some
chapters can still be mined with prot although there are many new sources
and, in most cases, a huge modern secondary literature now available to recon-
struct the sequence of events or to reinterpret the role of individuals. It simply
is not possible, nor is it desirable, here to attempt the same kind of detailed nar-
rative for the whole of Europe provided there. In geographical spread, too,
there are dierences of emphasis between that volume and the present one.
Then, whilst some notice was taken of eastern and northern Europe, with
chapters on the Hansa, the Teutonic Order, Bohemia and Russia, the vast bulk
,
1
CMH, \ii, Preface.
2
Filippo Villani, De . . . Famosis Civibus, cited by McLaughlin (+,ss), p. +,.
Cambridge Histories Online Cambridge University Press, 2008
of the narrative concerned the heart of medieval Catholic Europe: Italy,
France, Germany and the British Isles, with lesser attention being given to
other regions, though it is interesting to note that the development of
Switzerland fromthe thirteenth to fteenth centuries was allowed more space
than the chapter on Spain from the mid thirteenth century to ++o. In this
latter case there has been an especially large explosion of historical research
since the +,,os both within Spain itself and elsewhere, particularly amongst
Anglo-American historians. The same is true of late medieval Italy where
native historians have been joined by armies of foreign scholars ransacking the
rich archives of cities like Florence, Venice, Genoa and Siena as well as those
drawn to Rome and the papacy. Indeed it is characteristic of the period in
general that there are few elds in which research has not become more
archive orientated in recent generations, especially since improved technical
means for processing burgeoning quantities of historical data in whatever
formit is presented are nowso widely available both to individual scholars and
to teams of researchers.
3
Some areas least covered in Decline of the Empire and Papacy did, of course,
receive modest attention elsewhere in the original Cambridge Medieval History,
but treatment was deliberately uneven: chapters on south-eastern Europe, the
Mediterranean world and relations with Islam were largely omitted from
Decline and gathered together in a single volume devoted to the whole
history of the Byzantine empire.
4
If the current volume is more coherent
in chronological terms than its predecessor, keeping largely within the frame-
work c. +,ooc. ++, it is also more comprehensive in its territorial coverage
with eastern and northern Europe and the Mediterranean world, including
Byzantium, the Balkans and the rise of the Ottomans, receiving signicant
attention (chapters ). Occasionally, even wider vistas are briey
glimpsed: the still-overshadowing inuence of the Mongols on the political
development of the principalities of Rus is noted (), the cultural impact of
the Golden Horde (seen emblematically in the allusion to the khanate in the
adoptive name of the lord of Padua, Cangrande della Scala, d. +,.s),
5
Timur
the Lames defeat of Sultan Bayezid at Ankara in +o., bringing the apparently
inexorable rise of the Ottomans to a juddering halt (), and the economic
signicance of markets in, and products from, the east (, ), not to mention
the trajectory of the Black Death, reveal dierent aspects of the distant yet pal-
pable impact of Asia on fourteenth-century Europe.
6
Whilst within
icn:ri jors
3
Herlihy and Klapisch-Zuber (+,-s) for a pioneering example of this trend.
4
Soon recognised as inadequate, the original volume was subsequently revised and expanded by
Hussey (+,oo-).
5
Below p. o.
6
Abu-Lughod (+,s,) places late medieval European economic performance in a sobering world-wide
perspective.
Cambridge Histories Online Cambridge University Press, 2008
Christendom, the century saw a much closer symbiosis of the Mediterranean,
North Sea and Baltic worlds, developments graphically displayed, for instance,
in the expanding geographical knowledge revealed by makers of successive
portolans, marine charts, as Italian and Iberian mariners established regular
contact with the Atlantic seaboard and northern Europe from around +,oo
(cf. 8).
7
However, this addition to territorial coverage has inevitably to be made at
the cost of sacricing some of that depth of treatment accorded to individual
countries in +,,.. For example, Italy and Germany then claimed just under +o
per cent and France just over +o per cent of the available space, while Britain
had almost .o per cent, Wyclif and the Lollards alone getting more than that
devoted separately to Wales, Ireland and Scotland. In the present volume only
the British Isles gets over +o per cent, and no other region claims more than
or o per cent.
Another obvious dierence between Previt-Orton and Brookes volume
and this one (and others in the new series) is that the proportion of narrative
history to analytical and thematic chapters is now more equitable, resulting in
a third of the volume being devoted to General themes (a+a); though it is
fair to point out that the focus of many of these chapters is rmly centred on
the heartlands of the medieval west, above all those regions that looked to
Rome (or Avignon) for spiritual leadership. Thus in place of McIlwains
famous survey of Medieval estates, representative institutions are here largely
subsumed within a more general discussion of the Theory and practice of
government in western Europe, or make their appearance as appropriate in
chapters devoted to individual states, notably those on England, Scotland, the
Low Countries and Spain (+(a,b,d), +;, +8).
8
The problem in this respect is,
as in so many others, as Albert Rigaudire shrewdly notes, Western Europe in
the fourteenth century was as diverse as the states of which it was composed,
9
a remark that is also equally applicable to social conditions as well as political
structures in eastern and northern Europe as chapters a+ demonstrate.
While there are contemporary historians drawn to the exciting grand pano-
ramic sweep the recent appearance of two highly successful one-volume
surveys of European history in its entirety shows what can be done when an
extraordinary capacity to digest and synthesise is combined with a high degree
of intellectual rigour, vision and organising skill
10
the nature of the exercise
here is dierent, the scale and ambitions more modest. There are, of course,
thought-provoking general patterns to be drawn out as the thematic chapters
Introduction
7
Mollat and La Roncire (+,s).
8
See also Blockmans in NCMH, \ii, pp. .,o for Representation.
9
Below, p. +-.
10
Roberts (+,,o); Davies (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
illustrate but the particular continues to excite. Many chapters thus essay a
lighter touch, one which is not so relentlessly factual but rather impressionistic
and interpretive, though one which at the same time aims to set out any current
historiographical disagreement in a balanced way.
Political aairs inevitably continue to bulk large, though it is hoped that in
most chapters where they predominate, there is also recognition of wider social
and cultural issues. For instance, the growth of bureaucratic institutions and
routine administrative procedures in many more advanced polities had implica-
tions not only for the development of government, but for changing relation-
ships between rulers, their servants and their other subjects, as well as for
education, the spread and character of literacy, and so on (cf. a, +a, +(a),(b),
etc.). Naturally, attention is paid to the ideology and symbolism of kingship or
to that of republicanism in particular political contexts, alongside the claims of
the universalist powers of empire and papacy. These latter especially aected
the history of those geographically imprecise and fragmented regions,
Germany and Italy, and gave rise to some of the most remarkable political trea-
tises of the period on the nature of royal and ecclesiastical power like Marsilius
of Paduas Defensor Pacis, so especially subversive of traditional papal views.
11
Economic and social history was not absent from the Decline of the Empire
and Papacy, but it is a reection of the greater importance accorded to them in
modern studies, that two of the longest sections here are devoted to Plague
and family life (;) and Trade (8). But there are few nominally political chap-
ters where social and economic matters are completely ignored. The fact that
many historians, even political ones, see the century as one of two halves (to
borrow a clich usually associated with a popular sport), hinging on the Black
Death, inevitably reects their taking into account (whether to conrm or to
deny its importance for their own special concerns) of that quite unprecedent-
edly dramatic event, with all its multifarious resonances on which a huge liter-
ature has developed. More generally, in comparison with the thirteenth
century, the fourteenth witnesses an age of expansion and consolidation being
succeeded by one of contraction and upheaval as we shall see in more detail
below.
Major institutional developments in the world of learning are reected
generally in chapter on The universities, and in other chapters on particular
regions (cf. +6(b), a+, aa) where the growth in numbers and changing
characteristics of centres of higher learning, as well as of schools, is traced.
The novel part of secular authorities in encouraging these developments is
made very evident in many instances, while the interplay between academic,
theological and philosophical speculation, and the religious thinking and
o icn:ri jors
11
Below pp. .o and +.
Cambridge Histories Online Cambridge University Press, 2008
spiritual practices of other ranks in society receives treatment particularly in
chapter , but is also touched upon at many other points (cf. +6(b), a, a).
The relations of Christians with those of other faiths or beliefs is clearly
important in discussing many regions most obviously, perhaps, Iberia, the
Balkans, central and northern Europe. The breakdown of convivencia in Castile
(+8(b)), growing brutality towards the Jews (cf. +8(a)), only occasionally oset
by signs of Christian and Jewish co-operation, as in trading partnerships in the
eastern Mediterranean (a), and the survival or recrudescence of slavery (8,
+8(a), a+, a6) shows an increasingly intolerant side of Christendom in this
period. The Ottomans, on the other hand, appear to have displayed a greater
sympathy towards (or acceptance and tolerance of) religious or racial
dierences in their rise to power than has been traditionally recognised (a6).
The themes of growing nationalist or ethnic feelings and their character-
istics (perhaps most famously and concretely expressed in the Declaration of
Arbroath, +,.o (+(d)), are taken up at other points too (cf. +(c,e), +(a),
+6(b), aa) in a century which sees major advances in both the institutions and
ideology of states as lay powers grew in condence and shook o ecclesiasti-
cal restraint.
In chapters +q and ao, developments aecting the western Church hierarchy
and the relations of Church and state are especially addressed from the point
of view of the papacy and the cardinals, though ecclesiastical aairs in partic-
ular states is also a theme properly considered elsewhere, with regard to the
Statutes of Provisors or Praemunire or the Lollards in England (a, +(ab)),
the background to Hus and his followers in Bohemia and the empire (+6(b),
aa), or in the relationship of the Roman and Orthodox Churches in eastern
Europe (a, a), for example. As is well known, the century also saw the ocial
eradication of paganism from European soil, with the agreement of Jogaila
(Jagellon), grand duke of Lithuania, to convert to Roman Catholicism in +,so
and to marry Jadwiga (Hedwig) king of Poland, the culmination of an
extended political evolution that brought a society still very primitive by
western standards at the beginning of the century (the parallel with
Merovingian Gaul is drawn) into full communion with Christendom (a+).
In contrast to practice in the old Cambridge Medieval History, inclusion here
of photographic plates allows illustration of some key examples in the chap-
ters devoted to art and architecture (+o, ++), where a major theme is the evolu-
tion of various expressions of the predominating Gothic style, an
international language of extraordinary formal diversity.
12
At the same time
the century sees some breakdown or diminution of the hegemony which
French cultural traditions and values had exercised in this eld as in so many
Introduction -
12
Below p. ., and cf. p. ....
Cambridge Histories Online Cambridge University Press, 2008
others in the previous two centuries. These changes in art and architecture can
be well demonstrated, convincingly perhaps for the rst time, from non-eccle-
siastical evidence, especially from study of secular court art as well as that
patronised by leading urban communities. Considerable attention is paid to
this material evidence of princely and oligarchic patronage manuscripts,
paintings, tapestries, jewelry, buildings not only in these chapters but at other
points notably with reference to Emperor Charles IVs Prague, Edward IIIs
Windsor (the Versailles of its age), Charles V of Frances Paris, Robert of
Anjous Naples. But similar ideas and fashions pervade the Baltic north and
stretch even to the urban republic of Novgorod; nor are the Maecenas atti-
tudes of popes like Clement VI and his immediate successors in transforming
the townscape of Avignon overlooked (+q). Less frequently recognised,
perhaps, is a remarkable renaissance in Byzantine culture in the rst half of
the century which also depended heavily on secular, notably imperial, patron-
age (a).
With regard to life in towns, the century, so often portrayed in cataclysmic
fashion, saw an increasingly rational approach to the problems of urban living
by many authorities with more evidence of town planning, building regula-
tions, a concern with hygiene, water supplies and the health of townsmen
becoming (perhaps not surprisingly in an era dominated by plague) an impor-
tant concern of many town councils, and not just those in Italy. Defence was
likewise a major priority for most towns and cities, a source of expenditure cer-
tainly but also one that stimulated the growth of municipal institutions and
brought associated social change.
13
Elsewhere among urban communities,
besides describing growing secularism and sophistication in government, par-
ticular attention is given to the ideology of Florence, a major industrial as well
as cultural centre, where traditional communal values were signicantly
reshaped towards the end of the century by a new appreciation amongst the
cultivated elite of classical concepts of republican liberty, an essential stage in
the emergence of Renaissance ideas and ideals (+(b)).
If emphasis in chapter +a on burgeoning Italian, French and English litera-
ture, one sign of the Renaissance to come, is on some of the key gures
Dante, Petrarch, Boccaccio, Machaut, Deschamps, Chaucer in the rise of
vernacular writing in Europe (one of the very distinctive cultural achievements
of the century), and on contemporary debate over concepts concerning
authors or poets, the work of other writers (academic, polemical, imagina-
tive, historical, didactic, descriptive), including that of the rst humanists, is
drawn upon at many other points. While the wider political, social and literary
signicance of vernacular languages to individual states or polities is a theme
s icn:ri jors
13
Below pp. ++-+s (6), and cf. Contamine (+,-s); Rigaudire (+,,,), pp. +-,-.
Cambridge Histories Online Cambridge University Press, 2008
which recurs in several chapters not only in those relating to the heartlands
of western Europe but also to areas well beyond: for instance, in Bohemia
(+6(b), aa), in the Baltic (a+), as well as in the Slav, Orthodox and Byzantine
worlds (a, a). For private individuals too, as Caroline Barron remarks, by the
end of the century the vernacular, allied to the spread of literacy, also some-
times allows us to hear ordinary peoples voices, including those of women
(+(b)).
All contributors have been under tight constraints with regard to space;
dicult compromises have had to be made over content. Some overlap
between individual chapters is inevitable when the same theme or political cir-
cumstances have to be sketched from dierent angles, though every eort has
been made to keep repetition to a minimum. In practice, it was pleasing to
note how modest such duplication was in the original draft chapters received
by the editor, thanks to the co-operation of colleagues and the exchange of
ideas and plans before chapters were written. Where overlap has been allowed
to remain, this is normally because it is felt that the diering perspectives
of the respective authors complement each other. Overall, the general aim
has been to summarise the best of recent research and critical thinking rather
than to provide a comprehensive account of the ever-increasing secondary
literature.
A principal consequence of this has been, as already noted, to emphasise the
diversity and particularity of experience across Europe. Another, incidental,
one is to make a general editor cautious about making sweeping or lofty state-
ments that have general applicability, because ( pace the Introduction to Decline
of the Empire and Papacy) it is very evident how such views so easily date and
reect our blind spots and misconceptions in understanding the past. Such
caution is further encouraged since we are dealing with a century which in
some respects has no obvious parallel in recorded European history. This is
perhaps clearest in demographic terms.
The loss within three or four years, from +,- to +,+, of at least a third of
the population (and in some regions the gure is much higher), followed by a
period of a hundred years or more in which the total continued to fall in most
parts of Europe by another third, resulted in an unprecedented regression of
human population, by as much as two-thirds or even more, in most econom-
ically developed regions. Where there had been three people in +,oo, by +o
there was usually only one, though as Christiane Klapisch-Zuber points out,
the late fourteenth century did witness a marked recovery from the mid-
century trough (;); it was the return of plague and war in the early fteenth
century that once more reversed this upward trend, intensifying and pro-
longing the late medieval demographic crisis, ensuring its unique and enduring
Introduction ,
Cambridge Histories Online Cambridge University Press, 2008
character.
14
Many of these facts were known (or at least suspected) in +,,.,
even if Previt-Orton and other contributors were not sure what kind of
weighting to give to the impact of the Black Death in other spheres, a situa-
tion that in some respects, though for very dierent reasons, still obtains today
despite our immensely more detailed knowledge of demographic patterns, the
range of diseases and rates of fertility, nuptiality and mortality prevalent in the
late Middle Ages (cf. ; especially). There is certainly no lack of information
now available on these matters for most regions (only a few authors are unable
to advance broad estimates because of a dearth of appropriate evidence),
15
much debated and uneven though many statistical ndings remain. Without
quite becoming a leitmotif, it is nevertheless true that few authors in this
volume ignore the practical or psychological implications of the Black Death
and its recurrences, whether dealing with political, social, economic or nancial
matters, or even considering cultural ones. The contrast may be crudely high-
lighted simply by comparing the handful of references for Black Death and
Plague in the index of Decline of the Empire and Papacy with the substantial
comparable entries for them in this volume.
It is easy to see how other signicant omissions or emphases in the +,,.
volume reect the expectations and concerns of that generation and how fash-
ions in historical research have changed in the interim: the relatively modest
contribution of economic and social history and of cultural and intellectual
matters, which perhaps made up at most +o per cent of that earlier book,
underlines how diplomacy, warfare, constitutional developments and changes
in state administration and institutions were the predominant, even obligatory,
themes. In turn, they were set within an already old-fashioned and procrustean
framework of assumptions an all-embracing but ill-dened feudal mould
which despite the evidence of change and development still appeared to the
principal editor to leave things at the end of the century very much where they
were at the start. His overall assessment was deeply pessimistic: it is perhaps
no coincidence that Huizingas inuential Waning of the Middle Ages had
appeared in English translation in +,..
16
Thus in the fourteenth century, there
was allegedly a decadence, not so much retrogression, but that ossifying of
regnant ideas which are slowly losing their vitality, a characterisation which
nds some echoes, though with very dierent nuances, in Sir Richard
Southerns recent magisterial description of the transformation of scholastic
humanism by +,.o.
17
As is pointed out below, it is not so much a case of the
decline of scholasticism in a time of vigorous intellectual debate but rather a
+o icn:ri jors
14
Below pp. +,, and +,; Jones (+,,) for a brief summary of work on the recovery in France in the
latter part of the fourteenth century.
15
Below p. s.+ for cautious comment on the eects of the Black Death in Byzantium and p. -o for a
sanguine view of its impact in Poland.
16
Huizinga (+,.).
17
Southern (+,,).
Cambridge Histories Online Cambridge University Press, 2008
shift of interest to questions of morality and the role of the individual that
characterises much academic discussion at this point.
18
More generally in relig-
ion, fourteenth-century monasticism was dismissed in +,,. as static and the
friars as in decline; the ideals of crusading were deemed obsolescent, the mil-
itary orders negligent, too wrapped up in mundane matters, and the only area
of spirituality which showed originality and promise for the future was mysti-
cism, the immediate search of the individual soul for God.
19
There is, of course, more than a grain of truth in such views, but as chap-
ters and particularly show, a more positive assessment can be made of the
processes and nature of change which aect all human institutions and organ-
isations with the passage of time. There were many new beginnings as well as
the decay of the old in the fourteenth century. We are now much better
informed on the thought patterns, behaviour and practice of people in this
period at all levels of society and these reveal rich and rewarding seams of
human activity, experience and achievement that were signicant in their own
day and have a lasting importance for all those interested in the European past.
To cite a couple of examples only, Jeremy Catto highlights aspects of improv-
ing pastoral care in this period, while the encouragement of personal paths to
salvation through the use of a growing and original body of contemplative lit-
erature is one of the most original religious achievements of the century ().
The same is true in secular aairs. If chivalry had become conventional and
showy, a gilded pale to keep the vulgar out which too frequently hedged
round the vulgar within and the feudal age moves slowly towards its setting,
20
as chapters q and +o demonstrate, there was also a creative, adaptable side to
chivalry that had implications for developments elsewhere than simply in the
circles of court or castle. More general discussion of the art of war in the later
Middle Ages has been assigned to volume VII of this series,
21
but attention can
be drawn here to the signicance of links between the theory and laws of war
and the practice of chivalry, not merely with regard to their application in the
great conicts of the age, notably the Hundred Years War with all its many
ramications, but to the role of war in general as a stimulant to change in many
elds during the century.
This is seen most obviously in the institutional, administrative and nancial
developments prompted by war (for instance, the establishment in advanced
polities of innovative and regular taxation especially, with all the social conse-
quences that owed from that during this period). But there was also some
limited technological progress. For example, there was the spread of gunpow-
der artillery, slowly from the +,.os, more rapidly after +,-o and, by +oo,
Introduction ++
18
Below pp. , and .
19
CMH, \ii, p. xx.
20
Ibid., p. xvii.
21
Allmand in NCMH, \ii, pp. +o+-.
Cambridge Histories Online Cambridge University Press, 2008
modest architectural adaptations to meet the new threats posed by cannon, as
well as the evolution of new tactics on the battleeld itself, thanks above all to
the massed use of the long bow.
22
Everywhere the costs of war were escalat-
ing, losses of men and matriel could be severe, even before manpower was
reduced from the mid century by plague, an exception apparently being the
battle of Tannenberg between the Teutonic Order and the Polno-Lithuanian
state in ++o when massive forces were involved.
23
If recruitment of troops by
traditional feudal means was not completely superseded by new methods in
even the most advanced states during this period, nevertheless in this respect
also the practice of warfare was rapidly evolving. The omnipresence of war in
the fourteenth century is one of the darkest but most evident hallmarks of this
volume whether it is great international conicts, civil wars or crusades against
the Moors in Spain, Ottomans in the Balkans or pagans in the Baltic, where the
events of +,so did not automatically nor suddenly bring the activities of the
Teutonic knights and their western confrres to an end. At the same time,
modern historians of the later crusades now assess in a more positive and sym-
pathetic fashion crusading eorts and achievements during this period as chap-
ters q, +q and a; especially show.
In political aairs, there were similar forlorn and negative judgements of the
fourteenth century in +,,.: the novel ferment in these creations [i.e. early
bureaucratic and administrative developments, especially geared to furnishing
war needs] strained, but did not break the feudal mould. . . . The century ends
with Church and Feudalism and the accepted philosophy of life standing
where they did (pp. viiviii), the fourteenth century [was] only the commence-
ment of a transitional age (p. xx). Despite the striving and stirring of the
century, especially in the great revolts and rebellions of maritime Flanders
(+,.,s), the Jacquerie in France (+,s), Ciompi in Florence (+,-s) and
Peasants in England (+,s+), the tide rose . . . against feudalised chivalric
monarchy and its hide-bound bureaucratic instruments only to be repelled
(p. xi). Though there was some acknowledgement that the Hundred Years War
and Black Death hastened incipient decay and stimulated natural growth and
some harbingers appear of the Renaissance and even very dimly of modern
times, the general mood was bleak indeed.
Many of these judgements are reformulated in what follows. The passage
from feudal forms of government to those of modern times, even if only
dimly perceived in Previt-Ortons account, nds conrmation in the consid-
erable attention that has recently been paid to the critical period c. +.so+,oo in
the search for the origins of the early modern state in modern historiography.
24
+. icn:ri jors
22
Contamine (+,s); Allmand (+,ss); Prestwich (+,,o).
23
Below p. -.
24
Genet (+,,o); Blockmans and Genet (+,,,).
Cambridge Histories Online Cambridge University Press, 2008
If England and France were once seen as the most advanced of feudal
monarchies in this period, the perspective has largely shifted to analyse the way
in which notions of sovereignty, based on a renewed study of Roman law in
France and Naples in particular, changed the nature of royal power from the late
thirteenth century and provided kings, princes and their advisers, at least in
western Europe, with powerful new conceptual tools to enforce their author-
ity.
25
Rather than simply seeing the fourteenth century as the tail-end of an earlier
feudal age, it is now usually and surely more correctly envisaged as a formative
stage in a longer continuum in the advance of governmental practice extending
into the early modern period. In turn, these developments, especially by pro-
moting social change through allowing the emergence of professional elites,
lawyers, nancial advisers, bureaucrats and so on, who made themselves indis-
pensable to their rulers by stang the essential institutions of state (courts, parle-
ments, exchequers, chambres des comptes, secretarial and conciliar positions) and
obtained a secure social place for themselves, gave form to a period which cer-
tainly lasted in many parts of the continent well into the seventeenth century, if
not to the end of the ancien rgime itself.
26
At the same time, the remarkable ability of the old feudal nobility to adapt
to changing circumstances is another characteristic which has been much
studied recently (cf. q, +(b), aa); like chivalry, feudalism took a long time to
die and, if anything, this period sees the nobility in many parts of the conti-
nent reinforcing their social and political superiority despite occasional set-
backs or crises in their political or economic fortunes; certainly the ideals of
nobility exercised a continuing fascination as a focus for social aspiration for
other groups in society.
27
Or take the shifting social relationships of towns-
men, movements once summed up in blanket-descriptions of the rise of the
bourgeoisie or the growth of democracy. Here too closer analysis has
revealed the many cross-currents and clashing interests that complicated urban
politics, fragmenting as well as uniting families, crafts, guilds and other corpo-
rate bodies in every town and city, creating patterns which cannot easily be
resumed in simple catchphrases. Among the rising bourgeoisie, for instance,
there were winners and losers: in some towns oligarchic rule was strengthened,
in others there was a widening of the franchise, whilst the experience of town
life in northern Italy or Flanders, the Rhineland or southern Germany, the
regions most heavily urbanised, contrasted sharply both with each other as well
as with municipal structures and society elsewhere, in Iberia under Christian
or Moorish rule, in the Balkans under the Ottomans, or in northern and
Introduction +,
25
Below pp. .,; Ullmann (+,,); for recent consideration of these developments see Coulet and
Genet (+,,o).
26
See Jones in Bulst, Descimon and Guerreau (+,,o).
27
Below, especially pp. .+s.+, ,+, and cf. Contamine in NCMH, \ii, pp. s,+o.
Cambridge Histories Online Cambridge University Press, 2008
eastern Europe where in some parts likewise oriental patterns of urban
structure existed.
28
It is sobering for western European historians of this period to be reminded
of the scale of Byzantine wealth, at least at the beginning of the century when
Constantinople and Thessaloniki both had populations of c. +oo,ooo and
when, in +,.+, Emperor Andronikos II could collect +,ooo,ooo gold coins in
tax (a sum representing only a seventh of what Michael VIII had been able to
collect a few decades before!) (a). Peter Spuord similarly and arrestingly con-
trasts the relative scales of wealth and commercial dynamism of the regions
dominated by the towns of northern Italy with those of the Hanseatic north,
which he calculates as being at the very least ve or six times greater in favour
of the Mediterranean world in this period.
29
It is partly for this reason that
special attention has been directed to the economic relations of Italian powers
(notably Genoa and Venice) with Byzantium, which from the mid century wit-
nessed the spectacular political collapse of the latter (a, a). For in
Mediterranean urban studies as in so many other areas there has been a
plethora of detailed accounts of individual cities revealing dierences that are
both structural and temporal, reecting dierent stages of economic and
social development, as well as the haphazard incidence of such contingent
factors as war, plague, famine and other natural or man-made disasters in a
period of rapid economic change.
30
Thus recent pessimistic views of deterio-
rating urban conditions in the post-Black Death west through much of the
remaining Middle Ages may be contrasted with the more up-beat conclusions
of some contributors here dealing with central, eastern and northern
European towns after the mid-century crisis (+6(b), a+).
As for another contemporary historiographic concern, the part played by
women in medieval society, it is a crude measure that of nearly ve hundred
chapter subtitles, which acted as a rough index to the themes treated in Decline
of the Empire and Papacy, less than ten specically mention women in general or
a particular woman, and of those, four appear in the chapter on medieval mys-
ticism: Hildegard of Bingen, Julian of Norwich and Saints Catherine of Siena
and Genoa. Such key gures (Hildegard apart) naturally nd their place at
appropriate points in the chapters which follow, while the role of women
generally in fourteenth-century society is extensively discussed in the section
on Plague and family life (;), though they nd a minor but integral place at
other points; for example, their position in Byzantine society is surveyed.
31
Of
those who made a signicant political mark, like the queen-mother Maria de
Molina (d. +,.+) in Castile (+8(b)), or the much-married Queen Joanna of
+ icn:ri jors
28
Below pp. ++s.,, o-, --ss.; Nicholas (+,,-) provides a good survey of late medieval town life.
29
Below pp. .oo and so..
30
See also Nicholas (+,,-).
31
Below pp. so-, so,+o.
Cambridge Histories Online Cambridge University Press, 2008
Naples (d. +,s.) (+(c)), and Margaret lord of Sweden (a+), even Princess
Joan of Kent (+(b)), not to mention Jadwiga (Hedwig) king of Poland (a+,
aa), all warrant serious discussion. The prominent part played by royal mis-
tresses and favourites in the political intrigues that especially wracked the
Iberian peninsula is a characteristic of the age made abundantly clear (+8(b)),
though their inuence elsewhere cannot be ignored as the example of Edward
III and Alice Perrers shows (+(a)). It is a reminder that, at least for high pol-
itics, individual personality and temperament is a critical factor in this period
which it would be wrong to underestimate in explaining the course of events,
the success or failure of rulers, dynasties or governments, however much we
should also take impersonal economic or social forces into consideration.
32
The promotion of dynastic interests by exploiting the familys own members,
Hausmacht, as Sandy Grant reminds us in the case of late fourteenth-century
Scotland, was not simply limited to the medieval empire but is characteristic of
most ruling families in this century (+(d)).
Discussion of other groups who, along with women, were often largely
overlooked by earlier historiography but who are now part of mainstream
research Jews, heretics, criminals, the poor (though regretfully not here the
insane, apart from the occasional unbalanced ruler like William V of Holland
(+;) or Charles VI of France (+(b)) is also mainly integrated into the chap-
ters dealing with individual states rather than given thematic treatment. The
existence of slavery in many parts of fourteenth-century Europe has already
been mentioned: it is found in the Mediterranean, in some Baltic states and also
in parts of central Europe but not apparently in Novgorod.
33
And, of course,
the peasantry (already accorded a special place in +,,.), who still comprised in
most parts of the continent ,o per cent or more of the total population, are to
be found not only in the specic discussion of western rural society () or their
role in Byzantium (a), but elsewhere. Here again the diversity of legal status,
customary laws, inheritance practices, economic fortunes or political
signicance dees easy generalisation apart from a cautious comment on the
improvement in the living standards and conditions of many western peasants
in the post-Black Death period, and ominous signs of the declining liberties
and fortunes of their equivalents in northern and eastern Europe, where
serfdom was to become oppressive in later centuries.
Naturally the current volume reects, then, as did the Decline of the Empire
and Papacy, some contemporary historical fashions and prejudices, some arbi-
trary choices and preferences on the part of the editor and editorial board. In
summary, although there is still much political narrative, which forms the core
Introduction +
32
See below pp. ,+o., ,,+, and .,o for the cases of Richard II of England and Charles V of
France.
33
Below p. -s+.
Cambridge Histories Online Cambridge University Press, 2008
of most chapters in parts iii\, these are preceded by a long analytical section,
part i, General themes, in which an attempt is made to survey some of the
main governmental, religious, intellectual, economic, social, cultural and artis-
tic patterns that are characteristic of the century. Music, that most dicult of
the arts to recreate from historical evidence, amongst cultural achievements,
gets short shrift though its echoes are occasionally heard.
34
I am conscious that
there are other gaps, some of which might have been plugged by better plan-
ning: Scandinavia, among regions, perhaps fares less well than it deserves,
Switzerland certainly does not get the attention it received in +,,., Serbia
receives only passing mention, Bosnia, too, gets little; omissions which sad
events, in part the still-enduring legacy of the fourteenth-century advance into
the Balkans by the Ottomans, since the conception of the volume in +,s-
make all the more poignant. The concept of Europe itself could have received
more discussion.
35
Among outstanding gures, too, more attention might have
been paid to individual thinkers, writers or artists, but the time has come to
launch the volume, so that readers may nally judge whether it accords with
Villanis view of the century or avoids going from bad to worse.
+o icn:ri jors
34
Below p. -,, for the gift of a clavicord and portative organ from the grand master of the Teutonic
Order to Grand Duchess Anna and for autists in the service of Vytautas, Grand Duke of Lithuania
in +,,s,. Curtis in NCMH, \ii, pp. ,+,,,, discusses late medieval music at more length.
35
See Moore (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
cn:r+rr .
THE THEORY AND PRACTICE OF
GOVERNMENT IN WESTERN EUROPE
IN THE FOURTEENTH CENTURY
Albert Rigaudire
\rs+rr Europe in the fourteenth century was as diverse as the states of
which it was composed. It followed the rhythmof a history dictated by its capri-
cious geography, imposed by frequently divergent traditions and which men,
whose reexes gradually freed themselves fromfeudal constraints, wrote down.
But beyond this diversity, in the fourteenth century there was also unity; the
medieval west was deeply rooted in a common religion and a common culture.
Christendomand Latinity made a unied zone, even if papacy and empire still
disputed a supremacy which the slowbut sure assertion of states shattered into
pieces. They all shared the same adventure, all reacting as Christian princes in
the construction of their political systems. In this century, when feudalismdied,
absolute monarchy everywhere took its rst steps. But still very cautiously, pro-
pagandists, philosophers and jurists occupying a position of prime importance
in the life of these young states, as if to devise their architecture and focus their
birth. They thought out, each in their own way, a theory of politics (see section
+, below) which princes, councillors and administrators slowly assimilated to
construct a true art of government (section ., below).
+ : +nror or roii+ics
In the fourteenth century, the desire to establish the study of politics as a
branch of knowledge (science) was not new. For a long time already, all the
distant heirs of Aristotle had set out on this path. The lawyers themselves had
not remained outside this movement, such as the author of the Summa
Coloniensis (++o,), who even saw in the slow birth of a sciencia de regimine civitatis,
castri et villae seu regni et orbis (science of the government of the state, castle and
village or of the kingdom and the world), an eective means of resolving the
political problems of his day. Two centuries later, Nicolas dOresme presented
political science as a discipline that was both noble and autonomous. Should it
+-
Cambridge Histories Online Cambridge University Press, 2008
not be considered among all the fashionable branches of knowledge, as the
very principal, the most worthy and the most protable? And for that reason
why not treat it as an architectonic science, that is queen over all? But, in his
eyes, lawyers could no longer have sole control of it, as the harsh name of
political idiots which Giles of Rome had reserved for them around +,oo
already testied.
This is what attests to the profound evolution which the fourteenth century
experienced in the domain of political theory and the science of government.
Without neglecting the contribution of civil law which they assimilated per-
fectly, philosophers, theologians and propagandists, by extending the often
narrow eld, saw to it that their reections resulted in a true political construct
(+.+, below). Centred on the imperial dominium mundi (world supremacy) whose
ascendancy constantly decreased to promote the assertion of the young states
(+..), from the study of princely power it resulted in the theory of ministerium
regale (+.,).
. From learned law to political science
Whether it was rejected or adapted, learned law dominated the whole of polit-
ical thought in the fourteenth century. Even though it had never provided an
exposition in the form of a complete political construct, it had always provided
a means of access to political reection and constituted the structural axis
around which the statist society of the fourteenth century was built.
At no point was it possible to disregard the models transmitted by the
Roman law of the glossators which, having crossed the Alps at the end of the
twelfth century, dominated all the thought of the great continental jurists in
the following century. It was partly through them that Henry Bracton (d. c.
+.os) built his vision of common law and that, in France, in the schools of
Toulouse, Montpellier and Orlans, the bases of an entire political system,
shaped by Roman law slowly took root. That Jean de Blanot wrote on the
powers of the empire in the middle of the thirteenth century, or, later, Jacques
de Rvigny (d. +.,o), Pierre de Belleperche (d. +,os) and Pierre Jacobi (d. +,o)
endeavoured to revive an entire political system by means of Roman law, was
not the result of chance. Bearers of an inheritance bequeathed by an empire
which had far exceeded in size the Europe of their own day, they attempted to
decode all its messages in order to reconstruct, around the Roman model,
renascent states. This was why all these jurists were led, in their commentaries
or in the consultations that they gave, to devise solutions that were always
capable of resolving the problems of their time.
It was above all with the school of the Postglossators that Roman law, once
more rediscovered and the subject of commentaries, asserted its authority
+s :irrr+ ric:trirrr
Cambridge Histories Online Cambridge University Press, 2008
throughout the west in the rst half of the fourteenth century, if not as a
directly usable system, at least as a model bearing a new dynamic calculated to
stimulate the political imagination. Leader of the new school, Bartolus
(+,+-) dominated it with his innovatory genius. More concerned with prac-
tice than his predecessors, he always focused his political reections on key
themes. Having a presentiment of the ruin of the medieval order, he con-
stantly wrote about the relationships between empire (imperium) and priest-
hood (sacerdotium), examined the subtle relations which were establishing
themselves beneath his very eyes, between the monarch and the law (loi),
denounced tyranny, unjust war and the violation of law (droit). For him, and for
all those who followed the path he marked out, in particular Baldus
(+,.-+oo), law (droit) constituted the cardinal axis of political reection.
Wisdom (sapientia), appropriate for encouraging an understanding of the
divine, was also, simultaneously, both a branch of knowledge (sciencia) which
should make it possible to master the complexity of political mechanisms and
an art (ars), intimate knowledge of which could only foster a better practice of
authority.
It was not only to Roman law that he attributed all these virtues. Bartolus
adopted a similarly favourable attitude towards canon law in assigning it a task
of the rst importance in the political society of his time. At a point when
princes everywhere were endeavouring to withdraw the Churchs right to all
temporal inuence in order to promote the birth of the state, Bartolus exer-
cised his wits to underline the part which had devolved to it in the ordinary
course of things in the construction of new state entities, even going so far as
to assert that, in many cases, jura canonica prevalent legibus (canon laws prevail over
other laws). This was nothing more than a highly normal vision of things to
the extent that civil society and ecclesiastical society still constituted in the
fourteenth century two parallel structures built on common bases. Whether
they were Italian such as Giovanni Andrea (d. +,s), in whom his contempo-
raries saw the source and trumpet of canon law, and Panormitanus (d. +,,
called lucerna juris or the light of law), or French, such as Jean le Moine (d. +,+,),
and Pierre Bertrand (d. +,,), the great canon lawyers of the fourteenth
century, inheritors of their predecessors, made an incomparable contribution
through their glosses to the political theories of their time. Although, just like
the Roman lawyers, they never had a total vision of the statist society, the solu-
tions which they suggested, based on the problems which they treated for the
Church, were of the rst importance for the development of the civil society
of their period. Their conception of the organisation of ecclesiastical society
through the slow maturation of rules, such as the sanior et major pars (the wiser
and greater part) or the quod omnes tangit ab omnibus approbari debet (what con-
cerns all ought to be approved by all), was valuable as a model for the secular
The theory and practice of government in western Europe +,
Cambridge Histories Online Cambridge University Press, 2008
states which could benet from them to resolve the problems posed them by
the positioning of new political mechanisms. There was wholesale transfer of
structures and eective juridical skills from the Church a highly organised
society to the state whose structures were still feeling their way.
Thus for much of the fourteenth century, jurists, whether Roman or canon
lawyers, made a substantial contribution, by means of their thought to the
enrichment of both political theory and government practice. But they were
not the only ones. Often judged too rigid and unadaptable, their contribution
long threatened by that of theology, philosophy and rhetoric, was also threat-
ened by that of a political science whose dynamism was ceaselessly asserted
each time there was any discourse on power. In his De Monarchia, Dante
(+.o+,.+) already asked three fundamental questions. Was the empire, that
unique principality, useful to the well-being of the world? Were the Roman
people right to assume the function of the monarchy? And, nally, did the
authority which that monarchy exercised come directly from God, or from
some other minister and vicar of God? To the two rst questions, the author
of the Divine Comedy replied in the armative, before laying down as a funda-
mental principle that temporal and political authority, completely independent
of the vicar of God could only be subordinate to God himself. Thus, kings
and emperor were released from all allegiance to the pope. Envisaging the doc-
trine of the divine right of princes, Dante, a political exile and refugee in north-
ern Italy, turned to the emperor to ask him to free from papal ascendancy an
Italy enslaved and the home of grief .
A further step along this path was taken by Marsilius of Padua
(+.-/so+,,). The product of artiens and physiciens, the enfants terribles of the
university and conrmed opponents of tradition, he carried with him the entire
inheritance of the turbulent politics of the Italian cities. Rector of the university
of Paris, close to the political ventures of the Ghibellines, then the valued coun-
cillor of Lewis of Bavaria whose vicar imperial he became, he preferred
Aristotle to Thomist theology and Roman law. This was why his Defensor Pacis
(+,.) was deeply opposed to the political order born of Christianity under the
control of the papacy. The sworn enemy of sacerdotal hegemony, he denied the
Church all power to transfer it to the state, thus empowered to supply its
members spiritual needs. And in the state it was to the people that the main
part of power returned, in particular that of legislating in the general assembly
of citizens. This was to construct a completely new system of powers from
which the religious sphere was excluded to promote an absolutism of the state
which, just as radically conceived, could only end in a totalitarian system.
Espousing these theses, but in a more moderate form, William of Ockham
(+.-o+,-), product of the faculty of theology, represented the tradition,
.o :irrr+ ric:trirrr
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more than a century old, of the Franciscan Order. With a smattering of
philosophy, this Oxford graduate also proved himself a resolute opponent of
sacerdotalism, while maintaining papal power in all its integrity. From it, the
imperial dignity stemmed directly. It was held immediate a solo Deo (directly from
God alone) and it was through the agency of the emperor, from the moment
when he was elected by the majority of the prince-electors, that God governed
the world. This was to acknowledge in the emperor a true dominium mundi
(world-wide authority) for which the young states were to challenge him for a
long while to come.
. From the dominium mundi to the assertion of the states
With the collapse of the empire after the death of Frederick II, then the Great
Interregnum (+.o-,), the thirteenth century marked the end of the imperial
dominium mundi. Everywhere, civil and canon lawyers made a case for the redis-
covered sovereignty of their own country and made the famous formula, rex
in regno suo imperator est (the king is emperor in his kingdom), victorious from
Sicily to England. Then began a threefold evolution which dominated the
reorganisation of the states of the west. The empire did not disappear, but it
fragmented while the national monarchies triumphed a little everywhere,
except in the Italian peninsula where the city-states secured their success to
varying degrees. From this profound remodelling of the states three political
systems and three very dierent types of government were to be born.
Even diminished, the myth of imperium mundi in the hands of the emperor
remained rmly anchored in the minds and political practices of the four-
teenth century. Although Bartolus himself accepted the idea that the greater
part of the world no longer recognised imperial authority and that the regna and
civitates which were subordinate to the imperium romanum were fewer and fewer,
there were also those who, with some nostalgia, thought that the emperor
should still reign over all kings and all nations. In their eyes, the independence
which they acquired was only a de facto independence, and not de jure. Moreover,
there were still many canon lawyers who, in the fourteenth century, besides
those who had encouraged the autonomy of the regna, believed that the pope
remained the only true emperor and that, the emperor being his vicar, no
regnum could ultimately escape imperial authority. This suces to explain why,
after his coronation at Rome (+,+.), the emperor Henry VII addressed a letter
to all the princes of the west in which he recalled his claims to the universality
of the empire. He did not lack arguments to justify them. He preserved a very
powerful tool, Roman law, which was universally applicable. His justice should
be acknowledged everywhere, so it was always possible for a subject to appeal
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from his king to the emperor and so the crime of lse-majest always seemed a
crime essentially imperial in nature.
But the political events of the fourteenth century did not come to the aid of
juridical argumentation. Even within the limits of the Holy Roman Empire of
the German nation alone, the emperor was no longer the sole holder of power.
Always a butt for the papacy, he had also to secure his own existence in rela-
tion to the territorial princes. If the dispute with the papacy was engaged on
spiritual ground rather than on that of sovereignty, it was none the less true
that the emperor found himself in a dicult situation of dependence in rela-
tion to the pope who always demanded, through the imperial coronation, the
right to legitimate every imperial election. The struggle with imperial universal-
ism was thus openly declared. It had to fail because the confusion of notions
of empire, Church and Christendom, too intimately bound to the Germanic
idea of empire, had led the emperor to overstep his competences, usurping the
acknowledged prerogatives of the pope. In the aftermath of the death of
Henry VII (+,+,), it was to the people of Rome that Lewis of Bavaria turned
to secure his power and to whom he declared in +,.s: in this town, by the grace
of providence, we have legitimately received the imperial diadem and the
sceptre from our Roman people particularly dear to us and, thanks to the invin-
cible power of God and of ourselves, we govern the city and the world. It was
also to combat this situation of dependence in relation to the pope and to
arm the autonomy of the empire that he received among his councillors
Franciscans in dispute with the pope, such as William of Ockham or philoso-
phers like Marsilius of Padua.
This desire to escape from all subjection to the Holy See found its institu-
tional expression in two constitutions of Lewis of Bavaria and one declaration
of the prince-electors assembled at Rhens in +,,s. They proclaimed that the
king of the Romans, elected unanimously or by majority vote, had no need, for
his power to be eective, to have recourse to any conrmation by the Holy See.
This meant, thanks to the support of the princes, the end of dependence on
papal power, but it also meant, at the same time, placing imperial power more
securely under their control, to make the empire a dualist state whose mastery
was henceforth shared between the electoral college of the princes and the
emperor. This development was enshrined in the imperial code (Kaiserliches
Rechtsbuch) of +,s, called the Golden Bull from the beginning of the fteenth
century. This famous text xed the order in which the prince-electors
(Kurfrsten) cast their vote and stipulated that the election must be established
by majority vote. Thus the elective principle triumphed and the thorny
problem of relations between Church and empire was nally regulated. The
empire freed itself from the Church but, strengthening the authority of the
princes, it fostered the breakup of power and accelerated the triumph of the
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Germanic territorial principalities in transferring almost all regalian rights to
the prince-electors. This act therefore institutionalised the weakness of the
emperor and his government who was not remotely endowed with the institu-
tions which he needed to make himself obeyed. Without or virtually without
a domain, a scal system and, consequently, without nancial resources, the
emperor could not equip himself with a professional army. The judicial mech-
anisms remained identical. Justice, most of the time granted as a ef, always
eluded the emperor, which made peace constantly dependent upon regional
alliances. As for the towns, to which the central authority owed part of its rev-
enues through the harsh taxation it imposed upon them, they found them-
selves constantly exposed to the greed of the princes, particularly to that of the
prince-electors, henceforth invested with a veritable territorial sovereignty.
Such an evolution could only favour the rise of the national monarchies. The
more the century passed, the more their governments had to give themselves
a structure to face the immense needs which sprang from the modern state,
for which they were responsible. Admittedly, no word yet existed for state as
we understand it, and the term status, often used, was always followed by a
complement: status republicae, status regni, status coronae. Status, then, designated
more a state, a way of being, than the state. But this was not because the state
did not yet exist, endowed as it was with its principal component parts and with
a government whose smooth running did not cease to hold the attention of
the theorists. Throughout western Europe in the fourteenth century, except in
Italy, the nation-state became reality every day and secured its own sovereignty.
Bartolus himself agreed that all these regna were no longer actually subordinate
to the imperial dominium, but that they were henceforth holders of the sove-
reign rights which they most frequently held de facto, and not de jure. The evolu-
tion which made them national sovereign monarchies was complete, even if no
author had yet succeeded in dening a coherent theory of sovereignty. The
essential was that the fully independent exercise of the great prerogatives tradi-
tionally devolved to the emperor, imperium, potestas, juridictio and administratio, be
granted them.
Bartolus agreed to this, while insisting on the idea that the emperor pre-
served a permanent right, by reason of his auctoritas principis vel superioris
(authority of prince or sovereign) of conrming the legitimacy of these new
power-holders and of deposing them each time they behaved like tyrants. But
that was more attachment to the past than an objective description of present
reality. The turning-point had passed in the +.-os, the date when Jacques de
Rvigny (d. +.,o) in his Lectura on the Institutes strove to demonstrate that the
king of France in temporalibus superiorem non recognoscit (does not recognise any
superior in temporalities) and when Guillaume Durand the Elder (d. +.,o)
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echoed him in pounding out the formula, Rex Franciae princeps est in regno suo (the
king of France is prince in his own kingdom). Everywhere else the same wind
of independence blew, whether it was in Sicily where Marianus de Caramanico
(d. +.ss) endeavoured to establish the independence of the king of Sicily in
his Preface to the Liber Constitutionem Regnum Siciliae, or in Castile, where Las
siete partidas of Alfonso X took up the same plea on behalf of their sovereign.
There was no longer any doubt that kings were emperors in their kingdoms in
the fourteenth century. All the political literature bears ample witness to this.
Finally freed from imperial power, all these young states also wanted to be free
of the plenitudo potestatis (plenitude of power) of the pope, this unlimited power
which had authorised him to intervene up to this point in the life of the states,
as much to depose a king as to exempt the subjects from obedience to their
prince. But to the extent that, at the beginning of the fourteenth century, the
destinies of the Church and papacy were closely linked, it was no longer
conceivable that all these national states set free from the empire would con-
tinue to accept a temporal dependence upon Rome. This was why they rejected
it vigorously, as much because of the serious diculties which the Church was
experiencing at that time as because of their constantly advertised desire
denitively to secure their total independence. Even in Italy, papacy and empire
scarcely succeeded in maintaining their tutelage.
In the fourteenth century, the old rivalry between Guelfs and Ghibellines,
which had until then torn the peninsula so violently apart, gradually dwindled
away. The supporters of the two clans, once so violently opposed, came to an
agreement to admit that their common interest was to do everything to safe-
guard their autonomy, in respect of both pope and emperor. From then on,
setting aside Venice, which had always been able to preserve its autonomy,
what should be done so that the kingdom of Naples, traditionally the vassal of
the Holy See, and almost all the other cities of the peninsula except for the
Papal States should succeed in freeing themselves from the pontical or
imperial yoke in order to achieve the status of city-state with their own institu-
tions and government? There was, of course, imperial privilege from which
Venice and other Lombard towns had beneted. But this concession de jure was
rare. For a long while, a whole, very old doctrinal movement, started mainly by
the canon lawyers then also supported by Roman lawyers, had opened the way
to a de facto autonomy of the cities. Asserting that they had left the pontical
and imperial orbit, they had hammered out the theory of the civitas sibi princeps
(the city a prince unto itself ) which Bartolus systematised and generalised. But
there should be no mistake about it. The civitas which Bartolus envisaged was
still only an autonomous city, admittedly the depository of all the powers exer-
cised by the emperor, but not a veritable city-state whose institutions gradually
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constructed themselves. Almost all of them had to reckon with the imperial
vicariate which, although it still checked the road to complete autonomy, no
less favoured the birth of particular institutions. That towns like Florence and
Pisa sought to obtain and succeeded the imperial vicariate after taking an
oath to the emperor is signicant. Thanks to the vicariate, they often succeeded
in legalising their power over the contado which they controlled and in strength-
ening their institutional structures. These constituent parts allowed them,
slowly, to secure their accession to the rank of city-state and better to dene
the powers of those to whom they entrusted the responsibility of administer-
ing them.
. From the authority of princes to the rights of the state
Throughout fourteenth-century Europe the state made its entry in force. The
distinction, founded on scholarly juridical thought, between what was public
and what was private, between jus publicum and jus privatum, made a substantial
contribution to shaping the state and giving its government autonomous exis-
tence. King and state were henceforth separate, increasingly subject to a
specic judicial regime. This was why the king now had the role of incarnat-
ing the state, representing it and acting in its name. To the extent that this new
vision triumphed, there was a complete transfer of competences from a prince,
whom evolution wrested from feudalism, to a king accountable for the govern-
ment and the destinies of the state. It was better to discern all these compe-
tences that jurists and theoreticians of government applied themselves. In this
sphere, the fourteenth century simultaneously combined maturity and novelty.
Maturity because it did no more than consolidate the gains of the previous
centuries each time the portrait of the king and lover of justice had gradually
to be rened to make it a legislating king in the face of the crises and troubles
of the time. Novelty because the doctrine dened to the advantage of a prince
responsible for the peace, security and prosperity of the country, the element
of power which he lacked to bring his task to a successful conclusion: the right
to tax.
It was rst the empire, then, where the sovereign still appeared, in the four-
teenth century, as an ambiguous gure, at the same time both public authority
and private authority because he was a chosen feudal lord and brought to
power thanks to the consensus of the great princes. Despite this persistent
duality in the nature of his function, the sovereign led with constancy an obsti-
nate struggle for public opinion to assemble in a sort of supreme lordship, a
veritable sanctuary of the state, all the prerogatives once devolved to the
Roman emperor. Among their number featured, in the rst place, judicial
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power. Always shared with the great feudal lords, but claimed by the prince, its
exercise appeared as the product of a policy of conciliation. From the reign of
Lewis of Bavaria onwards, the imperial German court (Deutsches knigliches
Hofgericht), which had until then been peripatetic, became sedentary and thus
contributed to giving the empire its characteristic of justice-state. Thus the
authority of a central imperial jurisdiction was asserted, simultaneously a high
court of justice with responsibility for hearing the most important cases and
an ordinary supreme tribunal before which all nal appeal procedure had per-
force to end. Nevertheless, the sovereign could not succeed in imposing
control of justice and public order unless he succeeded in keeping feudal law
(Lehnrecht) apart from authority and constantly separating it from territorial law
(Landrecht). However, this is what happened. Relying on this Lehnrecht con-
ceived as an eective means of legal appropriation, the princes supported by
a whole shift in commentary on the Mirrors, particularly the Abridged Gloss of the
Lehnrecht of the Saxons in +,so, increasingly controlled all spheres of social life
and arrogated to themselves the right of stating the law. Then a veritable de facto
division of the power of justice occurred. The emperor had justice in his court;
the prince other cases. Thus justice became less the apanage of state govern-
ment than a veritable right granted to those who governed states whose struc-
ture began to stabilise around princely powers. It was therefore by means of
feudal law that justice gradually became an integral part of the competence of
states.
Elsewhere, the opposite development was taking place everywhere. All the
sovereigns of the west recovered their judicial power by triumphing over
feudalism. The image of the king as judge, whether he exercised his justice per-
sonally or delegated it, was sketched by the pen of all the theoreticians. Witness,
for fourteenth-century France, the admiration with which Christine de Pisan
(+,o+,o) described Charles V dispensing justice in person and the acerbic
criticism of delegated judges made by all the defendants of royal power. Jean
Gerson (+,o,+.,) did not cease to abuse all those who sell their sentences,
sacrice the rights of a party, refuse to judge the poor or the innocent, while
Philippe de Mzires (+,.-+o) saw them as none other than pillagers and
tyrants ( pillars et tyrans) who rule like lords in the kingdom in opposition to the
king. Incontestably, there was condence in the justice of the king whom
Philippe de Mzires even advised to draw inspiration from the Italian tribunals
to reform the entire French judicial system. But this was too much to ask of a
sovereign all of whose powers in this sphere now hardly experienced any check.
Once seigneurial jurisdictions were almost completely subordinated by means
of the appeal, committal for trial and cases reserved to the crown, and ecclesi-
astical justices strictly controlled by means of privileged cases, the prince nat-
urally found himself compelled, to secure this success, to have recourse to the
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delegated judges, although they were of limited competence and impartiality.
From bailliage tribunals to the parlement of Paris, the kingdoms supreme judicial
authority since the last decades of the thirteenth century, the hierarchy became
stricter, competence better dened under the control of a king who, with his
council, constituted the capstone of the judicial edice.
At the same time, England experienced a comparable evolution, even if the
intervention of royal judges encountered greater resistance on the part of both
ecclesiastical and secular lords. They were reluctant to accept that their com-
petence should be limited and that the judgements they made should be con-
trolled. They also rejected the constant obligation of proving the secure
foundation of their autonomy to which the crown wanted to subject them.
Nevertheless, by the end of the fourteenth century, the nal triumph of royal
justice was secured in the three essential domains, which were landed property
and personal estate with the court of common pleas, royal nance with the
court of the exchequer, and crimes against the state with the court of Kings
Bench. As this royal power of justice was secured everywhere, so also it expe-
rienced everywhere its natural extension in the right of condere legem.
Since the glossators, debate had been the order of the day. Natural corollary of
judicial action, the power to make law found itself to some extent without any
immediate holder in the aftermath of the check on the dominium mundi. A very
vigorous demand followed, as much on the part of the city-states as the nation-
states, throughout the thirteenth century. In the following century, their cause
was understood but what authority did they possess, empowered to decree the
law? A many-sided reply was given to this question.
Since a fair number of the Italian cities had complied with the statute of civ-
itates liberae, their councils could freely decree statuta often surpassing the
legislation of the nation-states in volume and quality. In the fourteenth
century, the problem remained of the co-existence of these statuta with Roman
law which progressively constituted a true ius commune whose power was soon
to limit their legislative freedom just as but to a lesser extent that of other
states.
In those of the Iberian peninsula, as in France, the princes legislative capac-
ity was acknowledged henceforth. Everywhere the tags quod principis placuit legis
habet vigorem (what is pleasing to the prince has the force of law) and princeps
legibus solutus est (the prince is not bound by laws) had made their way by sheer
force. Often voluntarily given a wide interpretation, they made it possible to
grant the prince a large normative capacity, at least in theory. In reality, there
was absolutely no need to look in these two poorly understood formulae for a
sort of clause justifying the absolute power of the prince to condere legem, since
his legislative action could always be justied, in all circumstances, from the
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moment when he declared that he acted ex certa scientia principis (from the certain
knowledge of the prince). There was nothing surprising, then, in the fact that
all these kings were granted the right to make laws and constitutions . . . or to
reduce them or entirely revoke and repeal them, as the author of the Songe du
Vergier put it for the king of France. But nowhere was this capacity of the leg-
islative prince to make a contribution, through the action of his courts, to the
unication of laws and local customs, established so quickly as in England, a
procedure which was to give birth to the common law, rapidly hoisted to the
rank of the Roman lex. To this substantial capacity granted to the prince was
added the power he had to judge, in his council, all miscarriages of justice, a
power which Edward III ocially delegated to his chancellor in +,,. Thus
equity gradually began to grow by means of the case law of the kings council,
then that of the court of chancery. This demonstrates well how much judicial
power constituted, in all circumstances, the surest foundations of normative
power.
Judges and legislators, the sovereigns of the fourteenth century, also made
insistent demands to be able to exercise undivided the right to tax whoever they
wanted. If they did not completely succeed, and if the vision which the Songe
du Vergier presents us for the whole of Europe, of kings . . . who can levy such
extraordinary aids, salt taxes, hearth taxes and impositions on their subjects is
slightly idealised, it had to be acknowledged that royal power to levy taxation
had become a reality everywhere. Feudal taxation was slowly replaced by state
taxation, because, of course, throughout the century, profound changes took
place as much at the level of mentalities as at that of the relations binding
prince and country. Henceforth, taxes were no longer thought of as a due
which the sovereign levied, but, quite the contrary, as a tax which subjects
should bring him in order to participate in the defence of the kingdom.
Taxation was thus progressively legitimised, a development which commanded
attention all the more forcibly as a beneciary other than the king emerged.
This was the state which, in the sphere of scality, as in many others, had just
transcended the person of the sovereign. Admittedly, it still often had to nego-
tiate with the representatives of regions and towns, but this negotiation was
always made easier because taxation was henceforth levied for the utilitas regni
or the necessitas republicae. It was a condition for the exercise of royal power to
levy taxes, not an obstacle to it.
Take France c. +,o, a period in the course of which the estates, although a
very heavyweight force in political life, never made any real objection to the
levying of taxation. Or take, at the same time, Castile with its sovereign whose
exemplary scal system hardly suered from the consent which he had to
obtain from the cortes and the towns for levying taxes. Their representatives
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never succeeded in limiting or sharing institutionally the royal right to levy
taxes. And, nally, take England, where there was a comparable development.
Throughout the thirteenth century, the kings had acquired the habit of regu-
larly levying a tax on the personal goods of subjects, and parliament, which had
not opposed it, continued to respond favourably throughout the following
century to their demands, in relation to both direct and indirect taxation. It was
more from the people that opposition to the royal right to levy taxes came with
the revolt of +,s+, in the aftermath of the creation of a new poll tax.
This was enough to remind the sovereign, there as elsewhere, that it was
always necessary to adjust the theory of power to the reality of facts. From a
political science in full gestation necessity compelled a shift, more modestly,
towards an art of government.
. : :r+ or co\rrr+
While the thirteenth century had marked the triumph of the ideas of Aristotle,
so signicant for a new political science, the fourteenth century was character-
ised more by their being put into concrete practice in the daily exercise of
powers. Solutions for them were often sought to attempt to resolve the polit-
ical crises with which dierent governments were confronted. Everywhere a
concern for national adaptation of this Aristotelian scheme showed through.
A theoretician like Nicolas dOresme (+,.s.) proclaimed aloud this neces-
sity, arming that according to the diversity of regions, complexions, inclina-
tions, and the customs of peoples, it was tting that their positive rights and
their governments should be dierent. It was above all to apply oneself to
dening and making state structures operate which henceforth dominated the
professional governing classes (..+, below) and an increasingly structured
government whose links tightened across the country (...) to lead it towards
a contest which most often ended in a fruitful dialogue (..,).
. Government specialists
The entire history of the states of the west in the fourteenth century reects
their constant concern to place at their head government specialists experi-
enced in the practice of power. This was rst true of the sovereign whose
dominant preoccupation was, always, to surround himself with the best-edu-
cated councillors.
From the states of the Iberian peninsula to England, passing through all the
European capitals, the sovereign appeared henceforth as a veritable political
expert. To be king became a profession which was learnt, which was exercised
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within the framework of strict rules and, additionally, which could be lost if
one did not show oneself worthy and capable, or if one went beyond the limits
xed by law and practice in the exercise of the royal oce.
In the Iberian states, much was demanded of the kings, a high proportion
of whom, in the fourteenth century, were child-kings and often even also came
from foreign countries or had been brought up far from the throne. Then they
had to be taught everything about their new country, its customs and laws. The
destiny of Philip, count of Evreux, to whose lot the throne of Navarre fell by
right of his wife Jeanne in +,.s, is particularly signicant in this respect. In a
few months, while continuing to sit on the council of Philip VI of Valois, the
new king of Navarre had to come to know everything about his country,
whose men, language and institutions became familiar to him in a short space
of time. Or take Ferdinand of Trastmara of Antequera who, coming from
Castile where he secured the regency, was chosen in ++. to govern Aragon.
Straightaway, he had to fathom all the secrets of the Crown of Aragon and of
that northern province whose Mediterranean and continental policy had no
connection with that of Castile. Take, too, the throne of Castile, perfect
reection of the need to train in a short time princes called to reign too young.
Ferdinand IV was one year old in +.,, Alfonso XI had scarcely reached his
second year in +,+., while Pedro I was called to ascend the throne at the age
of fteen in +,o. For these very young princes, a rapid and intensive educa-
tion was indispensable so that they could take up the reins of the country as
quickly as possible.
To educate the king and train him in the art of government appeared an
urgent necessity everywhere. The fashion was for Mirrors which made it possi-
ble, at one and the same time, to make the prince an expert in government and
to inculcate in him the idea that his primordial role was, above all, to lead his
people towards a certain end. A providential man, sent by God and endowed
with the noblest qualities, he should be able to practise all the virtues of the
statesman without diculty. In fourteenth-century France, numerous authors,
such as Gerson, Christine de Pisan, Philippe de Mzires or the author of the
Songe du Vergier, lingered long to describe, through an ideal portrait of the
prince, how he should govern with love, make himself loved, without
attering, all the while making himself respected without tyranny, always prac-
tising the virtue of truth which, alone, made it possible to govern prudently.
But it was also expected that the prince be humble, pious, chaste, sober, gener-
ous, magnanimous, open and just. The ideal was thus composed of asceticism,
exemplariness and of surpassing oneself. But appearing as a model of virtue
was not enough, the prince had also to be able to make his image shine and
present all his majesty. Familiar and open to the requests of his subjects, he was
also to be admired, obeyed and feared. These were qualities which authorised
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him to assume with dignity his oce entirely directed to the triumph of peace
and justice.
This portrait of the ideal prince which the French authors of the fourteenth
century present in such minute detail was to be found in very similar fashion
beyond the Pyrenees in the Iberian peninsula. Alfonso XI the Justiciar, king of
Castile (+,+.o), following the example of all the kings of Christendom, had
translated into Castilian the De Regimine Principum of Giles of Rome. At the
same time, and based on this treatise, his cousin, Don Juan Manuel, formulated
an entire system of government in his Libro de los Estados, where he delivered
a careful reection on royal sovereignty, the law, the Fueros and the participa-
tion of the people in the exercise of power. The bishop of Viseu, Alfonso Pais,
followed this movement, in composing a Mirror entirely concerned with an
analysis of royal function, while a little later it was the Castilian chancellor
himself, Pedro de Ayala, who conducted, in the course of his works, a similar
political reection. All these authors were in agreement on the need for a king
strong in the exercise of his power. The acclamation by the cortes, at the
moment of his accession to the throne, legitimated his power which crowning
had almost always just strengthened, but very rarely anointing, the rite of
which had been virtually lost since the Visigothic period. It was then in one of
the towns such as Saragossa, Pamplona, Burgos, Lisbon or Santiago, desig-
nated capital cities since the fourteenth century, that the king was anointed by
the primate of his state. This king chosen by God and acclaimed by his people
had henceforth a better-founded power but one which, in any case, could not
become absolute under pain of sinking into tyranny which all Spanish authors
of the century were agreed in condemning. In France, a whole current of
thought also attached great value to limiting the powers of a king, who,
although always anointed and Most Christian King, occupied a place apart in
the world of the kingdoms of the west in the fourteenth century. Nicolas
dOresme took the lead as spokesman for these authors in making a stand
against the plnitude de post too often granted the king. Against this concept he
opposed that of post modre, in order to redress the perverse eects of an
absolutist ideology which he ostentatiously denounced and which, in his eyes,
appeared truly devastating, most particularly in the sphere of scality.
Little heard in France at this period, there seems to have been more dis-
course of this kind across the Channel throughout the fourteenth century.
This was undoubtedly because Edward II, Edward III and Richard II had grad-
ually drawn all the consequences of an armed absolutist monarchy whose
harsh setbacks they had endured, as is well known. Deeming themselves above
the law and released from all obligation, seeing their subjects only as individu-
als forced to obey them and the kingdom as their private property, they went
counter to the common law and the statutes, pardoned criminals and bypassed
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the need for authorisation by parliament to levy taxes. This is why Edward II
was forced, from +,os, to take a new coronation oath full of consequences for
the future. In addition to the traditional undertakings made by the king on this
occasion, he promised to observe the just laws and customs which the com-
munity principally that of the barons was to establish. And these barons
set down loud and clear, in their declaration of +,os, the distinction between
crown and royal person, arming that homage and allegiance were owed to
the crown and not to the king.
Such were certainly the harbingers of the deposition of Edward II by the
parliament of +,.-, immediately followed by the proclamation of Edward III
as king. Too inclined to strengthen his authority and to control both his council
and his chancellor with too heavy a hand, the new sovereign made ready the
serious crisis of +,+. It came to an end only with a compromise at the end of
which royal prerogatives were further diminished. Edward III acknowledged
the supreme value of Magna Carta and undertook not to dismiss any ocial
without the judgement of parliament. Even though he went back on all his
promises in +,,, the crisis of +,+ was a no less destabilising element in royal
power and a powerful factor strengthening the role of parliament, henceforth
held to be the only institution capable of resolving conicts between the king
and his ocials, a contentious issue which was no longer considered as being
private in nature, but public. Under Richard II, relations between crown and
parliament were constantly strained. Throughout the serious crisis of the years
+,sos, the authority of the sovereign was seriously challenged. Parliament
truly set itself up as a supreme court, demanded a very strict control of expen-
diture and wanted to arrogate to itself the right to dissolution when the king
was absent for forty days. Quite simply, it wanted to demonstrate that it was
subordinate in no way whatsoever to royal authority. The sovereign had nally
to accept the creation of a commission invested for a year with power to
reform the state. Positions hardened and ended with the Merciless Parliament
of +,ss which made parliament the ultimate legal arbiter and attributed to it
supreme authority. The rupture was accomplished between a king which
refused to submit and an all-powerful parliament. The nal attempts of the
sovereign, throughout the years +,,-,, to strengthen his absolutism were the
direct cause of his deposition by parliament to which part of the royal pre-
rogatives were transferred on the accession to the throne of Henry IV, who
now held his power simultaneously from God and by the consent of the
kingdom, expressed through parliament. Better advised, the English kings
would doubtless better have controlled the absolutist tendency of their power.
This necessity for the prince to surround himself with constant and enlightened
council, always stressed by theorists, was broadly applied in the government
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practices of all states in the fourteenth century. And this was so true in France
that Charles V himself asserted that the duty for a king who did not want to be
taxed with tyranny was to govern by the council of a large number of wise men,
clerical or lay. Doing this and following the demonstration of Aristotle, he also
proved very open to an entire current of thought and to the pressing entreaties
of his entourage. All the authors judged that the councillors constituted a cog
in the government which the sovereign could not bypass. Gerson exhorted
Charles V to follow this path, writing do all by council and you will not repent
of it, while Christine de Pisan asserted that the sovereign always chose his
councillors with science et preudomie (skill and judgement) from among gens propices
et convenables (suitable and tting persons). They all had to show sucient qual-
ities and guarantees, whether it was a question of their love of the public good,
their sense of the truth and their indestructible attachment to the sovereign
who, everywhere, appeared to retain control of both the composition and the
convening of the council. The key piece in the political game, he shared with
the chancellor the most important part of government tasks.
In France as in England, the chancellor was the only one of the great ocers
to survive in permanent form, which led him to play a decisive role in the
mechanism of the state after the break-up of the curia regis. While the house-
hold was restricted to the service of the prince, chancellor and councillors were
in the front line for taking charge of all tasks of drafting, justice, council and
decision making. This was why, from the mid-thirteenth century onwards, and
throughout Europe, princes surrounded themselves with men who they could
trust and who they rewarded and who took an oath to them to serve the state
by guarding all its secrets. Similar developments piecemeal in England from
before +.-, in France from before +.o, and throughout the second half of
the thirteenth century in the German principalities made the king, his chan-
cellor and his councillors henceforth veritable pillars of the state.
Fluid in its composition since the sovereign summoned to it whoever he
wanted, the councils competence was also exible and constantly evolving
towards an increasingly marked specialisation, principally conned within the
function of council and, subsidiarily, of justice. The evolution was particularly
clear in England in the fourteenth century, where the court of the exchequer,
court of common pleas and the court of the Kings Bench, which had long
been gradually detached from the council, constituted, since the reign of
Henry III, a complex judicial ensemble in which each of these courts (which
now had only distant contacts with the council) had its own area of jurisdic-
tion. In France, a similar evolution occurred, but it was later, since it was only
in the last decades of the thirteenth century that the parlement began to secure
an autonomy which did not become denitive until the +,os. Then the council
fully assumed its principal function, that of advising the king and participating
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with him in the exercise of justice reserved to the crown. In the Iberian states,
the role of the council in the fourteenth century was undoubtedly still more
fundamental. The main part of royal power originated in it. This is why direct-
ing the council meant directing the country, and why, too, the kings court was
nothing other than a centre of intrigue in which all the candidates competed
in the direction of the council which was a meeting of princes or intimates of
the king.
In this way, therefore, at the end of the Middle Ages, whether it was a ques-
tion of the great or continual council of England, of the conseil troit, conseil priv,
conseil secret or conseil grand in France, of the secret council or sworn council of
the German princes or the secret council of Milan, all were in part detached
from the tasks of nance and justice, which they had looked after at the
time of their earliest history, so that they could dedicate themselves better to
advising the prince in secret matters of the state and exercising, with him,
that part of justice which he did not intend to delegate. This was why few
members some dozen at the most were admitted to it, to make of them, at
the sovereigns side, the veritable masters of the state. Noble or bourgeois,
lawyer or nancier, it was always from them that decisions came and the
impulses tted to stimulate an administration right in the middle of a complete
transformation.
. An oppressive administration
The complexity of the administrative structures of states of the west in the
fourteenth century is explained, principally, by the incomparable rise of
government bureaucracy throughout the previous centuries. Its development
was the direct consequence of the increase in central administrative depart-
ments. Its rigidity, inertia and sometimes its inability to adapt to the new
demands of the modern state necessitated the creation of local administrative
departments increasingly diversied and capable of resolving at once and on
the spot all the problems which a central government could not settle, too
often lacking the information and the means of action to intervene rapidly and
eectively. Priority was thus given to the administration and to its departments,
whose actions, increasingly autonomous in relation to the impulses of central
government, often also became as inclusive as they were burdensome for the
governed. This was particularly true of fourteenth-century France but much
less so for England, while the systems retained by the Iberian countries corre-
sponded to a middle path.
In France, the corollary of the constant ination in the personnel of central
administrative departments throughout the fourteenth century four
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councillors at the requtes du palais in +,+ and twenty-nine in +,,, twenty
councillors at the parlement in +,+ and sixty-two in +,,, thirty notaries in
the chancery in +,+o and fty-nine in +,o+ was the ever-greater complex-
ity of local administration. One has the impression that the increase in
oces and agents of the king in the capital was matched, throughout the
country, by a necessary increase in both the number of local departments
and sta. Since the mid-thirteenth century, the bailli became, from a peri-
patetic ocial without a xed area, a sedentary administrator responsible
for administering an area with well-dened limits, the bailliage. At the begin-
ning of the fourteenth century, he was all-powerful in it and cut the true
gure of a viceroy. In part, the full representative of the sovereign, he exer-
cised there all the delegated prerogatives. Head of the judicial administra-
tion, he presided over the assizes, whose court he composed as he wished,
mixing there representatives of the populace with probi homines (worthy
men) chosen on account of their good legal knowledge. Responsible for
the receipt of all royal funds, he organised the farming out of the prvts
and drew the revenues from them, securing the collection of all levies, taxes
and nes. Responsible for the maintenance of public order, he was invested
with a veritable power of law and order, strengthened further by the obliga-
tion which was incumbent upon him to publish and observe all the royal
ordinances that he could, by virtue of his statutory power, adapted to local
necessities. Judge, tax collector, legislator, this was the picture of the bailli
in the rst decades of the fourteenth century. Remunerated by the king, he
was directly responsible to him. Released from all ties to his bailliage, of
which he could not be a native and where he could not possess any prop-
erty and which it was compulsory for him to leave at the end of three years,
he compelled recognition like a veritable agent of the state whose status
and career were perfectly dened.
But it would be to concentrate too many problems in the hands of a single
individual to make the bailli the only interlocutor of the state at a point when
the latter was multiplying and diversifying the departments of its central
administration. A similar development could, inevitably, only be planned
within the entirety of the kingdom as a whole. Often the initiative came from
the baillis themselves who, without being invited to do so by the central author-
ity, surrounded themselves, from the +,.os onwards, with collaborators whose
action would nally rebound against them. Chosen by them at the outset, these
ocials progressively arrogated a certain autonomy to themselves before
being nominated by the king himself who made them his veritable agents. This
was certainly the case with the receivers of the bailliage. Responsible since the
last years of the thirteenth century for the collection and handling of funds
under the control of the bailli, they became, in +,.o, authentic royal receivers,
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following an ordinance of Philip the Fair which forbade all baillis to interfere
with the handling of funds. A similar evolution made the lieutenants of the
baillis, entrusted with assisting him in his judicial tasks since the end of the thir-
teenth century, veritable royal judges. Despite the opposition of populations,
systematically denying that the bailli could delegate any of the areas of his
jurisdiction, the crown had to ratify this development in +,s,. It then proted
from it to make these lieutenants of justice true royal judges whom it nomi-
nated and directly controlled. In the scal and nancial sector, nally, the
institution of the bailliage experienced the same curtailment of power. The
collection of heavy hearth taxes ( fouages) which the war imposed from +,
onwards was to escape the baillis completely to the prot of ocials at rst
appointed by the Estates General then, afterwards, nominated by the king, the
lus. Their district was not remotely the bailliage, but the lection.
In the Iberian kingdoms, the distant life of the localities, of which the govern-
ment often knew little, forced the monarchs to devise a complex administra-
tion responsible for extending their action on the spot. A general scheme,
which could always be adapted, dominated the organisation of local
administration. In the states as a whole, the responsibility for managing the
province was entrusted to a merino or adelantado, who sometimes received the
title of mayor if he was placed at the head of an area of acknowledged eco-
nomic or strategic importance. All these agents received authority delegated
from the king in the form of a charter which listed their powers in detail. Full
legal authority was thus also conferred on them to administer their merindad, to
strengthen its safety, law and order, and justice. All these powers were increased
if the king were a minor, or in his absence, as in Navarre at the beginning of
the fourteenth century, when the merino was empowered to appoint the alcaytes
of the royal castles and receive their oath of allegiance in the name of the king,
from whom alone this power to appoint, in theory, depended. Thus conceived,
the merindad constituted a truly autonomous unit in which the merino exercised
his powers with a whole group of ocers who were subordinate only to him
and who were found a post on his recommendation. This was especially the
case with his justicia and his receivers. These were agents who sometimes forgot
that they represented the central government and who were thus tempted to
abuse their power.
Most fortunately, the men of the lordships and towns recalled them to their
duty and never failed to do so in the presence of the sovereign at the assem-
blies of the cortes. This was why the kings of Aragon travelled a great deal. They
considered it important to demonstrate that they were close to their subjects
in order to hear their grievances, whether at Denia, Minorca or Teruel. As for
the kings of Navarre, they adapted the Capetian system of requests, which
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allowed them to be constantly informed about what was happening in their
kingdom as a whole. To these regional administrative structures tted to
extend the action of the sovereigns, moreover, the institution of the baylle came
to be added, an agent entrusted with representing the king in his towns, facing
the council, and with communicating to the central government all the citys
grievances. If his action was well handled, it was always the opportunity for
starting a true dialogue between the king and his subjects. In this way, there-
fore, in Spain as in France, complexity undoubtedly dominated the structures
of local administration in the fourteenth century.
It was the same in England, but undoubtedly to a lesser extent. Dominated
since the tenth century by the all-powerful sheri, the territorial administration
was progressively diversied to make of this ocial, in the fourteenth century,
a representative of the king who had slowly lost the major part of his powers,
just like the bailli of the kings of France. Since +.., the escheators had
deprived him of the main part of his powers in nancial matters. Moreover,
the policy of reducing the areas of his judicial authority, undertaken since the
reign of Henry II, had not ceased to bear fruit in that direction. The increase
in judicial circuits in the counties at the courts of which judges from
Westminster presided in place of the sheri at the sessions of the shire courts,
and the gradual institution of the coroners, whose primary task was to hold an
inquest, if a man died, designed to enable a grand jury to present the accused
to the itinerant judges. It was in the same perspective of the reduction of the
sheris powers that the sovereigns of the thirteenth century had progressively
set up the institution of the keepers of the peace, ocials whose role, both
in the military eld and that of law and order, was to make them, in the reign
of Edward III in +,o., veritable justices of the peace. They had the appearance
of permanent judges simultaneously endowed with powers of decision and
execution, as much in the eld of justice as that of administration. Called to
become the most important ocials in their area, they progressively emptied
of its content all the power of the sheri, whose essential competence
remained the transmission of the kings writs in the county. This was still an
important prerogative, in so far as the size and development, ceaselessly
increasing, of the central bureaucracy produced an ever-greater number of
written documents.
In this way, as in the other countries of the west in the fourteenth century,
the dominant characteristic of the English administration lay in the great
number of its ocials. Whether appointed by the king but not paid by him,
like the sheris, escheators and justices of the peace, or chosen by the shire
courts like the coroners, they all contributed to give the impression of a very
great independence in local administration. This sentiment was in addition
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considerably strengthened by numerous franchises (exempt jurisdictions) and
the highly autonomous functioning of the courts of justice, in particular the
jury system. Reality was more nuanced. Although the English sovereigns had
granted some autonomy to all these local authorities, it was above all because
they expected from them unpaid services, whose exact bounds they stipulated
strictly. But it did not end there. The role of these authorities designated by the
prince or chosen by the local populations was above all to execute orders sent
from Westminster. Since none of these oces were remunerated, they could
only be assumed by well-to-do individuals, most frequently landholders,
whether knights or not, who always showed themselves concerned to maintain
the established order and, by the same token, to ensure royal orders were
respected. Thanks to them, too, and through their agency, a fruitful dialogue
was set afoot between the prince and the country, a dialogue destined to be
continued within the framework of parliament. In France, on the contrary, this
dialogue could scarcely be engaged other than by means of representative
assemblies; local administrative ocials paid by the sovereign and increas-
ingly career administrators had neither the inclination nor the qualications
to engage in a similar dialogue.
. A necessary dialogue
Representative institutions dominated the entire history of the relations of
those who governed with the country throughout the fourteenth century. This
century was everywhere a period of dialogue which was realised through the
intermediary of the estates general and the provincial estates, or, in England,
within the framework of parliament. Why was such a dialogue established and
how was it able to continue?
It was not by chance that these institutions of dialogue strengthened their posi-
tion in the fourteenth century. Many of them had their origins in the previous
century, while others saw the light of day with feudalism but all, without excep-
tion, experienced their apogee in the fourteenth century. Quite simply because
in this century of crises and diculties, the country felt more need to make its
voice heard, facing a prince and an administration whose power was constantly
asserted. In France, war and nancial diculties; in the Low Countries, the
death of princes without male heirs; in the German principalities, successive,
constantly repeated divisions of inheritance; in Hungary, the crisis of the state
of +,s., following the death of Louis the Great these were the factors which
help explain the irresistible development of assemblies of estates.
Over and above their dierences, they all obeyed a common model in their
organisation which was very broadly based on the assemblies of the Church.
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Synods and councils constituted henceforth assemblies whose maturity made
it possible to put to the test all the methods of representation and deliberation.
The saying, quod omnes tangit ab omnibus approbetur (what concerns everyone
should be approved by everyone), compelled recognition so that it was pro-
gressively adopted by all the political assemblies, whether by the English parlia-
ment in +., or, gradually, by all the assemblies of estates on the whole
continent. To agree with this rule implied that the problem of representation
was to be compulsorily resolved, since not all the deputies of dierent estates
could attend the sessions of the assemblies. It was because methods of proxy
had progressed throughout the thirteenth century that representatives could
be gradually appointed to whom their constituents delegated rst a limited
power, that of ouir et rapporter (hearing and reporting) then, slowly and with
many reservations, a plena potestas (full authority) which authorised them, in
theory at least, to act with full liberty.
Parallel to this development of juridical methods, the fourteenth century
saw a considerable enlargement in the composition of assemblies of estates.
Until the mid-thirteenth century, representatives of the nobility and clergy
were mainly summoned. From that time onwards, slowly and little by little, the
delegates of the towns made their entrance. This was particularly true of
France. After several attempts in this direction by St Louis, the policy of four-
teenth-century sovereigns was to extend, as broadly as possible, representation
to the deputies of the towns. There was a very similar, but later, development
in the empire, where, in +,o., the representatives of the towns sat for the rst
time in the estates of the Tyrol. Thus these assemblies increasingly referred
to as the three estates since the appearance of this expression in Burgundy at
the end of the thirteenth century became widespread throughout continen-
tal Europe in all the regions, as well as at the level of the state. In England,
evolution was dierent because of the fact that parliament simultaneously pos-
sessed the same powers as the assemblies of estates on the continent but also,
and above all, a considerable judicial and legislative power.
This was the problem set by the role devolved to these institutions of dialogue,
whether they were assemblies of estates or parliament. After a period of trial
and error, it was fairly well dened in the fourteenth century. Beyond the desire
of the prince to communicate with the country and the desire to meet him
evinced by the representatives of his subjects, these assemblies were always
convened to resolve specic problems. They appeared then as veritable organs
of government, adapted to suggesting solutions to questions which the prince
would not or, most often, could not solve alone. Problems with the coinage
seem to have lain at the very heart of the preoccupations of these rst assem-
blies. They dominated their activities in the thirteenth century. Henceforth, the
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coinage was no longer the concern of the prince, as it had been in the feudal
period. This was why clergy, nobility and bourgeois meant, through the agency
of their representatives in the estates, to control a good part of monetary
policy, especially in the area of mutations of the coinage. They had a very real
inuence everywhere. There was Edward III, who in +,. agreed not to do
anything without the agreement of the Commons, and John the Good, who
made a similar commitment to the estates in +,, while Jeanne and Wenceslas
of Brabant promised, the following year, to do nothing without consulting the
country.
More acute still, the problem of war and its nancing in the fourteenth
century made jurisdiction over the currency fade into the background. It was
undoubtedly to the permanency of war that the representative assemblies
owed the main part of their success. It was nancial aid rather than advice
or counsel on the conduct of operations that the sovereigns of the four-
teenth century demanded from their estates, or their parliament, while
attempting to convince them that necessity and emergency always justied
their consent to the levy of new taxes. And since the war continued, they also
had to continue. But the principle of permanent taxation was still a long way
o. For the time being, the sovereigns had to admit that a tax could only be
levied if there was need and with the consent of their subjects representatives.
Often the estates and parliament even imposed still stricter regulation on the
ruler. For did not parliament appoint, in +,o, commissioners to control the
levy of tax to which they had consented and the estates of the Languedol set
up, from +,, the entire administration of the lus with a view to controlling
the complete management of the aides from assessment to collection?
This was an important decade for the role played by the assemblies. The
middle of the fourteenth century marked, in fact, the period of their apogee.
Although the English parliament succeeded in establishing its victories perma-
nently, things were dierent with the estates in other countries. Those which it
has become traditional to call the estates general lost some of their weight and
it was henceforth more with the provincial estates that the princes discussed
the defence of their territory and the grant of the subsidy. This thus provided
an opportunity for their deputies to present the grievances which the prince
might sometimes, after careful scrutiny, transform into ordinances. This was a
frequent occurrence in France, and also in Spain where the cortes played a role
of the rst importance in the formulation of the Constitutions of Catalonia
and the Fueros of Aragon. In England, strong as a result of the role it played
henceforth in nancial matters, parliament had a clear tendency to lose sight
of its powers in judicial matters to strengthen its normative capacity. To the
individual petitions which it received until the end of the thirteenth century
were added the collective petitions which it sent to the king if it judged it
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opportune. Thus in +,.- a common petition gave birth, for the rst time, to a
statute decreed by the king in parliament. This procedure grew to such an
extent that parliament received fewer and fewer individual petitions for judge-
ment, saw its court become empty and thus became, in the mid-fourteenth
century, a true legislative body. This was a unique evolution, not experienced
by any other country of the west even though the estates were, to some extent
everywhere, the instigators of important ordinances suggested and, some-
times, imposed by means of their grievances.
But they were not convened with sucient regularity for their activities to
become truly institutionalised. The sessions were in general short, a few days
at the most, and their rhythm subject to the goodwill of the prince except,
perhaps, in Catalonia or Aragon, where the practice of convening the cortes
annually became established at the beginning of the fourteenth century. But
there, too, theory was very far from reality. In England, by contrast, the average
duration of a parliament was about three weeks and it met practically annually
in the fourteenth century. Since, additionally, the same peers were almost
always summoned to the upper house and numerous knights and burgesses
often sat in several successive parliaments in the House of Commons, it can
better be understood how such continuity could make of parliament an institu-
tion which was rapidly able to consolidate its power against that of the sove-
reign. Nothing comparable occurred with the estates, even if some, such as
those of Aragon, succeeded in developing, throughout the fourteenth century,
permanent commissions responsible for extending their activities between the
sessions able to force a constant dialogue on the prince.
Dialogue this is the key word dominating both the theory and practice of
power during the whole of the fourteenth century. A state which strengthened
its grip everywhere faced a country which was starting to organise itself.
Progressively freed from feudalism, it was no longer prepared to fall back into
subjection and made its voice heard over and against a prince whose power
nobody disputed, but which everyone wished to see regulated and its exercise
limited. Two strong periods dominated this political evolution of the four-
teenth century. Until around the +,os, carried by the rapid expansion
imparted it by the lawyers, royal power continually grew stronger. Everywhere,
the great bodies of the state and its ocials, whose numbers ceaselessly
increased, assured its success. But with the arrival of war and the crises that
accompanied it, then this ne enthusiasm was shattered. From Spain to
England, from Hungary to France, a wind of democracy arose to remind the
princes that they had to listen, in this game of politics, to the voice of their
subjects and to reckon with those who represented them.
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cn:r+rr ,
CURRENTS OF RELIGIOUS
THOUGHT AND EXPRESSION
Jeremy Catto
+nr main determinant of religious thought in the fourteenth century, which
would eventually aect every aspect of public worship and private prayer, was
the concentrated eort, in the previous century, to marshal, state logically and
resolve questions according to an agreed theological language, establishing
thereby a coherent method of religious education. The enduring issues of
Gods relation to the world, the human soul and the nature of redemption were
not resolved, but they had been successfully contained within an abstract and
largely Aristotelian language, and were generally discussed by a trained and
conscious elite at Paris or its satellites in Oxford, Cambridge and the schools
of the friars. The attempt to resolve them had created and continued to create
philosophical syntheses of greater or less cohesion. That of Thomas Aquinas,
promoted by the Order of Preachers and universally known after his canon-
isation in +,.,, was matched in the rst decades of the century by the more
amorphous body of ideas associated with the Franciscan doctors Duns Scotus,
Peter Auriol and Franois de Meyronnes: among whom the inuence of
current logic brought about, some twenty years later, a critical reexamination
of theological language, associated with William of Ockham, and as the moral
and social aspects of religious thinking began to dominate debate, a vigorous
return to Augustinian ideas. These bodies of ideas did not create distinct
schools of thought: virtually all theologians of the fourteenth century were
independent thinkers who can be classied as Augustinians, Thomists, Scotists
or followers of the via moderna only in a broad sense. They were united by a
common inheritance of terms and concepts and a common analytical training,
to which the rich religious literature of the century owed the bulk of its con-
ceptual structure: Ramon Lulls contemplation through memory, under-
standing and will, Meister Eckharts ground of the soul, the unity of essence
of Jan Ruysbroeck and the concept of naked love of The Cloud of Unknowing
were all, or were derived from, ideas of theologians.
In the course of the fourteenth century the learning of theologians both
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proliferated across Europe, through new theology faculties in universities and
innumerable cathedral, monastic and friars schools, and came to focus more
directly than before on the moral and pastoral questions which confronted
individuals. Theologians began to play an active role in the government of the
Church: in contrast to the work of teaching and speculation which lled the
lives of thirteenth-century doctors like Aquinas, Henry of Ghent or Peter John
Olivi, the experience of their successors in secular and ecclesiastical aairs and
the work of the missionary and the inquisitor profoundly modied their think-
ing. Pierre de la Palud OP, for instance, left the Paris schools to argue the case
of Pope John XXII against Franciscan poverty, and then as patriarch of
Jerusalem to promote the crusade (+,+-.). Richard Fitzralph, a secular
doctor of Oxford, served Benedict XII and Clement VI in debate with Greek
and Armenian churchmen, ending his career in +,oo as archbishop of Armagh
and bitter opponent of the friars; the Czech theologian Adalbert Ranconis (d.
+,ss), who had studied at Paris and Oxford, served Emperor Charles IV as
clerk and court preacher and gave support to the Bohemian reform movement;
Peter Philargi (of Candia) OFM, a Cretan friar who studied at Padua, Oxford
and Paris, promoted Catholic teaching in Lithuania, was made bishop of
various Lombard sees, acted as an envoy of the duke of Milan, and was even-
tually elected Pope Alexander V (+o,+o). In each case practical experience
refocused these theologians interests and ideas, bringing to the forefront
aspects of their subject which had an immediate bearing on the pastoral work
of the clergy. Not surprisingly this sometimes led to sharp controversy which
involved canonists as well as theologians and in some cases judicial processes
before the Roman curia. The question of the poverty of Christ and the apos-
tles, for instance, which touched the vocation of Franciscans, provoked crisis
in the order in the ponticate of John XXII, while in mid-century the relation
of friars to secular clergy touched o a parallel debate on ecclesiastical prop-
erty and its scriptural warrant which reverberated from +,o, when Fitzralph
rst raised it at Avignon, for the rest of the century and beyond.
Less dramatic but of equal import for the religion of the laity was the slow
advance of theological education among the European clergy. In +,oo it was
exceptional for a bishop, and a fortiori for a parish priest, to have attended the
schools, even in England where a learned clergy had probably made most
progress; in the province of Vienne, for instance, neither the archbishop nor
his ve suragans is known to have done so, and only one of their recent pre-
decessors, Henry of Geneva the elected but unconrmed bishop of Valence,
had studied in a university in his case Bologna.
1
On the other hand many
cathedral chapters and some monasteries had begun to appoint trained friars as
Currents of religious thought and expression ,
1
Boisset (+,-,), pp. ++o..
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lectors, and in many European towns, the schools of the mendicant orders were
attended by secular clergy and even the laity. The work of Remigio del Girolami
OP as lector at Santa Maria Novella (c. +.-+,+) was valued by the commune
of Florence, and it is probable that the friars schools at Erfurt and Cologne
were able to diuse theological learning among the Germans and eastern
Europeans in the absence of early universities. As the century progressed the
schools of the friars multiplied, and in due course new theological faculties in
universities began to turn out parish priests, cathedral canons and bishops, as
well as friars. By ++, when the Council of Constance was assembling, doctors
of theology constituted a large minority of bishops, and a more substantial
number were doctors of decrees; and among the eective leadership of the
Council, the proportion of university-educated clergy was overwhelming.
Jurists therefore as well as theologians participated in the work of dening
the pastoral mission of the clergy. The early success of Bologna as a centre for
the study of Roman and canon law had been imitated during the thirteenth
century by faculties of canon law in Paris, Oxford, Orlans, Montpellier,
Salamanca and many other places; the strong sense of evangelical purpose
which many of their alumni shared whether exercised in missionary work
beyond the borders of Christendom, or the defence of Orthodox belief and
practice and the propagation of Christian teaching within them was typied
by Dr Jacques Duse, bishop of Frjus (+,oo) and Avignon (+,+o), who
became Pope John XXII in +,+o. The canon law, as a living law responsive to
current ecclesiastical problems and preoccupations, had been fashioned by the
thirteenth-century decretalists to implement the pastoral ideals of the Fourth
Lateran Council, and by the end of the century a body of simple practical lit-
erature for the guidance of preachers, confessors and parish priests was taking
shape. Among the summaries popular during the fourteenth century were the
two great works of the elder Guillaume Durand, bishop of Mende, his Speculum
Iuris (c. +.-) and Rationale Divinorum, which served as handbooks of the
canonical and liturgical duty of priests respectively; the use of John of
Freiburgs Summa Confessorum, a digest of legal, theological and practical guide-
lines for parish priests (+.,+,o.), was even more widespread. This practical
literature both inuenced the practice of priests and was modied by experi-
ence; and at the end of the century a new synthesis, more sensitive though no
more indulgent to human weakness, was made in the Opus Tripartitumand other
pastoral tracts of Jean Gerson, chancellor of Paris. These held the eld
throughout the fteenth century and beyond.
The substance of this body of teaching was imparted to the laity through
two main channels. The broadest was probably the medium of the sermon, an
increasingly frequent event in the life of townsmen and even rural communi-
ties. Innumerable sermons survive from the fourteenth century: their form,
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originally an academic exposition of a biblical text, was constantly modied to
conform to unlearned ears, and their content popularised with exempla or anec-
dotes with simple morals. The friars were the pacesetters of the popular
sermon: their styles, ranging from the elaborate classical stories of Robert
Holcot OP to the raw homilies for the benet of simple folk of Cardinal
Bertrand de la Tour or the elegant rhetorical turns of Filippo di Montecalerio
OFM, were honed to the capacities of varying congregations. Though the vast
majority of sermons have been preserved in Latin, it is clear that they were
generally delivered in the vernacular, often with powerful eect. Itinerant
preachers like the Catalan Dominican Vincent Ferrer, who between +,,, and
++, travelled through France preaching to great crowds in the open air, were
believed to have a profound eect on public opinion, and the same was feared
of Lollard preachers in England and Hussites in Bohemia.
The sermon at its best was a potent instrument of persuasion, and its
inuence upon the development of vernacular literature was profound. Yet the
second medium through which the religious thinking of the schools reached
the laity was arguably eective at the deeper level of the individual con-
science: the growing practice of private confession. This too had been devel-
oped by the friars, and in the course of the fourteenth century it became
common for at least the more substantial of the laity to make individual
confessions at regular intervals, frequently though not universally to the men-
dicants. Literature for the guidance of confessors abounded; Summae Casuum,
collections of cases before ecclesiastical courts and of other material, like the
Summa Pisanella of Bartholomew of Pisa OFM, provided detailed advice and
plans for the questioning of penitents. Where the inuence of the confessional
can be traced, it promoted, through the practice of private examination of
conscience, independent religious thinking on the part of the penitent; the
Livre de Seyntz Medicines of Henry of Grosmont, duke of Lancaster, a fresh and
original discourse on sins and their remedies, was one fruit of the sacrament
of penance. In the second half of the century it was becoming common
among the European noblesse to have a personalised prayer-book or book of
hours; originating in the Psalter, the book of hours developed into a com-
pendium of private devotions, oces of favourite saints and prayers derived
from contemplative works, according to individual taste; a late fourteenth-
century example from the diocese of Rodez, for instance, now in a Glasgow
library, contains a nativity mass and vespers with penitential psalms and lita-
nies in Provenal, presumably for a lay owner.
Traditionally, the most public and communal aspects of religious devotion
had focused on local saints, innumerable examples of which, originating in the
late antique or early medieval eras and generally canonised only by popular
acclaim, still attracted devotion in the fourteenth century. St Cuthbert, for
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instance, the patron of Durham, at whose tomb the inhabitants of the diocese
swore their most solemn oaths or took the cross;
2
or St Eulalia the patron saint
of Barcelona, round whose tomb the kings of Aragon rebuilt the crypt (com-
pleted in +,,,) to accommodate pilgrims, placing a gothic statue of the saint
in the church above. A regional cult might also focus on a newly recognised
saint and his relics: one of the most bizarre was the cult of Thomas Aquinas
at the Cistercian monastery of Fossanova in the kingdom of Naples, where
long before his canonisation in +,., the monks and lay devotees, including the
saints family, vied with the Dominican friars over possession of parts of his
dismembered body: one result of which was the preservation of some of his
autograph writings as relics in the convent at Naples.
The cult of local saints achieved greatest denition in stable, well-recog-
nised communities which looked to a single, unshared intercessor. The careers
of a growing number of Europeans, however, made them mobile and there-
fore less inclined to look to a cult bound to particular places and shrines. Their
religious needs were sometimes satised by pilgrimage cults like that of St
James the Greater at Compostela or St Thomas Becket at Canterbury, or at the
end of the century by devotion to the hermit St Roch (d. c. +,so), whose cult
became a prophylactic against the plague. The most potent of these unlocal-
ised spiritual patrons was, of course, the Virgin; her cult, already well estab-
lished in eastern Christianity, adopted from the twelfth century onwards a
personal and intimate note in the west, partly from association with the
humanity of Christ and partly from the ideal of courtly love. Spread through-
out Europe with the blessing of St Bernard, and through the active propaga-
tion of Franciscan and especially Carmelite preachers, the various feasts and
private devotions dedicated to Mary gained in popularity in the fourteenth
century: the Annunciation, portrayed in innumerable altarpieces; the Holy
Family, with its secondary cults of St Anne and the Presentation of Mary; the
Assumption; the Angelus, by +oo often observed at noon as well as in the
evening; and the rosary, a personal aid to prayer which grew in popularity with
the advent of the devotio moderna.
Marian devotion could as well be expressed privately as in the public liturgy,
and its growth is one aspect of the proliferation of personal religion among
the laity. It was paralleled by numerous devotions, often originating as personal
cults and evolving into public feast, to facets of the incarnation or passion of
Christ, such as the Transguration, the Crown of Thorns, the Five Wounds
and the Holy Name. In contrast the cult of Corpus Christi, deriving as it did
from the canon of the mass, retained a public and communal character while
appealing equally to personal compassion for the suering of Christ, and was
o jrrr c:++o
2
Dobson (+,-,), p. .s.
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therefore uniquely placed to be, in the following century, a channel through
which the oces of the liturgical year could be refreshed by the reviving waters
of inward devotion. Originating among the beguines of Lige before +.o, it
nally achieved universal status in +,+-, and was rapidly taken up by lay reli-
gious fraternities everywhere, especially in towns; eucharistic processions,
rituals of unity associated with civic pride and sometimes enacted in hope or
remembrance of a local eucharistic miracle, proliferated. The procession in
turn, in the fteenth century, became the focus of locally composed dramatic
reenactments of the Passion. At every stage the personalisation of the Euchar-
ist which the cult embodies touched a sensitive nerve, stimulating a widespread
personal response, and it is not surprising that diering notions of its proper
observance prompted violent controversy in the years around +oo.
Corpus Christi guilds were only one category among a bewildering variety of
confraternities, ranging from trade guilds, most developed in the great manu-
facturing towns of Italy, which usually had a religious aspect, through societies
dedicated to mutual insurance or to particular charities, to bodies bound by a
common rule, religious practice or even belief, which might attract ocial dis-
approval. Originating long before the fourteenth century, they proliferated after
+,oo and their purposes came to be more precisely dened, as increasing
numbers of the laity of both sexes sought a specic form for their charitable or
devotional aspirations. The establishment and running of hospitals was proba-
bly the commonest activity of confraternities, for instance that of La Scala at
Siena, where St Catherine had nursed the sick, or the hospital of St Bnzet at
Avignon. The disciplinati or agellants formed a further species originating in the
thirteenth century, dedicated to performing public penance on behalf of the
community by mutual agellation in the towns of southern Europe; organised
locally in numerous confraternities, their members were largely artisans, who
often combined agellation with the cult of the Eucharist, as in Siena, or the
Holy Name, like the fraternity of Barcelona. Attracting a good deal more suspi-
cion than encouragement from Church authorities, they grew in numbers
because they had widespread lay support. Nevertheless the idea of assuming
public penance for the sins of a body of Christians derived from monastic dis-
cipline, and its popularity is one of many indices of the active development of
earlier monastic religious thinking at the hands of the fourteenth-century laity.
The fraternity probably served as a model for the many bodies of enthusi-
asts whose unorthodox beliefs and practices had singled them out, in the thir-
teenth century, for condemnation and suppression by Church authorities. The
cohesion of these groups of heretics is a matter of dispute. Most of them had
originated in the religious ferment of the late twelfth century, but the Cathars
or Albigensians, whose dualist principles and hierarchy of perfecti had made
numerous converts in Italy and southern France, survived persecution by +,oo
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only in a few mountain villages, and may have disappeared entirely a few years
later. The Waldensian congregations of the fourteenth century, heirs of an
earlier wave of enthusiasm for the ideals of apostolic poverty and spiritual
simplicity, are a dierent matter. They too persisted in upland villages, mainly
in the Alps, though to what extent they were conscious of belonging to a separ-
ate sect is uncertain. In addition, they had penetrated into Germany, where
small groups were to be found in some of the western and southern towns and
in villages in the eastern borderlands, served evidently by secretive itinerant
masters. Their distinctiveness, limited though it was, seems to have made
them generally unpopular with their neighbours, and the concerted eort made
to root them out of every part of Germany between +,,. and +o+ rested on
solid public support. It was not completely successful; some Waldensians sur-
vived to be greeted by the Hussites as torchbearers of true religion. But in
general they and other enthusiasts for poverty, such as the Fraticelli in Italy, had
little impact on popular religious practice.
Fraternities, being public bodies, did not in themselves provide spiritual sus-
tenance for the many laymen and especially women who sought individual reli-
gious experience in these years, though they probably made private initiative
easier. There is evidence from several parts of Europe, especially in the later
fourteenth century, of earnest deliberation on the part of both laity and clergy
on the right outward form of religious life, whether a monastic vocation, the
evangelical life of a friar, the solitary calling of the anchorite or recluse or a
contemplative life in the world, the mixed life. While the considerable litera-
ture on the subject comes from the trained pens of the clergy, it was frequently
evoked by lay need of advice: Walter Hilton wrote a tract on the utility of the
religious life to guide the Carthusian vocation of the controller of the great
wardrobe, Adam Horsley and Gerson addressed a series of tracts on medita-
tion to his sisters. The question whether to enter a religious order, and if so
which rule or community was appropriate to a particular vocation seems to
have been posed especially sharply to trained men already embarked on a
career. Within the monastic and mendicant orders it was becoming clear that
some justication of the various orders ways of life was necessary in general
religious terms, and that justication might imply reform. Benedict XII had
issued new constitutions for all the major orders, and their implementation,
imperfect as it was, encouraged reection on the mendicant and monastic
rules. Bartholomew of Pisas work in defence of Franciscan conformity to the
life of Christ was written about +,s; somewhat earlier, a series of tracts on the
instruction of Benedictine novices had been composed anonymously at Bury
St Edmunds. Outside their orders of origin, these works were probably not
widely read, but they indicate their authors awareness of contemporary
opinion and aspirations.
s jrrr c:++o
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Both within and outside the established orders, however, the variety of
spiritual experience and the informality of the groups in which a religious life
was developed is striking. One such informal group was the famiglia of the
Dominican tertiary Catherine Benincasa, later canonised as St Catherine of
Siena, which she formed about herself, and extended in her correspondence,
between +,o- and +,so. It included her spiritual director Raymond of Capua
OP, later a reforming master-general of his order, the English hermit of
Leccato, William Flete OESA, and the Vallombrosan monk Giovanni dalle
Celle, all of whom, in spite of Catherines somewhat imperious tone in her cor-
respondence, were highly individual gures and spiritual advisers in their own
right. They respected her personal experience of God, which arose from intro-
spection: my cell, wrote Catherine, will not be one of stone or wood, but that
of self-knowledge.
3
Her inuence was all the greater for not owing through
established channels. The informal and voluntary communities established by
her contemporary Gerard Groote in the towns of the Ijssel valley in Holland
seem to have been similar associations of independent minds, whose private
devotions looked to no corporate support from the group beyond common
manual labour. Known therefore as Brethren of the Common Life (as distinct
from any special way of life), in the suspicious society of northern Europe they
needed to ght for the right to live together without a rule. Perhaps a third con-
temporary group was that of John Wyclif s poor preachers, originally it would
seem a body of university-trained radical preachers; but no evidence of any
corporate activities, beyond preaching and producing vernacular books, now
survives. Both within established communities or religious orders and outside
them, in informal groupings or in the virtual isolation of some hermits and
recluses, the spiritual life of the age was determined by individual choices and
private forms of devotion.
In this context the debate on the relative merits of the active and the con-
templative life conducted by Italian intellectuals, a line of thought to which
Petrarch contributed by implication and Coluccio Salutati more explicitly, was
part of a wider choice faced not only by humanists but by the whole of the
educated European world, both laity and clergy, both men and women, in the
later fourteenth century. Petrarch, by temperament a man of the world, was
constantly and perhaps increasingly attracted by the monastic life, as he made
clear in his De Ocio Religiosorum and De Vita Solitaria. His admirer Salutati, as
chancellor of Florence, was professionally committed to public aairs, and
proposed to justify them, in +,-., in a book provisionally entitled De Vita
Associabili et Operative; but after the painful crises of the +,-os he was less sure,
and by +,s+ he could write a book of advice for a friend who had entered a
Currents of religious thought and expression ,
3
Fawtier and Canet (+,s), p. oo.
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monastic order, De Seculo et Religione, in which the monastic life is praised as the
highest ideal. The question continued to trouble him with tensions and fre-
quent alternations between opposing attitudes.
4
It is the same question which
Walter Hilton considered, though with rather less hesitation, and which
Gerson expounded to his sisters. If authors came to dierent conclusions, and
if many of them even failed to maintain a consistent answer, the choice which
it posed must have been real.
Amid the bewildering variety of religious aspirations expressed during the
century, it is possible to discern the outlines of a body of ideas, or themes,
which had been exposed by the ceaseless erosion of the immediate issues in
the ebb and ow of academic debate. As Aristotelian logic was absorbed and
then rapidly developed in the Paris schools, the earlier cosmologies and light-
metaphysics gave way to more fundamental questions: rst of all, in the +.-os,
the question of the unity or plurality of forms, on which the whole status of
life on earth, whether natural to man or merely a provisional state, or half-life,
seemed to depend; and then the great issues of Gods relation to creatures:
divine omnipotence and human freedom, Gods knowledge of creatures and
human knowledge of God, whether the Incarnation was merely a consequence
of the Fall of Man, and nally the relation of Gods grace to human merit.
These questions dominated the theology schools of Paris, Oxford and the
provinces of the orders of friars from about +.so onwards, and even after two
generations of debate, which somewhat exhausted original thinking on them,
they remained the standard diet of academic theological exercises up to the six-
teenth century. In the process of arguing the questions, the role of the theo-
logian signicantly altered: whereas thirteenth-century theologians, including
Aquinas, proposed to lay a solid, logically unassailable intellectual ground for
the Christian faith, on which sound pastoral or missionary work, or specula-
tive mystical thought, might be based, Henry of Ghent, Duns Scotus and Peter
Auriol, acutely conscious of the systemic limits of human knowledge of God,
seemed to regard speculation itself as their task. Eventually, after William of
Ockhams demolition of numerous accepted abstract concepts and the anti-
intellectualism of some neo-Augustinian theologians, the logical limits of
human knowledge came to be so well established that theological speculation
began to lose credit, leaving space for neoplatonic bodies of thought like that
of John Wyclif, or more generally for various forms of mystical theology.
Logic, rst disciplining and then in eect strangling speculative theology, in this
last stage withdrew from the eld.
The harbinger of the culminating phase of speculative religious thought,
between +.so and +,.o, was the Parisian secular master Henry of Ghent
o jrrr c:++o
4
Baron (+,oo), p. +o,.
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(d. +.,,), whose great series of quodlibets and disputed questions circulated
rapidly and widely. Here under various headings he addressed himself to the
fundamental nature of being as presented to the human intellect, bringing into
juxtaposition on a general level ideas innate in the mind, like potentiality or
being, and material realities apprehended by the senses. Taking these quite
familiar notions to a new level of abstraction, he posited two wholly distinct
orders of being, the world of existences as presented to the senses, which orig-
inated in creation, and the world of essences as known innately to the mind,
which owed their origin to the procession of the divine intellect. He thus pro-
posed, but did not resolve, a series of stimulatingly indeterminate distinctions:
between the eternity of essence and the eternity of God; the abstraction of
essence and the concrete nature of individual substances; the indierence of
essence and the determinate properties of singularity and universality. His suc-
cessors and especially Duns Scotus sought to bridge the chasm he had created
between essence and existence; in the form of a stark contrast between the
possible and the actual worlds, it would provoke theologians of the fourteenth
century to explore the logical limits of Gods omnipotence. The increasing
sense of tension between Gods overwhelming power and human contingency
was not, however, conned to the schools, as much devotional literature of the
fourteenth century shows. Henry merely stated in the language of logic, and
theologians after him tried to resolve, questions which had come to dominate
religious thinking at several levels of sophistication.
Henry of Ghents formulation of these questions provided a text for the
leading theologians who followed him, most notably and inuentially, of
course, John Duns Scotus, the Oxford-trained Franciscan theologian who also
taught in Paris and Cologne in the decade of activity before his early death in
+,os. Scotus sought to bridge the disjunction of essences and existences
posited by his predecessor with the notion of being as such, ens in quantum ens,
as the object of knowledge. Human knowledge of God was limited: there was
a distinction between theologia nostra, God as conceived by man, and theologia
Dei, God as he really was. Aware then of the limits of human reason in appre-
hending God, but following Augustine and Anselm who believed that they
laboured meritoriously in trying to understand what they believed,
5
he
attempted to grasp something of the nature of Gods freedom of the will
through the notion of human free will. Human will was free in regard to oppo-
site acts, to burn or not to burn for instance, tending to opposite objects and
producing opposite eects. Mutable in itself and therefore imperfect, it nev-
ertheless carried a vestige of the divine will in its character as an active potency
Currents of religious thought and expression +
5
Augustinus et Anselmus crediderunt se meritorie laborare ut intelligerent quod crediderunt. John
Duns Scotus, Ordinatio II d. +. q. ,, cited by Wolter (+,so), p. .
Cambridge Histories Online Cambridge University Press, 2008
or a causal principle, a principle of creativity. But the human will is subject to
rational and natural inclinations, to love what is good for its own sake; and such
love is perfected by Gods gratuitous grace, making the well-ordered will truly
and innately free. Gods perfect freedom of will lacks human mutability, having
instead the W rmitas or steadfast will which is the perfection of its rational
inclinations; it is thus both perfectly determined and perfectly free. Like crea-
tion itself, the incarnation of Christ is an absolutely free act of Gods love,
independent of human causality; it could not be merely a consequential
remedy for original sin. Scotus defended the Franciscan doctrine of the
immaculate conception of Mary by the priority of the incarnation to any
human action, which placed her relationship with Christ, her motherhood,
outside the inheritance of Adams sin.
Among a wealth of perceptions characteristic of Scotuss thought, includ-
ing univocity, the being-ness of beings, and haecceitas, their this-ness itself a
development of the Franciscan preference for arguing that things were know-
able in their irreducible singularity, which he defended emphatically the idea
of the freedom of the human will as a perfection sharing in Gods perfect
freedom was perhaps the most potent religious idea. Like much of his thought,
it was rooted in Franciscan theology and spirituality with its strong and con-
crete sense of the individual, its concentration on the notion of divine and
human will perfected in charity or love, and its interpretation of theology as a
practical rather than a speculative science; for Scotus, theology was the science
of freedom and its perfection in charity, as distinct from philosophy, the
science of nature, the realm of cause and necessary eect. His achievement
was to reinterpret them in the light of Henry of Ghents renement of the
notions of actual and possible being and of what was free and what necessary
to God, giving them the intellectual coherence and strength to endure, even to
absorb the eects of the new logic of the fourteenth century. Had he lived
longer, he might have emerged from the disciplined professionalism of his
theological teaching. There are some signs even in his most technical works
that his analysis of the nature of God rested on a contemplative vision: in the
prayer to God with which he closed his late tract De Primo Principio, he invoked
Gods formal qualities rst in the language of the schools, and then in more
mystical terms communicating the rays of your goodness most liberally, you
are boundless good, to whom as the most lovable thing of all every single being
in its own way comes back to you as its ultimate end.
6
In the republic of academic theology, the solutions of Scotus to these
. jrrr c:++o
6
Tu bonus sine termino, bonitatis tuae radios liberalissime communicans, ad quem amabilissimum
singula suo modo recurrunt ut ad ultimum suum nem. Scotus, De Primo Principio, p. +, cited by
Wolter (+,so), p. s.
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current questions were discussed, modied and developed by numerous
independent thinkers; Scotism never achieved more than a modest degree of
coherence as a body of doctrine. They were most eective in maintaining a
measure of human freedom and individuality in the many discordant
responses to the question of Gods omnipotence in relation to creatures and
to the laws of nature, a question which involved the moral problem of Gods
gratuitous grace and human merit. These questions presented themselves rst
and most sharply to theologians, but in some form they concerned a far wider
body of believers: laymen and old women, according to William of Ockham,
badgered theologians on questions of contingency and free will,
7
and they
were in the mind of the author of the English religious poem Pearl. A further
stage in dening them was reached shortly after Scotuss death with the eort
of largely English logicians and theologians to simplify the terms of theolog-
ical debate and subject them to a more rigorous logic; this task was primarily,
though not exclusively, undertaken by William of Ockham, another Franciscan
theologian, shortly before and after +,.o. The use of terminist logic, the
analysis of the properties of terms, and the introduction of the measure lan-
guage of physics, concentrated attention on epistemological questions such as
the limits of human knowledge of God and of the truths of faith; and with
every new application of modern logic, the agreed body of theological
propositions open to logical demonstration diminished, leaving a theology
increasingly divorced from the natural order and saved from indeterminacy
only by accepted Christian doctrine. By the +,.os, rst in Oxford and soon also
in Paris, where English logic was increasingly fashionable, the metaphysical
issues which had concerned Scotus, like essence and existence, were in retreat.
Nevertheless theology, in the middle third of the fourteenth century, did not
lose sight of the great religious issues which Henry of Ghent and his contem-
poraries had claried. In the hands of Franciscan theologians like Adam
Woodham, Austin friars such as Gregory of Rimini or secular masters such as
Thomas Bradwardine and Richard Fitzralph, debate focused on two main,
interrelated issues: how divine foreknowledge could be reconciled with future
contingents, events determined by human will, and how Gods gratuitous
grace, uncaused by any human agency, could be related to the meritorious acts
of man without undermining the notion of free will. The necessity of retain-
ing a place for human choice in a theology dominated by the idea of Gods
omnipotence brought some theologians to adopt semi-Pelagian views, justi-
fying the ecacy of human merit for salvation, such as Adam Woodham or
the Parisian theologian John of Mirecourt. But the tide of opinion was owing
Currents of religious thought and expression ,
7
William of Ockham, Contra Benedictum, iii, Opera Politica iii, p. .,+.
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strongly in the opposite direction, and the statement of such views merely
provoked their Augustinian opponents to condemn opinions which were no
longer seen as mere academic dierences, but as challenges to faith itself. The
defenders of human participation in the task of salvation were, to
Bradwardine, ingrates and enemies of grace, and their appeal to reason and
experience in justication of free will was a form of derangement.
8
Though in
his great defence of the doctrine of predestination, De Causa Dei contra
Pelagianos, published in +,, he attempted to reconcile his view that every
event happens of necessity with at least the form of human free will, his deep
conviction that Gods grace was utterly gratuitous and that it caused, rather
than responded to, meritorious acts broke out from the restraints of an acad-
emic issue.
In the wake of Gregory of Rimini and Thomas Bradwardine the theo-
logians of the second half of the century, Hugolinus of Orvieto and
Dionysius of Montina in Paris and John Wyclif in Oxford generally main-
tained a predestinarian view of grace and salvation. The gradual reformulation
of the question as one of individual justication reveals something of its reli-
gious signicance. It was discussed by theologians who were themselves, or
were close to, preachers and confessors involved in the pastoral work of the
Church. The revival of biblical scholarship and its constant application in
preaching, missionary work, the reformulation of doctrinal points through dis-
cussion with theologians of the separated Churches of eastern Christianity,
and the practice of confession broadened the scope of their thought, as the
vast range of non-philosophical and non-theological authorities cited by
Bradwardine goes to show. He and his contemporaries, acutely aware of the
constant human decisions which men of the world to whom many of them
were confessors had to make, seem to have seen the doctrine of Gods gra-
tuitous grace and predestination of the saved as a source of consolation and
steadfast faith, not of despair. For Bradwardine, the realisation of this truth
was almost a religious revelation, a mountain of inaccessible truth;
9
and in
varying degrees, theologians were beginning to recoil from useless specula-
tion and to take refuge in what they regarded as solid or simple verities.
Bradwardines Oxford contemporary Richard Fitzralph contrasted the light of
scripture with his earlier theological speculations, as vain as the frogs and
toads croaking in his native Irish bog: a perspective which Wyclif also shared.
At the end of the century the Parisian theologian Jean Gerson would condemn
the questions discussed in the schools as useless, fruitless and insubstantial.
These opinions were not entirely fair to the debates in Paris, Oxford and many
jrrr c:++o
8
Bradwardine, De Causa Dei contra Pelagianos, p. ,o,.
9
Ipse me deduces in montem huius inaccessibilis veritatis. Ibid., p. sos.
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of the theological faculties in the new universities of the empire, where the
limits of the possible universe and Gods omnipotence continued to be
explored with truly remarkable freedom; but they accorded with the outward-
looking, pastoral aspect of theologians work, and were echoed in the awak-
ening interest in religious questions of the world outside the universities.
This common rejection of the speculations of earlier theologians has come
to be seen, by historians of medieval thought and by students of the early
humanists alike, as clear evidence of the decline of scholasticism, the sup-
posed system of thought of the thirteenth- and fourteenth-century uni-
versities. In the light of the impressive though extremely various intelligence
of many religious writers of the century after +,o, however, such an inter-
pretation seems doubtful. It is, rather, the eect of a general shift of interest
in religious questions towards the moral perspective of the individual, bring-
ing into focus questions of personal justication and salvation and, more
broadly, questions of conscience. It would be a mistake to exaggerate the
abstraction or unworldliness of even the most remote philosophers of the
early fourteenth century; and in the following generations the concerns of a
wider world would come to the fore. At the hands of the educated men of the
world, active clergy or laity who concentrated on these questions, the unchang-
ing philosophical problems of theology, the problems brought to light by the
application of rigorous logic to religious truths, gave ground to historical and
ecclesiological speculations on the stages of the Christian dispensation, the
origin, destiny and constitution of the community of the faithful, and the char-
acter of public religious cult and personal devotion. At the beginning of the
fourteenth century, numerous accounts of Christian history and eschatology
were widely current. Many Franciscans, notably St Bonaventure, had seen
the appearance of St Francis as a work of divine mercy, restoring the virtue
of the primitive Church and, in some eyes, preparing for the imminent end of
the world; and Peter John Olivi, the champion of rigorous Franciscan poverty,
had developed this notion in the light of the theories of Joachim of Fiore into
an account of Christian history in seven ages, ending with the nal age of the
spirit ushered in by the conversion of the whole world by the friars. An alter-
native Joachite view was that of the visionary Fra Dolcino, who was burnt in
+,oo, dividing history into four states on the basis of the Apocalypse. These
views appealed primarily to fanatics on the fringes of the educated world; but
for Dante, who was much more widely read, the decline of ancient virtue, of
the rational principles of Roman law and of the pure religion of the Apostles
was part of a providential pattern of history, which would be reversed in an
imminent renovatio mundi when true Roman rule would be restored.
These accounts of pagan and Christian history circulated among a
European laity and clergy increasingly aware of the spatial as well as the
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temporal frontiers of the Christian world. Much had happened in the
thirteenth century to bring into focus not only the world of Islam, but the
Mongol empire and the remote civilisations of the far east. The translation of
Muslim and Jewish philosophical works, familiar to most theologians, had
shown that not all wisdom had been transmitted through the Latin or even the
Greek fathers; and the rst missionaries to reach the Mongol khans and make
contact with the network of Nestorian Christians in central Asia oered some
hope, in their reports, of immeasurably widening the frontiers of Christendom.
Among scholars who hoped to bring Muslims to accept Christianity by rea-
soning, the Majorcan Ramon Lull, a Franciscan tertiary, was perhaps the most
inuential with his various arts or guides to the conversion of non-Christians;
his knowledge of Islam and of Muslim philosophy, as well as of the Jewish
intellectual tradition, encouraged him to found his eorts on the common
ground of the three monotheistic religions. His projects for teaching oriental
languages were adopted by the Council of Vienne in +,+., and his plans for a
crusade, together with his reections on conversion, had some inuence in the
milieu of the French court. Here for the rest of the century educated laymen
with some knowledge of the Orient, like the Venetian merchant Marino Sanudo
Torsello or the knight and publicist Philippe de Mzires, tried to re crusad-
ing enthusiasm with intelligence and specic information. Knowledge of non-
Christian cultures was widespread, if limited, in the fourteenth century, and the
discussion of points of doctrine in which the papal curia engaged with various
Armenian prelates between +,.o and +,o resulted in the work of Richard
Fitzralph, De Questionibus Armenorum, which considered several aspects of doc-
trine outside the framework of the schools. The question of the salvation of
heathen peoples, including those who had lived before the Christian era and
unbaptised infants, was raised by the Oxford theologian John Uthred of
Boldon and had some currency in the later part of the century. By ++,
although Christian missions in the east had diminished and Islam was in the
ascendant in the Balkans, the intellectual frontier of Christendom had notably
expanded, and awareness of other religious traditions was widespread. The
groundwork for the heroic, if ultimately doomed, attempt to reunite
Christendom at the Council of Florence in +,s, had already been laid.
These lines of thought, modifying abstract philosophical speculation, had
been stimulated largely by external circumstance. They were further modied
by events within the Christian west. In +,o. Philip IV of France brought his
quarrel with Boniface VIII to a head with a violent outrage on the popes
person at Anagni. The drama of the event provoked urgent thought on
the nature of ecclesiastical authority and of the Church as a corporate
body: the theologian John of Paris, who analysed the Church as a community,
and the varying views of the canonists John Monachus and Guillaume Durand
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the younger, who applied the same principles to the Roman curia and to the
body of bishops, looked to natural law and Aristotle to provide a general solu-
tion; and papal apologists such as Augustinus Triumphus of Ancona shared
their opponents approach. But by the +,.os and +,,os, when John XXIIs
assault on the Franciscan claim to a unique place in the Christian dispensation
caused dissident friars to speculate on the problem of an heretical pope,
William of Ockham, exiled at the court of Emperor Lewis at Munich,
redened the question as one for the individual conscience of theologians or
others in places of responsibility, whose duty it was to question and ultimately
to judge public authority. Ockhams perspective was shared by the protagonists
of the controversy over the nature of dominion launched by Richard Fitzralph
at the curia in +,o: originally fuelled by his objections, as archbishop of
Armagh, to the interference of the friars in his clergys pastoral work, it devel-
oped into a critique of their claims to poverty and practice of mendicancy, and
then into speculation on the nature of ecclesiastical dominion, in which the
thesis was propounded both by Fitzralph and some of his opponents that legit-
imate dominion depended on its possessor being in a state of grace, and was
therefore, for practical purposes, exposed to the subjective judgement of con-
science. Proponents of these ideas could be found both at Paris and at the new
university of Prague; but their most eloquent advocate was the theologian John
Wyclif at Oxford in the +,-os. Originally a supporter of Fitzralphs friar critics,
Wyclif took further than his contemporaries the notion of personal con-
science and judgement in his great tract De Civili Dominio (+,--); nding the
only earthly expression of the eternal ideas inherent in God in the word of
scripture, he left its specic meaning to the interior judgement of its readers.
The immediate reaction to Wyclif s opinions on authority, which he
extended into a wide-ranging rejection of both ecclesiastical hierarchy and
popular religious practices, including the cult of the Eucharist, was hostile.
Nevertheless his ideas found favour in varying degrees among numerous
Oxford masters and some of the bien-pensant opinion of the English court,
among whom plans for the disendowment of the Church circulated; a group
of his followers executed, in semi-secrecy, an ambitious project of evangelisa-
tion which included a scholarly translation of the Bible into English, a body of
model English sermons and texts and a campaign of preaching tours designed
to bring the authority of bishops and priests into question. Their independent
stance was echoed elsewhere in Europe. In Paris, reforming university masters
like Pierre dAilly, Gerson and Nicholas de Clamanges gave only qualied
support to Benedict XIII, the Avignonese claimant to the papacy; in Rome, the
papal secretary Dietrich of Niem was even less enthusiastic about the Roman
or eventually the Pisan claimants; and in Prague a succession of reformers, cul-
minating in Dr Jan Hus, took up Wyclif s call to action and challenged the
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authority of the Church. Though the Bohemian schism which followed falls
outside the present chapter, the opinions from which it sprang were wide-
spread, and were reinforced by the schism in the papacy and the consequent
necessity for a personal judgement on authority. The crisis imposed even on
bishops and secular princes who prided themselves on their orthodoxy the
obligation to make their own judgement; contemporary canonists such as
Antonio de Butrio came to their rescue with the idea of epieikeia or necessity
obliging private conscience. Public issues, when the Council of Constance
opened in ++, had moved rmly into the arena of the forum internum or indi-
vidual judgement.
The recourse to conscience opened up to those who stand in activity by
outward form of living a logic of internal spirituality, a personal path to
justication and grace; and by the closing years of the fourteenth century the
idea of the spiritual development of the viator, the pilgrim through life, had
taken sucient shape to allow for a specic literature of contemplation. The
practitioners of the art, themselves often members of religious orders,
addressed their work, which was often written in a vernacular language, to
nuns, anchoresses or, increasingly, to the laity. In the hands of Meister Eckhart,
Catherine of Siena and Walter Hilton the literature of contemplation reached
new levels of insight and perception, and taken as a whole remains one of the
most original achievements of the fourteenth century.
The art or practice of contemplation did not, of course, originate in this
period. Its origin, in the western tradition, lay in the Augustinian idea that the
love of God was the basis of understanding, and in its division by the pseudo-
Dionysius into purgative, illuminative and unitive phases; germinating in the
solitude idealised by monks and anchorites, and taking form from the prayers
and meditations of St Anselm, it had reached explicit expression in the monas-
tic school of St Victor in twelfth-century Paris. Hugh of St Victor may well
have been the rst to give the term its rst distinct religious meaning, and
seems also to have sketched out the stages by which the pilgrim mounts to
God. The idea of a journey of the soul towards God had been elaborated by
his successor Richard of St Victor, for whom the love and knowledge of God
were ultimately identical and, since he did not distinguish natural under-
standing from mystical knowledge of God, theology and contemplation were
in essence the same. His speculative mysticism was the basis of the intellec-
tual approach taken by the Rhineland mystical writers of the fourteenth
century to the contemplative experiences of the nuns and beguines under their
direction. A century after Richard, the Franciscan theologian Bonaventure had
dened the object of contemplation more specically, by focusing it on the
incarnation and passion of Christ, aspects of his humanity on which
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Franciscan devotion turned. By making it a subject of the spiritual direction
which the friars were developing, he broadened its appeal beyond the monas-
tic world of the Victorines, and opened it to communities of nuns and
anchoresses who were bound by a less formal rule; the purgative, illuminative
and unitive stages of contemplation which, following the pseudo-Dionysius,
he made its framework, marked out what was beginning to be at once a more
widely popular and a more deeply individual way of spiritual progress.
At the same time, perhaps under the inuence of the friars, loose religious
communities or confraternities, whose distinctive mark was devotion to the life
and passion of Christ, were springing up especially in the towns of Italy and
the Rhineland. Women were prominent among them, particularly in Germany
and the Low Countries, and in many of their surviving utterances the language
of secular love poetry is adapted to contemplation: this brautmystik or bridal
imagery was characteristic of the poetry of the Dutch contemplative
Hadewijch of Antwerp, whose note of ecstatic union with God seems to show
that her idea of the return of fallen man to his creator by means of love was
derived from her own religious experience, though possibly given form,
through the friars, by the literary tradition of the Victorines. Guided by spiri-
tual directors though she and her contemporaries probably were, their religious
experiences were certainly not mere literary devices in the autobiographical
writings, letters and notes which many of them composed, and testify to a
widespread and autonomous movement. Occasionally enthusiasm outran the
limits of orthodoxy among the loosely controlled communities of beguines,
beghards or agellants, and antinomian tendencies emerged from time to time
in groups like the Brethren of the Free Spirit in Germany or the Fraticelli in
Italy. In one expression of such emancipation from the pursuit of virtue, The
Mirror of Simple Souls evidently written by Marguerite Porte of Valenciennes,
who was burned in +,+o, contemplation replaced the moral life altogether.
More frequently, however, the inuence of friar directors like Henry of Halle
OP, the adviser of the contemplative Mechtilde of Magdeburg, was strong
enough to maintain the link between the teaching of the schools and spiritual-
ity. Though the religious experience of the contemplatives was authentic, it was
increasingly expressed through theological concepts, and sometimes in the
very words of their confessors or directors.
One of these spiritual directors, who clearly shared in the contemplative life
and experience of his ock, was the Dominican friar Meister Eckhart (d. +,.-),
the leading gure of the Rhineland school of spirituality. Eckhart belonged by
training and vocation to the small elite of theologians educated at Paris who
carried their Thomist interpretation of religious truth into the heartland of
Germany in sermons, guides to the spiritual life and commentaries on scripture.
Much of his work, like that of his Dominican or Franciscan contemporaries
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engaged in pastoral activity, was uncontroversial. But he went further: he
perfected an intellectualist and indeed metaphysical interpretation of the wesen-
mystik or notion of contemplative union with God, which owed something to
Aquinas, and more perhaps to the Neoplatonist inspiration of the Jewish and
Arabic philosophers whose works were known in the universities of the west.
The germ of this idea had already been expressed, though not in philosophical
language, by Hadewijch of Antwerp. It was now given a speculative gloss at the
hands of a theologian, and taught to Dominican nuns, and possibly to the laity,
in sermons and treatises. Eckhart took the earlier notion of purgation or spir-
itual stripping away on to a metaphysical plane, seeing creatures as nothingness,
seeking their very being from their return to and participation in God. Putting
aside all created things, the ground of the soul emerges as an uncreated being,
part of God himself where the divine life can take root in a human individual.
For Eckhart, the path of contemplation thus transcends the moral and sacra-
mental life, transforming its pilgrim into the noble man, one with the
Godhead. Eckharts spiritual direction therefore took the wesenmystik further
than ever before, making it a coherent process of spiritual growth, and giving
it a solid theological explanation in more or less Thomist terms. At his hands
contemplation became a distinct art, independent of the life of prayer and
moral progress for which the religious vocation had come to be formed.
In the atmosphere of controversy in which the friars moved during
Eckharts later years, it was inevitable that his teaching should come under sus-
picion of antinomian and pantheistic tendencies. He was forced to explain and
defend his position, and died at Avignon before he could clear his name; some
though not all senses in which his doctrine could be understood were con-
demed in +,.,, though Eckhart himself was spared. One feature of his writ-
ings which probably intensied opposition was their vernacular language: in
spite of the subtlety of his doctrine, his sermons and some expositions were
written in German almost the rst abstractions to appear in that language
for the Dominican nuns under his direction, and were therefore open to the
use and abuse of the laity. His brethren continued the spiritual direction of
Dominican nuns and other communities of women, giving rise to a Rhineland
school of speculative mysticism; younger colleagues of Eckhart, the preacher
Johann Tauler, Henry Suso and Henry of Nrdlingen inuenced other teach-
ers outside the order, like the Flemish Augustinian canon Jan Ruysbroeck, the
anonymous Teutonic knight who wrote the Theologia deutsch, and the Friend of
God of the Oberland, who may have been the Strasburg visionary Rulman
Merswin. They were the confessors and guides of a growing company of
largely female disciples, many of whom described visions and revelations or
wrote mystical poetry: the Dominican convents at Colmar and Tss, the
Johannites of Isle-Verte near Strasburg, and the Augustinians of Groenendael
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in Brabant were active centres of Eckharts art of contemplation. Perhaps the
most perceptive mentor of these communities was Eckharts younger confrre
Henry Suso (d. +,oo), whose life of ascetic contemplation and spiritual coun-
selling, largely at Ulm, became a model for many of them, and whose writings,
which presented the wesenmystik without the excesses attributed to Eckhart,
were very widely read. In his Horologium Sapientiae, of which there is also a
German version, he combined the determined introspection of the Rhineland
school with the simple and universally popular devotion to the Virgin and to
the Passion of Christ, which looks forward to the devotio moderna. Suso recog-
nised the individuality and variety of religious experience and the growing
body of practical literature on the subject; and he was perhaps the rst to state
explicitly that the stony path of contemplation was open to all.
It was certainly open to non-religious who did not wish to live in organised
communities with a rule: to Catherine of Siena, for instance, who about +,o-
chose to live in the world as a Dominican tertiary among a various body of dis-
ciples and associates, though she evidently had the services of Raymond of
Capua OP as her spiritual director. Both his account of her, the Leggenda
Maiora, and some of her own writings survive; among the latter, which includes
a large collection of her letters and some prayers, her Dialogo of +,--s was
particularly widely read and often translated. The absence of speculative lan-
guage in her works may not especially distinguish her from her German and
Dutch contemporaries, since the works of nuns such as Margaret Ebner and
Susos biographer Elizabeth Stgel are equally free from it: speculative mysti-
cism was the province of their mentors, theologians like Suso himself and
Eckhart. In fact Catherines theme of the souls ascent from sin through
various grades of discernment and love to eventual union with God, and the
identication of God with what is and the sinner with nothingness are stressed
in the Dialogo, the fruit perhaps of her Dominican instruction. What was more
particularly her own was her assertiveness and condent association of her
individual vision of God with the need to reform the evils of the world: like
John Wyclif, her contemporary, she identied these evils with the failure of the
clergy to give a moral lead, and more specically with the absence of the papal
court from Rome. Interior spirituality or self-knowledge must be associated
with the apostolate of the Church, and with a reformed and ordered public
religion, a theme taken up in the fteenth century. For Catherine, the recall of
lost sheep to conformity with Gods will was a work of charity, by which the
genuine life of contemplation would be known.
Catherine of Siena combined humility with the authority of holiness, an
authority which seems to have been respected even by Gregory XI when she
admonished him for residing at Avignon. It was one sign of the diusion of
spiritual leadership in the course of the century; in parallel with and in some
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ways as the result of the proliferation of theological learning, the spread of
knowledge of the art of contemplation at the hands of the friars allowed local
spiritual counsellors to emerge, to inuence a restricted clientele or even, in
time and through their disciples or writings, a larger body of devotees. One
such was Rulman Merswin (d. +,s+), the Strasburg banker whose community
at Isle-Verte had some inuence on the upper Rhine; another was Gerard
Groote. The most inuential, however was the English hermit Richard Rolle
(d. +,,), whose followers and writings gradually made him known, rst in his
native Yorkshire and then throughout England and even beyond. Though
Rolle was evidently at Oxford about +,.o and must have had some exposure
to the teaching of theologians, he had no obvious spiritual mentor, and looked
back to the monastic precedents of the twelfth century. Like the German nuns
of his own time, he described, in Latin and English, his own experiences; using
the physical analogues of heat, sweetness and harmony and the popular lan-
guage of love, he tried to convey the essence of an early spiritual crisis when
he knew the infusion and understanding of heavenly, spiritual sounds, sounds
which pertain to the song of eternal praise, and to the sweetness of unheard
melody.
10
Rolle set up his hermitage near Pickering and then at Hampole;
gradually, and not without opposition, he managed to diuse his concept of
the contemplative life, through personal contacts, sermons and guides like his
Form of Living, among his neighbours. His work bore fruit: besides disciples like
the recluse Margaret Kirkby and the nuns of Hampole, after his death the bur-
geoning Carthusian houses of northern England took up and proliferated his
works, and the circle of clerics round Thomas Arundel, archbishop of York
(+,ss,o), used them as a part of pastoral instruction to instil a habit of
domestic devotion among the laity. This was in accord with the direction taken
by Gerard Groote and Catherine of Siena, from the intense speculative mysti-
cism oered by Eckhart and the German Dominicans to nuns enclosed and
under a religious rule, to experiences which were less intellectual and more
direct, which might be achieved not only in corporate or solitary enclosure but
in the world, by the interior detachment of active laymen in what Walter Hilton
called the mixed life.
The two English spiritual writers who developed the theme of a contem-
plative life in the world, Hilton and the anonymous author of the Cloud of
Unknowing, were writing north of the Trent in the last two decades of the
fourteenth century, and evidently knew and inuenced each other. Writing in
the wake of Richard Rolle, they aimed to correct the excesses of his physical,
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10
Flagrante autem sensibiliter calore illo inestimibiliter suavi usque ad infusionem et percepcionem
soni celestis vel spiritualis, qui ad canticum pertinet laudis aeterne et suavitatem invisibilis melodie.
Rolle, Incendium Amoris, p. +s,, trans. Wolters (+,-.), p. ,,.
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rather unrestrained language, and to bring the practice of contemplation into
the sphere of approved devotional exercises. Both of them wrote their prin-
cipal works in English for disciples under religious vows, and Hilton also
counselled educated friends in Latin. The author of The Cloud, who was
perhaps a Carthusian of Beauvale, learnt from the pseudo-Dionysius and the
Victorines the idea, congenial to fourteenth-century theologians like
Bradwardine and Gregory of Rimini, of the absolute incomprehensibility of
God; and developed further than his predecessors the concept of the souls
progress through the darkness of unknowing, the emptying of the mind of
sense. Unlike Eckhart, but like Richard Rolle, he saw the contemplative life
as a process of the will culminating in the love of God, rather than an intel-
lectual progression. Walter Hilton (d. +,,o) was a Cambridge canon lawyer
who abandoned his secular life to enter the Augustinian house of canons at
Thurgarton in Nottinghamshire, after a brief and unsatisfactory experiment
with solitude. Perhaps for this reason he went further than his contempo-
raries in dening the tasks of the active and the contemplative life; he con-
ceived both, like his contemporary Coluccio Salutati, in positive terms,
advising one friend, John Thorpe, to live virtuously in the world, and another,
Adam Horsley, to become a Carthusian monk. His Scale of Perfection was
written for an anchoress, though its precepts were more widely relevant. Like
his predecessors, he distinguished three grades of contemplation, all of them
characterised as forms of burning love, though he attributed a special under-
standing to the highest grade; but he rejected the idea that it removed the
contemplative from the moral sphere or from religious obligations. In prin-
ciple contemplation and the struggle of the ordinary Christian against sin
were the same, and in various forms the contemplative life was open to all.
Hilton, like Catherine of Siena and other spiritual writers of the later four-
teenth century, extended the concept of the contemplative life from a special
vocation for individuals living under a rule to encompass, albeit less completely,
the life of the laity. Their precepts were probably most inuential among
recluses; though Julian of Norwich had evidently not read Hiltons works or the
Cloud when she wrote her Book of Showings or Revelations about +,,,, it is their
equal in penetration and learning, and she was probably formed by similar coun-
sellors; she in turn through her unrivalled clarity and simplicity of expression
powerfully inuenced others in a wider devotional world. Religious orders ded-
icated to the contemplative life ourished, particularly the Carthusian commu-
nities, whose numbers multiplied considerably in the course of the century, the
Celestines and a few houses of nuns and priests of the new Brigittine Order,
founded by the Swedish recluse and visionary St Brigit (d. +,-,). One of the
primary activities of these houses came to be the copying and dissemination of
contemplative literature, often in the vernacular, for lay devotion, and it is
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largely due to them that so many copies exist of the works of Suso, Catherine
of Siena, and other spiritual authors.
It was equally one of the tasks undertaken by the loosely organised follow-
ers of Gerard Groote in the Low Countries, who were sometimes known as
the Brethren of the Common Life; they too embraced the less exalted, intense
and speculative form of contemplation, or devotio moderna, which in a general
sense was characteristic of Catherine of Siena or Julian of Norwich. The rst
brethren grouped round Gerard Groote owed something to the example and
spirituality of Ruysbroeck at Groenendael; but Ruysbroecks De gheestelijke bru-
locht, spiritual espousals, developed a personal form of speculative mysticism
in the tradition of Eckhart which failed to inuence them. For them, as for
Groote, contemplation was the perfection of charity, a state of mind from
which pastoral work, especially preaching and spiritual counsel, stemmed.
After Grootes death in +,s, his disciple Florent Radewijns founded a house
of canons at Windesheim which served as a focus for the communities of
brethren, and eventually, either in itself or through its many daughter houses,
came to be identied with them. The greatest work of fteenth-century
spirituality, Thomas Kempiss Imitation of Christ, was written at the daughter
house of Zwolle.
Ruysbroecks work with its occasionally pantheistic phrases was sharply crit-
icised by a theologian whose spiritual counsel nevertheless was akin to, if more
intellectual than, the devotio moderna: Jean Gerson (d. +.,). It was a sign of the
maturity of the genre that Gerson, chancellor of the university of Paris and
heir of its long engagement with theological questions, should have read the
principal contributions made to spiritual writing during the century, and have
added to it himself repeatedly in his long literary career. The main body of his
work was in the pastoral eld, to which he brought not only the insights of a
theologian but the perspective of a leading churchman and, above all, the
psychological understanding of a confessor and preacher; and as a pastor, he
rmly placed the starting-point of the mystical way in humble penitence,
declaring, in his French tract of +oo for lay use, The Mountain of Contemplation,
that it was open to any believer. Moreover he meant what he said, pouring out
a stream of homely images to express a sophisticated mystical theology: to pray
should be like a beggar going cap in hand to the Virgin, to the saints, to Christ;
the relation of love and knowledge in contemplation is like that of honey to
the honeycomb which gives it form; the love of the world is a cage which the
bird only sees when he tries to y away; knowledge by negation, which the soul
must acquire, is like watching a sculptor create a beautiful image by chiselling
material away. This last Dionysian image indicates his return to the ultimate
source of contemplative thought; at his death he was working on a com-
mentary on the mystical theology of the pseudo-Dionysius.
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Gersons reections on the work of his predecessors indicate his scholarly
sense of the achievements of the past. Indeed he may be seen as the
beneciary of both the intellectual and the spiritual inheritance of the four-
teenth century: as a pastor and writer on penitence he carried the programme
set out at the Fourth Lateran Council and initiated by the friars beyond the
pulpit, beyond the sphere of public morality into the realm of inner spiritual
life, encouraging his contemporaries in self-knowledge, prayer and hope. He
was therefore able to formulate, for the French clergy and court and eventu-
ally, through the Council of Constance, for a wider body of believers, a public
religion which accommodated the conscience and devotions of the laity within
an ordered, authoritative but responsive Church. His theology brought the
great religious issues of the fourteenth-century schools, grace, predestination
and human merit, to bear on the salvation of souls and the call of individual
conscience, and thus united theological and spiritual precepts in a coherent
body of ideas on the cure of souls, on which his practical advice ranged from
episcopal visitation to the schooling of children. In this, though much of his
thought touched on issues such as justication and Church order which would
become acute in the sixteenth century, he was a child of his time. In the course
of the fourteenth century, the formidable and now highly professionalised
bodies of theological thinking, canon law and systematic spirituality made
room for lay religious aspirations and for the lay conscience. Gerson, though
a pioneer in this process, was only one of a host of gures, lay and clerical,
whose personal religion and private conscience created the new religious land-
scape of the fteenth century.
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cn:r+rr
THE UNIVERSITIES
Jacques Verger
+nr ti\rrsi+ r+\ork
:i+notcn there were still relatively few universities in western Europe in the
fourteenth century, they occupied an unchallenged and powerful position in
the development and diusion of learning. The major centres of the university
network remained the oldest universities, which had been founded at the
beginning of the thirteenth century at Bologna, Paris and Oxford. Their pres-
tige was unrivalled, and they attracted the largest numbers of students. They
were both bench-marks for teaching standards and models for the institutional
framework of newer foundations.
A dozen other universities appeared in the course of the thirteenth century,
but their inuence was much smaller. Although some, such as Cambridge or
the faculty of medicine at Montpellier, were almost as old as those already
mentioned, others were more recent foundations, dating above all from the
+.os and +.oos, amongst them Padua in Italy, Toulouse in France and
Salamanca in Spain. Others (such as Lisbon, Lrida and the law faculty at
Montpellier) dated from the very last years of the thirteenth century, and her-
alded the new foundations of the fourteenth.
These testied to the success of the university, which was an established
institution from this date onwards. Nevertheless, the rate of foundation
remained modest. In some cases, this was simply done by papal conrmation
of the status of studium generale in schools which had already operated on a uni-
versity level for varying periods of time: this happened, for example, to the law
school at Orlans (+,oo), whose privileges were extended to those at Angers in
+,o, as well as for the studium of Valladolid (+,o) in Castile. Elsewhere, there
were genuinely new foundations. Here, civil or ecclesiastical initiative was
almost always crucial; henceforth, this increasingly replaced regroupings by
university masters and their students in the quest for communal autonomy.
Success was variable. In some places, above all where there were already
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schools of some importance, the studium generale developed, although at
dierent speeds. But elsewhere, notably when the ruler arbitrarily insisted upon
a site where there was no scholarly tradition, the planned university either never
saw the light of day or collapsed rapidly.
These new foundations continued, especially in southern Europe, until the
beginning of the Great Schism (+,-s). In Italy, the universities of Rome (the
studium Urbis, distinct from the studium Curiae, +,o,), Perugia (+,os), Pisa (+,,),
Florence (+,,) and Pavia (+,o+) were established by papal bull conrming ini-
tiatives taken by municipal authorities or (at Pavia) by the duke of Milan. But
there were also a large number of unsuccessful attempts to transform urban
schools for the study of grammar and law into studia generalia by means of a
papal or an imperial bull. This was the case at Treviso (+,+s), Verona (+,,,),
Cividale del Friuli (+,,), Arezzo (+,), Siena (+,-), Lucca (+,o,) and Orvieto
(+,-s). Similarly, although the long-established schools of medicine at Salerno
remained active, it proved impossible to transform them into a true university
in the course of the Middle Ages. In southern France, the university of
Avignon emerged as a result of the combined eorts of the count of Provence
and the pope (+,o,). In +,,., the consuls of Cahors obtained permission from
their compatriot, Pope John XXII, to found a small university in his native
town. On a still smaller scale was the foundation of the university of Orange
by the Emperor Charles IV in +,o, at the behest of both town and ruler. As
for the university set up in Grenoble in +,,, at the request of the dauphin, it
disappeared after a few years. Finally, in the Iberian peninsula, when there were
disturbances at the Portuguese university of Lisbon, it was temporarily trans-
ferred to Coimbra (+,os,, and +,--). The kings of Aragon (who had
already established the university of Lrida in the county of Catalonia in +,oo)
founded small universities in the two other parts of their kingdom, Roussillon
and Aragon, at Perpignan (+,o) and Huesca (+,).
All these universities were founded in areas where Roman law prevailed, and
they were chiey concerned with the study of law. Their statutes were based
on those of Bologna, modied according to local context. University founda-
tions in northern and central Europe were much less common before +,-s.
The reasons for this delay are undoubtedly to be sought in the relative social
and political archaism of these regions and the slow development of towns.
Of course there had been German, Polish and Hungarian students since the
thirteenth century, but they all went to study at Paris and Bologna. These indi-
viduals were often wealthy nobles, who had no particular interest in encour-
aging native universities in their own lands, which would greatly have improved
access to university education. Nevertheless, in +,-s, Emperor Charles IV,
a ruler with a passionate interest in French culture, decided to create, with the
help of the pope, an entirely new university at Prague, comprising eleven
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Map Universities active in
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Map . University foundations, +,oo+oo
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Map , Universities active in +oo
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faculties on the Paris model; the rst decades were fairly dicult, however. Still
more arduous were the attempts of neighbouring rulers, who wanted to
imitate Charles IV. In +,o, Duke Rudolf IV of Habsburg founded a university
at Vienna, but it languished totally until the +,sos. The universities of Cracow
(+,o) and Pest (+,o-) founded by the kings of Poland and Hungary were even
less successful and disappeared very quickly, casualties partly of unfavourable
circumstances and partly of the absence of continued royal support.
This all changed after +,-s, as a result of the Schism. While the university
of Paris remained loyal to the pope at Avignon, the German towns and princes,
together with the sovereigns of central Europe, declared their support for the
pope at Rome. The crisis of the Schism reinforced the sense of national iden-
tity in these relatively young states; it made their rulers still more determined
to control the training of their clergy and ocials and to provide it in their own
lands. The masters of the Anglo-German nation were in a dicult position
at Paris, and they listened readily to the appeals of their fellow-countrymen. It
was to a considerable extent thanks to these men that the universities of Prague
and Vienna were reinvigorated (with the arrival in +,s, of the famous Parisian
theologian, Henry of Langenstein) and those of Erfurt (+,-,s,), Heidelberg
(+,s) and Cologne (+,ss) were founded. Although the new Hungarian uni-
versity foundation at Buda in +,s, was little more successful than the previous
one, the reopening of Cracow university (+,,-+oo) as a result of the initia-
tive of King ( Jogaila) Ladislas Jagellon, saw the dawn of what was to become
one of the principal centres of European culture in central Europe in the
fteenth and sixteenth centuries. All these new universities in northern Europe
modelled themselves more or less on Paris, where many of their rst masters
had been trained; they adopted both the institutional framework of the uni-
versity at Paris (with its rector, faculties and four nations) and its intellectual
focus, teaching above all the liberal arts and theology. In southern Europe, by
contrast, foundations ceased. The only exception is the foundation of the new
university of Ferrara in +,,+, for which the marquis of Este obtained a papal
bull from Rome; but it was not really active until after +,o.
No picture of the universities of western Europe in the fourteenth century
would be complete without some mention of the expansion of some old
foundations by the addition of new faculties, in particular faculties of theol-
ogy. The papacy was very vigilant on this point. Originally, its policy had been
to impose a strict limit on the number of faculties of theology entitled to
bestow the prestigious title of doctor of sacred theology (doctor in sacra pagina),
restricting this to a few centres of excellence, whose inuence was incontest-
able and orthodoxy guaranteed. In practice, since Cambridge was still a minor
university, this meant that Oxford (whose students came almost entirely from
within the British Isles) and, above all, Paris had a monopoly of theological
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teaching at the highest level, although it was understood that the pope always
retained the right to grant doctorates by papal bull, either directly or by means
of the studium Curiae.
The situation changed in the mid-fourteenth century. Paris and Oxford were
torn apart by quarrels over doctrine which weakened their claims to a monop-
oly. There was a whole range of local and national pressures for universities to
be complete in themselves, each with the full range of faculties. The papacy
thus adopted a new policy, whereby theological teaching was not concentrated
in particular centres. Prague had had a theological faculty since its inception.
After +,oo, such faculties proliferated, especially in southern universities,
where there was admittedly a general readiness to elevate local, mendicant
studia to the status of university faculty with the right to grant degrees. The
popes thus established a theology faculty at Toulouse and at Bologna from
+,oo onwards, at Padua in +,o,, Pavia in +,o,, Salamanca in +,,o and Lisbon
in +oo. During the Schism, the pope at Rome, who had no reason to have any-
thing to do with Paris, followed a similar line in the new German universities
(Vienna, Heidelberg, Cologne, Erfurt) and at Cracow; the rst regents were
often masters trained in a secular discipline at Paris.
Finally, we need to remember that the network of the studia generalia only
represented the upper level of a whole range of educational institutions
which probably expanded in the course of the fourteenth century. This is
not the place to discuss domestic and professional apprenticeship, undoubt-
edly the most common form of education at the period. Nor can we examine
the private tutoring found amongst the aristocracy and some bourgeois families.
But there were undoubtedly also schools that were not universities. In towns
and even certain rural settlements, small grammar schools, nanced privately
or by the municipality, taught the rudiments of education to children and ado-
lescents. Of course there were also parish schools and others endowed by reli-
gious foundations. Cathedrals and some collegiate foundations still had active
chapter schools, indeed some were boarding schools. In some cases, the level
was comparable with that of some faculties of arts. Still closer to the university
model were the innumerable studia (of the arts, philosophy, biblical studies and
theology) run by the orders of friars for the use of their own members
throughout Christendom.
These institutions as yet relatively little studied, except schools in England
will not be examined in detail in this chapter. We know little about their
organisation, the origins of their masters (some were master of arts), the
numbers of students or the content of their teaching. Nevertheless, it is very
likely that all these institutions, and in particular the urban schools, became
more numerous in the course of the fourteenth century. Such schools pro-
vided future university students (notably future civil lawyers who frequently
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went straight to a faculty of law without any training in an arts faculty) with an
essential foundation in Latin and logic. Even for those who did not go on to
further education, they at least transmitted in simplied form some echo
of the scholarly education developed in the universities. In short, the trend
towards new university foundations in the fourteenth century seems to have
been sustained by a generally increased demand for education in a much
broader context.
is+i+t+io:i s+:riiis:+io
The university was a stable institution in the fourteenth century, fully recog-
nised by the dierent actors on the political and social stage and accepted as an
integral part of the mechanisms of law and government. University autonomy
had sometimes been the focus of great conict in the thirteenth century, but
after that it was not challenged. The foundation documents (Habita of ++s,
Parens scientarum of +.,+) to which everyone referred were amplied in each
university by a multitude of privileges and conrmations issued by the ruler or
by the pope, who controlled the actual working of the scholarly community
(libertas scholastica). Fiscal exemption and judicial immunity, independent organ-
isation of teaching and examinations, internal control of doctrinal orthodoxy,
control of the production and sale of university books were rights that had
gradually been acquired or formally granted everywhere.
Naturally, there was no reduction in the tensions between the student
population a mass of young, turbulent foreigners and the inhabitants and
authorities of university towns, who quickly lost patience with their lawless-
ness and arrogance. Spectacular conicts between town and gown punctu-
ated the history of fourteenth-century universities with brawls, murders,
expulsion and voluntary exile. At Bologna in +,.+, Toulouse in +,,., Oxford
in +,, Orlans in +,s. and +,s-, the scenario was always identical: a chance
brawl, speedy intervention by the local authorities under pressure from the
population at large, a response from the university supportive of the students
and characterised by a strike or secession, with order nally restored through
the intervention of higher authorities, largely sympathetic to the universities.
As a result, not only was there no further challenge to university autonomy, but
the privileges of masters and students were generally conrmed and strength-
ened by such incidents. At Oxford, they ended by exercising a kind of tutelage
over the town.
There was also very considerable economic support for the universities
from secular and ecclesiastical institutions in the fourteenth century. This not
only facilitated the development of the universities but also aected the way in
which their members lived, and it raised their social status. As a result of the
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ever-increasing number of papal reservations and provisions, the papacy had
a constantly growing number of ecclesiastical beneces at its disposal and
distributed them with tireless generosity to masters and students, accompanied
by dispensations from residence. Income from such beneces was a regular
source of subsistence for many. Towns and rulers also sometimes made
contributions towards the living expenses of some students, but most impor-
tantly they began to assume responsibility for the salaries of teachers. The ear-
liest examples go back to the thirteenth century but, generally, masters who did
not have access to ecclesiastical revenues at this period were subject to the
hazards of student fees (collectae). The earliest recorded instance of a salary paid
by a municipal authority to a teacher of law comes from Bologna in +.-,. This
system became widespread after +,.o, when it became standard practice in all
Italian universities, as well as in the Iberian peninsula. In the latter case, teach-
ing salaries were assigned on the ecclesiastical revenues (tercias) traditionally
granted to the king. At Paris and Oxford, on the other hand, where the clerical
character of the university remained much more distinct, the regents contin-
ued to live from the revenues of ecclesiastical beneces. In any case, the
increasingly high level of fees (collectae) and examination dues paid by students,
often matched by private legal and medical consultations, remained important
sources of additional revenue everywhere.
The generosity of authorities and eminent individuals towards the uni-
versities was displayed even more through the foundation of colleges in the
fourteenth century. This, too, was a phenomenon which had rst appeared in
the thirteenth century, but was fully developed in the next. The rst colleges
were small religious foundations designed to lodge a few poor students and the
earliest date from before +.oo, but establishments of some importance
appeared after +.o, such as those at Paris (Sorbonne, +.-), Oxford (Merton,
+.o; University College, +.so; Balliol, +.s.) and Cambridge (Peterhouse,
+.s). These were not only lodgings but also (as a result of the careful recruit-
ment of fellows (socii ), the presence of a library and a teaching organisation
that complemented that of the faculties) real centres of intellectual life. The
phenomenon expanded enormously in the fourteenth century: thirty-seven
colleges, many of them tiny, were founded at Paris; ve and seven were
founded at Oxford and Cambridge respectively, but they were considerably
more substantial. The institution even won acceptance in southern universities,
with seven colleges founded in Toulouse in the fourteenth century, four at
Montpellier and four at Bologna, including the prestigious Spanish College
(+,o-).
College founders were sometimes high-ranking ecclesiastics (pope, cardi-
nals, bishops, canons of chapters), sometimes rulers (witness the College of
Navarre founded by the queen of France at Paris in +,o, Kings Hall at
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Cambridge, The Queens College in Oxford) and sometimes important royal
ocials. Merchants and citizens showed much less interest in these institu-
tions, which were of very little use to their cultural and religious preoccupa-
tions, and did not serve their political aims.
Although the social position of the universities was strengthened in the
fourteenth century, there was no change in their essential structures. The two
main institutional types which had appeared in the thirteenth century the
Parisian university of masters and the university of students of Bologna
remained classic models for reference, with all their essential cogs (chancel-
lors, rectors, faculties, nations). Nevertheless, the fourteenth century was
the great period of university statutes. The crystallisation of university
institutions meant that henceforth detailed statutes could be drawn up, and
they were much more specic than the general privileges or circumstantial
texts of the thirteenth century. Statutes of this kind were promulgated at
Toulouse in +,+++, at Oxford and Bologna in +,+-, at Padua in +,,+,
Montpellier in +,,,o, Paris in +,oo; Salamanca apparently had to wait until
+++. As for new universities, they had a complete corpus of statutes from
the very outset, drawn from those of an older university (Toulouse was a
model for Cahors) or, more frequently, combining features from both Paris
and Bologna.
There were also few innovations in the range of subjects studied, or in the
teaching programmes and the methods employed. The list of authorities
(Aristotle, the Sentences and so on) remained virtually immutable, while lecture
and disputation remained the two essential forms of both teaching and
examination. Should we infer from this relative lack of development in both
teaching and institutional structures that the universities were already starting
to ossify in the fourteenth century? This complex question requires a careful
reply.
The most important universities, those which attracted the great majority of
students and the most remarkable teachers (Paris and Oxford for philosophy
and theology; Bologna for law, but facing increasing competition from Padua,
Perugia, Pisa and Pavia; Montpellier, Bologna and Padua for medicine), seem
to have been characterised by remarkable intellectual energies in the fourteenth
century. The two previous chapters in this volume give some indication of the
great numbers of new doctrines and texts which were developed in a university
setting at this period. The lively debates to which they gave rise show that intel-
lectual passion and despite a few instances of ocial condemnations
considerable freedom of discussion continued to be the rule in faculties of arts
and theology.
Without repeating what has already been said, we need to remember that
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criticism of Thomist and Aristotelian thought was the central point of all
philosophical and theological debate in the fourteenth century. This criticism
was essentially Augustinian in origin and took very diverse forms. The
product of theologians (such as Duns Scotus or Ockham) who were either
Franciscans or secular clergy, it aimed to eliminate all determinist tendencies,
simultaneously acknowledging both divine omnipotence and mans agon-
ising freedom of choice: grace and free will, predestination and salvation
became the key themes of Christian anthropology and were to remain so for
a long time.
This challenge to the syntheses of the thirteenth century undoubtedly
enabled, at least indirectly, the expansion of truly philosophical and even
scientic disciplines, such as those which appeared at Oxford with the Merton
calculators and the brilliant logicians of the rst half of the century (Walter
Burley, Robert Kilvington, Richard Swineshead) and slightly later at Paris, with
Jean Buridan and Nicolas dOresme, commentators on Aristotles Physics.
The teaching of law in the rst decades of the fourteenth century was
equally dazzling. The glossators were succeeded by the commentators.
Mastering all the resources of dialectic, these writers combined a synthetic and
rational concept of law with a stronger desire to express the intangible teach-
ings of the ius commune on the concrete realities of contemporary cities and
states. In civil law, Cino da Pistoia (c. +.-o+,,o), Bartolus da Sassoferrato
(+,+-) and Baldo degli Ubaldi (+,.-+oo), who taught at Bologna, Siena,
Perugia, Pisa, Pavia, Naples and Florence; for canon law Giovanni Andrea (c.
+.-o+,s), founder of a veritable professorial dynasty at Bologna these
men all represent the zenith of medieval law which was reached at this period.
Although they were less renowned, the French schools made famous by both
the professors at Orlans and the doctors of Toulouse (doctores Tholosani ) also
produced a substantial body of works whose inspiration was close to that of
the great Italians.
Finally, this period was the golden age of the medieval faculties of medicine,
both at Padua and Bologna (where human dissection appeared under Mondino
dei Liuzzi (+.-o+,.s)), and at Montpellier. The medical faculty here saw dis-
tinguished doctors such as Arnau de Vilanova (c. +.o+,++), whose return to
Galenism reected a desire to create an essentially rational medical discipline,
but which did not, nevertheless, lose sight of its therapeutic purpose. Guy de
Chauliac (c. +,ooos), the famous author of La grande chirurgie, was another
member of the Montpellier faculty of medicine.
These brief outlines are sucient to demonstrate that the intellectual
creativity of the great universities was in no way diminished in the fourteenth
century. Moreover, it is important to emphasise that these new doctrines were
generally in profound agreement with the social and mental expectations of
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the period in a wide range of disciplines (preaching, political science, etc).
They brought their authors great rewards. Bradwardine (one of the great
Oxford calculators) became archbishop of Canterbury, Emperor Charles IV
made Bartolus da Sassoferrato his councillor and gave him permission to add
the imperial arms to his own coat. Oresme worked closely with Charles V of
France, while Guy de Chauliac was doctor to three popes. On a broader scale,
it could be said that the innovatory value of university teaching was clearly dis-
cerned by contemporaries and undoubtedly contributed to the success and
the social advancement of university studies and those who had pursued
them.
However, this intellectual brilliance should not be allowed to conceal darker
aspects. Everywhere, there were also uninspired teachers who followed tradi-
tional doctrinal teaching. These sometimes even became ocial doctrines,
such as Thomism with the Dominicans after +,o,, or Scotism (admittedly sus-
ceptible to various interpretations) amongst the Franciscans. Prudence led
other regents to a simple eclecticism.
On the other hand, the successes just mentioned took place above all in the
oldest and most important universities. In the less important universities, in
particular new foundations, there was only a distant echo of these great
debates, partly because of the inuence of largely local recruitment. Less dis-
tinguished teachers and students concerned above all to obtain the degrees
which were essential for a successful career were easily satised with an
unimaginative and undemanding curriculum. At the most, we can assume that
the prescribed courses were still fairly well respected in the fourteenth century
and that, as a result, graduate competence corresponded by and large to the
criteria laid down in the statutes.
This relatively optimistic overall picture of the education disseminated by
the universities of the period should, nevertheless, not obscure the fact that
they were unable to free themselves from the limits and constraints inherited
from previous centuries. These limits operated especially in relation to the
stress placed on authorities, the scholastic method and the narrow framework
of traditional systems of classication in academic disciplines, as well as the
social prejudices of the students (scolares). There is consequently as much
reason in the fourteenth as in the thirteenth century to deplore the stiing of
biblical exegesis by the primacy of speculative theology, the marginalisation of
sciences proper, the continued exclusion of technology, history, the classics,
vernacular literature and oriental languages (despite the canon Inter Sollicitudines
of the Council of Vienne, +,+.), as well as customary law. It is true that direct
criticism of the university system was still rare, despite the reservations of the
earliest humanists (Petrarch) and the disappointment sometimes expressed by
mystics from Master Eckhart to Gerard Groote. But no one risked a radical
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challenge to an institution whose intellectual fertility seemed far from
exhausted and whose social and political importance was more evident than
ever before.
ti\rrsi+ :r socir+
It is dicult to be exact about the composition of student populations in the
west in the fourteenth century. It has nevertheless been possible to assess the
size of particular universities. From around +,oo, Bologna had well over .,ooo
students. Elsewhere, there have been estimates above all for the end of the
century, when source material becomes somewhat richer (with the earliest
matriculation registers and rolls of papal petitions). The Black Death of +,s
and the epidemics that followed do not seem to have resulted in any lasting
reduction in numbers, because the social need was so strong. Around
+,so+oo, there were as many as ,ooo students at Paris (three-quarters of
them in the faculty of arts), with +,oo at Oxford, and well over +,ooo at Prague,
Toulouse and Avignon (the last largely because of the presence of the papacy).
But elsewhere, numbers dropped to well below this gure: oo-oo is proba-
bly a reasonable estimate for the universities of Cambridge, Montpellier,
Angers and Orlans. And the studia generalia which were still smaller (for
example, Cahors in France) had to be content with a few dozen students.
We know just as little about the composition of these groups of students.
This was self-evidently a mobile population. Geographical mobility should not
be overestimated, however. The major currents were those which brought stu-
dents from the German lands and central Europe to Italy on the one hand
(Bologna, Padua) and to Paris on the other. With much lower numbers, the
medical university at Montpellier seems to have had a very wide area of recruit-
ment. But elsewhere student mobility rarely went beyond national boundaries.
The inuence of Oxford and Cambridge extended essentially over the British
Isles, that of Salamanca and Valladolid in Castile; Lisbon and Coimbra in
Portugal. Italian students virtually never crossed the Alps, and the universities
of southern France drew their students principally from the south of the
kingdom and from neighbouring Catalonia and Aragon, where the national
universities (Lrida, Huesca, Perpignan) remained very small.
Social mobility is still more dicult to dene. Noble students (mainly from
the lower and middle nobility) are the best-documented group, but their per-
centage varied considerably. There were not many of them (fewer than per
cent) in Mediterranean regions where they were in competition with the urban
patriciate, nor in the famous arts faculties of Paris and Oxford, which seem to
have had a signicant intake with rural and relatively lowly origins. On the
other hand, it seems that they represented up to .o per cent of the students
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from the empire who were prepared to travel to France or Italy to study; the
German nation had a fairly aristocratic cast everywhere.
University education oered real opportunities for social advancement.
At least it did for those with a minimum of nance who had obtained a
degree, for in the fourteenth century there was still a signicant proportion
of students possibly the majority which undoubtedly failed to graduate.
We are largely ignorant of the destiny of these individuals. For graduates, on
the other hand, and especially for licentiates and doctors of higher faculties,
ne career prospects opened up, leading to prestigious and lucrative posts.
When one member of a family gained a university qualication, it was often
a decisive stage in their social ascent, sometimes the rst step on the road to
nobility. Nevertheless, we must be cautious in talking of the professionali-
sation of university qualications. Rather than any specic technical com-
petence, they endorsed the mastery of a relatively theoretical and socially
prestigious body of knowledge (Latin, dialectic, Aristotelian philosophy,
Roman law, scholastic theology), while at the same time, there were net-
works of useful contacts, where former graduates and benevolent pro-
tectors combined their eorts to support the promotion of their young
colleagues and protgs.
The Church was especially well disposed, substantially nancing their
studies and then opening the door to an ecclesiastical career to graduates. At
the curia, the higher echelons of the papal administration were practically con-
trolled by some forty doctors and licentiates, mainly qualied in civil or canon
law. The episcopate was also very often composed of graduates and civil
lawyers: it has been calculated that they constituted at least o per cent of the
Avignon curia and as many as -o per cent of the English episcopate in the reign
of Edward III (+,.---). It was the same with cathedral chapters: around the
middle of the century, , per cent of the canons of Laon and o per cent of
those at Tournai were graduates, of whom more than half were from a higher
faculty. These gures varied from country to country and were much higher in
northern France and in England (where it was not unusual even to nd gradu-
ates amongst the parish clergy) than in the Iberian peninsula or the empire.
Fewer than one third of the canons of German chapters had followed any
form of university study in the fourteenth century.
Service with individuals, with towns or rulers also oered an increasing
number of openings to graduates, masters of arts and, above all, law gradu-
ates. In the fourteenth century, central law courts (such as the parlement of
Paris) were in the hands of professional civil lawyers from the universities.
Even in the provinces, the middle ranks of the royal administration employed
some doctors or licentiates. The position was the same in the tribunals and
chanceries of Italian towns. And doctors of medicine who did not teach had
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no diculty in nding employment in the entourages of princes, great men
and prelates.
Fourteenth-century academics were perfectly aware of the social dignity of
their work and titles (well established from this date onwards) and gave it
visible expression. Their taste for grandeur and precedence, together with a
highly developed sense of hierarchy, inltrated every aspect of university life.
It was articulated in the continual increases in examination fees and the osten-
tatious pomp of university ceremonies. Some of the most substantial colleges
founded in the fourteenth century, such as the Collge de Navarre at Paris
(+,o), the Spanish College at Bologna (+,o-) or New College at Oxford (+,-,)
expressed this new attitude in their luxurious buildings, important libraries and
avowedly elitist recruitment.
We should not anticipate events, however. Although, as we have seen, four-
teenth-century universities still had great intellectual energies, it is important
not to exaggerate either their professionalism or their social exclusiveness.
Exceptional individual achievement, such as that of Jean Gerson at Paris or
William of Wykeham in England were evidence that university education
remained generally accessible to those with the necessary intellectual abilities.
There was still something of the universalism that had determined the shape
of these studies in the thirteenth century. Here, as in many other areas, it was
the Great Schism which divided the west in +,-s, precipitating a latent crisis.
rriioctr ti\rrsi+irs :r +nr crr:+ scnis
In one sense, the Schism undoubtedly gave new life to the old universalism.
Faced with the collapse of papal authority and the unrest of the faithful,
academics, led by Parisian theologians and canon lawyers, believed that they had
been appointed to the task, if not of assuming power in the Church themselves,
then at least of advising prelates and rulers, putting forward solutions and advo-
cating means by which the crisis might be overcome. Despite pressure from the
crown, the university of Paris took several months to rally to the Avignonese
pope, Clement VII, and there were intense discussions between ardent
Clementists and advocates of a general council and those who advocated the
resignation of both popes, possibly underpinned by a policy of neutrality or
withdrawal of obedience. The debate spread from Paris to the universities of
southern France, where there was unwavering support for the Avignonese
cause. It also spread to universities in continued obedience to Rome, such as
Oxford, Bologna, Prague and, above all, the new German universities where
Henry of Langenstein (who had gone from Paris to Vienna) had great author-
ity. While the claims of Clement VII and his supporters were rejected, there was
also insistence on the urgent need for reform and the possible advantage of a
so j:ctrs \rrcrr
Cambridge Histories Online Cambridge University Press, 2008
council. Stilled for a while, this debate was energetically resumed after +,,., in
response to the intransigence of the rival popes. In +,,s, members of the uni-
versity of Paris were largely responsible for the withdrawal of obedience of
the kingdom of France.
Within France, only the university of Toulouse opposed this move. Since it
was not followed by any other universities or rulers in the west, this premature
decision had to be rescinded in +o,. Many members of the university of Paris
greeted the restitution of obedience with relief; they sent to Avignon the long
roll of petitions (requests for papal dispensation), which they had foresworn
in +,, in order to demonstrate their reservations about the accession of
Benedict XIII. In fact, an increasing number of university members realised
that, although the need to combat the Schism was undiminished, the university
itself could only prot from the conict.
Bishops and rulers still undoubtedly sought advice from the university, but
they did not have either the nancial resources (in the form of ecclesiastical
beneces) or the guarantees of autonomy assured by the papacy before +,-s.
The division of Christendom into two rival obediences resulted, as we have
seen, in the creation of new universities and faculties; Paris in particular lost
some of its clientele and its international inuence. Recruitment there became
more regionalised (as it was in smaller or more recent universities) drawing
largely on the northern half of the kingdom of France. Everywhere, the col-
lapse of papal power left the way open for increasing pressure from secular
states and towns on universities. At Oxford, for example (despite the privileges
of immunity that had been renewed once more in +,,), the university was
unable to withstand the authoritarian interventions of the archbishop of
Canterbury and, through him, of the crown. In +++, after twenty-ve years of
vain resistance, all forms of Wyclite teaching was decisively banned on the
order of Archbishop Arundel.
Thus, like many other institutions at this period, without perhaps being fully
aware of it, the universities were irresistibly caught up in the movement which,
beneting from the Schism, placed national churches and the modern secular
state at the forefront of the political stage.
The universities s+
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cn:r+rr
RURAL SOCIETY
Paul Freedman
:s with nearly every other aspect of fourteenth-century history, the most
important event aecting the medieval countryside was the Black Death along
with the plagues that succeeded it periodically in the latter half of the century.
Viewed from the safe distance of oo years, the Black Death is usually presented
in agrarian history as a demographic-economic event: a sudden radical diminu-
tion of population that produced a series of dislocations in the structure of
medieval society. There are two contradictory ways that scholars have come to
terms with this staggering example of historical accident. The rst is to relate
all subsequent developments to the plague. The agricultural depression, peasant
revolts and ruin of much of the aristocracy can be seen as consequences of the
epidemic and its renewed visitations. To what extent long-range changes can be
ascribed to the Black Death (such things as the decline of servitude in England
and its strengthening in eastern Europe, or the crisis of the Church) remains
unclear, particularly as one moves into the fteenth century.
Another approach is to minimise the impact of the Black Death by point-
ing to other factors that independently aected society. Population decline,
agricultural stagnation and widespread peasant discontent, according to this
view, antedate +,s and so the crisis of the fourteenth century was already
manifested in its early decades. The Black Death would thus conrm or
forward developments already underway, as opposed to destroying violently a
stable economy and social structure.
These two interpretive tendencies are signicant because they inuence how
the century and its upheavals are viewed, particularly whether or not the
undoubted crisis in agrarian society of the late fourteenth century has an
organic connection with what transpired earlier (and if so, how much earlier).
Moreover, attempts to deal with the impact of the Black Death are intertwined
with dierences of opinion about the causes of the agrarian and social crisis,
particularly between those who emphasise demographic shifts as the funda-
mental origin of social change versus those who identify frictions within the
s.
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economic system that operated independently of how many peasants there
were to work or to be fed. Impersonal factors such as population decline,
caused by forces external to the economy such as disease or climate shifts, need
to be compared with factors within the medieval economic system such as
inheritance customs or the relations between peasants and their landlords.
1
r:sic rr:+trrs or +nr :cr:ri: ss+r
The agrarian economy of the Middle Ages was more diverse than was once
thought. Rather than a mass of undierentiated peasants universally dedicated
to the cultivation of wheat, the picture now seems to vary by region and time
period. Within the villages themselves peasants diered considerably in status,
size of holdings and what they owed in obligations to their lords. The textbook
model of the medieval manor as a self-contained unit with a single lord con-
trolling villagers governed by uniform manorial custom is even less valid for
the fourteenth century than for the high Middle Ages. Residents of the same
village were often tenants of dierent lords, and there were tremendous
dierences among villagers with regard to how much (if any) land they held.
Moreover, the tendency was for lords to withdraw from the active supervision
of their estates and for rents to be converted from labour and produce obliga-
tions to money, further distancing reality from the image of the self-sucient
seigniory.
The lives of the peasants were inuenced by the nature of the family unit,
customs and other solidarities inherent in the village community, and the
impress of the seigneurial regime. There was considerable regional variation,
but most European agriculturalists of the fourteenth century were subsistence
farmers who also produced for a market and to pay a seigneurial rent. The
interaction between the familys subsistence, the market for agricultural
produce, land and labour and the obligations of tenants aected the fortunes
of peasants along with the obvious fundamental considerations such as the
soils fertility and extent of their holdings.
Everywhere in Europe there were words used to describe an ideal concept
of a peasant holding. The mansus, hide, virgate, Hufe, did not usually have a
standard size in practice but conformed to a notion of what a full peasant tene-
ment meant. For most of Europe a gure of perhaps thirty to forty hectares
seems to be what was regarded as a full holding, but a much smaller parcel (as
little as four hectares) was sucient to support a family given the average
quality of the land, the tools available to peasants and their obligations to apply
their surplus to a seigneurial rent. Even before the fourteenth century, a rising
Rural society s,
1
Harvey (+,,+), p. ,.
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population, partible inheritance and the dwindling inventory of uncultivated
land meant that most peasants had to make do with a less-than-standard
holding and supplement their income by seasonal labour or the production of
some commodity other than cereals. For the high Middle Ages as a whole,
Robert Fossier believes that o to o per cent of peasants had less than the
four-hectare minimum.
2
Peasant households were generally small, essentially a conjugal family.
Better-o peasants might have a larger household including poorer relatives,
labourers and elderly parents no longer able to work. It was not uncommon
for ageing parents to arrange lifetime maintenance contracts with their chil-
dren in return for ceding to them the familial property in advance of their
decease. Because of the high rate of mortality and short life expectancy, the
number of households with three generations was not very great.
The degree to which husbands legally controlled the property of their wives
varied. In Mediterranean regions it was more likely that peasant women might
own and retain property of their own distinct from that of their husbands and
not part of their dowry. In general throughout Europe, the wife was seldom
recognised as economically independent in law, while at the same time her
exclusive rights to dower lands was generally recognised.
Husband and wife were both involved in the production of food and
income. It is common to observe that peasant men tended the elds in what is
called the outer economy while women were more concerned with the
immediate surroundings of the dwelling, the inner economy. Ploughing,
clearing land, herding were generally male activities while the tending of dairy
animals and poultry, the vegetable garden, brewing and cloth making were
womens work, along with the raising of children, providing meals and clean-
ing the house. In harvest time particularly, however, women were involved in
the elds and certain tasks (gleaning, for example) were regarded as their pecu-
liar responsibility.
3
This household economy ts into a network of relations within villages in
those areas of Europe in which settlement was relatively concentrated. The
degree to which the village exerted a signicant inuence on peasant families
diered with the human geography of European regions, but also with the
nature of relations between lords and tenants. In south-western Germany, for
example, village customs were set out in often elaborate bye-laws (Weistmer),
but these were not purely spontaneous expressions of immemorial folk habits
but resulted in part from the instigation of lords and for their convenience.
4
s r:ti rrrrr:
2
Fossier (+,ss), p. +o. See also Rsener (+,,.), pp. +.o; Agrarian History of England and Wales (+,ss),
ii. pp. ,-+; Freedman (+,,+), pp. ,os.
3
Bennett (+,s-), pp. +++-.
4
Rsener (+,,.), pp. +,oo.
Cambridge Histories Online Cambridge University Press, 2008
Historians have at times been inclined to exaggerate the solidarity of the
late-medieval village, seeing it as exemplifying the tyranny of rural custom and
conformity, or more favourably in opposition to modern anomie. More
recently the divisions within the village have been demonstrated in cases such
as that of Montaillou in Languedoc and the dierentiation among dierent
classes of villagers has been emphasised.
5
In England, manor court rolls reveal
a select group of village leaders whose relative auence gave them power over
local enforcement.
6
Throughout Europe rural communities regulated plough-
ing, common areas like pastures and forests, and the informal resolution of
disputes.
The fourteenth century witnessed considerable dislocation of both families
and communities by reason of the tremendous mortality caused by disease and
epidemic and the ensuing economic instability. One measure of a weakening
of communal bonds is increased movement of peasants from familial prop-
erty, an increase in mobility.
7
Another is the growing market in buying and
selling land. Demographic decline and economic stagnation after +,o may
have frayed the ties holding villages together, thus the accelerating land market
might indicate a stronger assertion of private interest. On the other hand, such
transactions may not indicate the dissolution of village and family ties but
merely amount to arrangements within families or between neighbours.
8
An
active market for land is not necessarily incompatible with the survival of com-
munal institutions. The dichotomy between individualism and communal
bonds is by no means clear for rural European societies.
9
Long after the end
of the fourteenth century, its upheavals notwithstanding, rural communal sen-
timent would manifest itself in continued and eective demands, especially
with regard to the chief external factor aecting peasants, the seigniory.
10
iorrs :r rr:s:+s
There were allodial farmers in fourteenth-century Europe, and many more
whose connection with a landlord was vague, or based on rights of usufruct
(such as the medieval Mediterranean adaptation of the Roman law of
emphyteusis) that gave the nominal tenant eective possession. There were
even a few areas, usually in dicult terrain such as mountains or marshes, that
were able to form independent peasant republics (such as the Swiss Forest
Cantons or Dithmarschen in Holstein). The overwhelming majority of
European agriculturalists in the fourteenth century, however, did not own their
properties in the modern sense of ownership. They worked land for which
Rural society s
5
Le Roy Ladurie (+,-o); Fossier (+,-,).
6
Raftis (+,-), pp. .+o; DeWindt (+,-.), pp. .oo+.
7
Raftis (+,-), pp. +.,s..
8
Razi (+,s+).
9
Ruiz (+,s-), pp. .,..
10
Blickle (+,,.).
Cambridge Histories Online Cambridge University Press, 2008
they had to pay a substantial rent to a lord. This rent took three fundamental
forms that could be combined: monetary amounts, service in the form of
labour and a portion of what the peasant tenant harvested. By the fourteenth
century, payment in money was much more common than had been the case
when the economy was too primitive to support any very extensive coinage
system. Labour service could take various forms, from taking messages to
carting provisions to working on construction projects but the most important
aspect of peasant work obligations from the lords point of view was per-
formed on those parts of the estate he kept as a seigneurial reserve (the
demesne) rather than renting out. Portions of the harvest varied but could
amount to as much as half.
Lords collected revenues from their tenants on the basis of more than a
merely economic relationship. They held jurisdictional power in many cases
that allowed them to act as judges and tax collectors. They might impose
monopolies so that villagers would, for example, be forced to have their grain
ground for a fee in the mill belonging to the lord. Such constraints existed even
when the peasants were formally free although they were clearest when the
peasants were serfs. While France by +,oo had very few serfs, servitude was
common in much of England where about one third of all households con-
sisted of unfree persons in the thirteenth and early fourteenth centuries.
11
Serfdom was weak in Languedoc, rare in Castile, increasingly common in
Catalonia (aecting one quarter of the rural population).
12
In Catalonia it was
uncommon in the south (New Catalonia) and all but universal among the peas-
antry of the regions around Girona in the north of the Principality.
Such regional and even local variation makes it hard to generalise about
serfdom. While it was thought to be a grave indignity, depriving peasants of
the ability to appear before public courts or enter the priesthood, its legal dis-
abilities did not always translate into economic inferiority. It has been argued,
especially for England, that villeins were often economically better o and
more eectively sheltered by custom than the free but marginal labourers.
13
Servitude created a bond but also a degree of certainty over permanent and
hereditarily transmissible occupation of land.
What servile status eectively symbolised was a degree of arbitrary control
by the lord. It was the emblem of his extra-economic power, but this could
extend to both free and unfree. The peasant rebellions of the late Middle Ages
centred on arbitrary power, including servitude, but also such things as use of
the forest or seigneurial encroachments on common lands, rights and customs
that aected free as well as unfree tenants. Servitude not only created formal
so r:ti rrrrr:
11
Hatcher (+,s+), pp. o-.
12
Vicens Vives (+,-s), pp. +s+,.
13
Dyer (+,so), pp. +o,o; Hatcher (+,s+), pp. ..o.
Cambridge Histories Online Cambridge University Press, 2008
liability to arbitrary and coercive power, it epitomised what was increasingly
resented in the years after the Black Death: the perpetuation and intensication
of seigneurial power, including but not limited to attempts to impose serfdom.
For parts of northern Europe, notably England, the thirteenth century had
been the heyday of demesne farming. Motivated by high agricultural prices
and the ready availability of labour, lords directly exploited their demesne.
Peasants worked these lands as part of their obligations or lords hired land-
less labourers or those who had sub-standard holdings. In the densely popu-
lated environment of the thirteenth and early fourteenth centuries, the
majority of peasants had inadequate holdings for their self-suciency. There
was a tremendous dierence between those who held land to support a family
(a minority), and those who either held no land at all or too little to avoid
desperation unless they were able to nd work as day-labourers or could
acquire income from a craft, brewing or other activity. High prices and the
existence of a conveniently large impoverished group of potential labourers
encouraged lords to exploit their demesne lands, relying on customary ser-
vices supplemented by hired labour.
Elsewhere, as in Germany, the fourteenth century witnessed the continua-
tion of an earlier tendency to replace a system of exploitation based on the
seigneurial demesne (Villikation or Fronhof system) by leasing out the manor
entirely to tenants in return for rent. In the Mediterranean lands, agricultural
exploitations had always been more dispersed and lords never had large
reserves exploited by tenants labour services. Even major landowners, such as
the great Cistercian monasteries of the Iberian peninsula, held lands for which
they received substantial rents and services but not for the purpose of directly
cultivating a demesne. In much of the Mediterranean, payments in kind
remained far more important than labour or a purely monetary rent.
The overall eect of the dislocations brought about by the demographic
and economic collapse of the fourteenth century would be to remove lords
further from direct administration of their estates. At the same time, however,
they could no longer maintain themselves in the style they required by means
of the relatively benign supervision exerted in the era of labour surplus. With
pressure on wages to rise (as a result of the shortage of labour) and falling
agricultural prices (the result of a radical decline in demand), lords attempted
to recoup their losses by using their coercive power to squeeze more from
their tenants. This could take the form of a renewed attention to servile status
and an extension and deepening of serfdom, both intended to assert a more
arbitrary seigneurial control and to enforce regulations against movement
away from tenements that had not been worth bothering about when the
supply of labourers exceeded demand. There were other possible strategies
for landlords coping with radically shifting conditions (such as converting
Rural society s-
Cambridge Histories Online Cambridge University Press, 2008
lands from arable to pasturage or from wheat to less labour-intensive crops),
but the contradiction between seigneurial power and peasant expectations was
clearly the background to one of the most striking phenomena of the late
Middle Ages: the frequency and violence of peasant uprisings. No longer
capable of proting from their demesnes and experiencing only limited
success in degrading the condition of their tenants, lords would be forced to
become absentee rentiers, but even in regions where there had never been
extensive demesnes this withdrawal from direct exploitation coincided with
a desperate attempt to wrest as much as possible from peasant tenants,
an attempt whose success varied considerably depending on geography and
circumstance.
In general, the preferences and obligations of the aristocracy and the
method of organising their exploitation of agriculture required lords to allow
peasants a high degree of self-administration. A substantial class of bailis,
stewards and other functionaries was charged with enforcing the lords rights
and assuring the extraction of revenues. The complexity and diversity of these
revenues, however, and the built-in imperfections of a system of indirect
exploitation aorded peasants a certain space for resistance or at least petty
subversion of what were often in theory a crushing set of obligations.
Although the tenants exerted considerable eective control over their prop-
erties, it is important not to lose sight of the fact that this was a seigneurial
regime, one in which lords managed to extract a considerable amount of what
their peasants produced and exerted an extra-economic power over them. This
power might be more potential than actual in good times. Many serfs, techni-
cally prohibited from moving o the land, migrated to nearby towns, but
during the late fourteenth century, such unauthorised circulation was less likely
to be tolerated and from Hungary to Germany to England lords put into eect
what had previously been regarded as theoretical rights of coercion. Moreover,
where bonds between lord and peasant were loosened, this could work to the
advantage of the former, as when xed rent with security of tenure was
replaced by limited-term leases that permitted the lord to eject tenants or
renegotiate their obligations.
14
rrrorr +nr ri:ck rr:+n
The rst part of the fourteenth century witnessed a number of man-made as
well as natural disasters that adversely aected the rural economy. The most
shocking and severe of these was the Great Famine that aected almost all of
northern Europe beginning in +,+. It lasted for at least two years and persisted
ss r:ti rrrrr:
14
Genicot (+,,o), pp. -o-.
Cambridge Histories Online Cambridge University Press, 2008
as late as +,... The immediate cause was a series of extremely rainy summers
and unusually cold winters that caused harvest failures whose cumulative eect
was catastrophic. The damage inicted by the weather was exacerbated in
many regions by warfare (notably in Flanders and the British Isles) and by epi-
demics of livestock diseases.
Laments about the disastrous rains and prolonged freezes appear in chron-
icles written in all parts of northern Europe and this literary evidence is
conrmed by tree-ring measurements (dendrochronology). There is some
possibility that these conditions reected a long-term change in the European
meteorological conditions and it is conceptually appealing to regard the end of
medieval agricultural and demographic expansion as caused by a fundamental
change towards a wetter, colder climate. There is little solid evidence for this,
however, and more likely that the rain and cold were more random and anom-
alous uctuations.
The Mediterranean regions escaped this particular terrible event, but they
were not permanently spared. In Catalonia, for example, the year +,,, would be
referred to in later sources as the rst bad year, ushering in a series of poor har-
vests. Densely populated rural areas were more severely aected than thinly
settled ones, but this is a rule with many exceptions. In England, as many as +o
or even + per cent of the population may have perished in the south, although
in even more densely populated East Anglia, there was relatively little mortality.
15
Recovery from the famine was quick, but the event serves both as an early
indication of the calamitous fourteenth century and provokes questions
about how much was due to an external event that could not be avoided or
planned for as opposed to an indication of over-population, of having reached
beyond the demographic limits of what the land, technology and economy
could support.
After centuries of strong growth, the population of Europe seems to have
levelled o in the late thirteenth century and may have declined substantially
in the fourteenth century even before the staggering losses inicted by the
Black Death. It was the accomplishment of M. M. Postan to have devised a
theory of this demographic change based on the internal shortcomings of the
medieval agrarian economy. Rather than blaming the population loss on purely
external factors such as poor harvests or climate change, Postan approached
the relationship between agricultural production and population as an essen-
tially Malthusian problem. In the absence of technological improvement or
investment in agriculture, the countryside could not support continued
population growth. Postan, in collaboration with J.Z. Titow, assembled indi-
rect evidence for an increase in mortality rates after +,oo based on death duties
Rural society s,
15
Jordan (+,,o), pp. ++s+,.
Cambridge Histories Online Cambridge University Press, 2008
paid by tenants of the bishop of Winchester.
16
This increase took place not
merely because of shocks and catastrophes but was a long-term demographic
shift. Having reached extraordinarily high levels of population after several
centuries of virtually uninterrupted growth, England surpassed the point of
maximum density that its agricultural system could sustain. Expansion of
arable land reached the point of diminishing returns. As clearances moved
from fertile lands to less favourable soils and climates, the population could no
longer expand on the basis of simply increasing the amount of territory being
cultivated. Settlements and farms were already being abandoned before the
Black Death caused, according to Postan, something in the nature of an
ecological crisis of overpopulation, soil depletion and impractical cultivation
of marginal land. The population losses of the early fourteenth century were
thus Malthusian checks, a rising death rate that brutally but necessarily tended
to re-establish an equilibrium between population and production.
17
Recently more direct means of measuring population change have in large
measure conrmed the Postan thesis of a structural decline of population
for England although with more sudden than gradual changes. England
numbered at least million inhabitants at the beginning of the fourteenth
century, a gure that would not be reached again until well into the seventeenth
century.
18
Similarly high gures have been posited for France, Germany and
Scandinavia.
19
Some of the reduction antedates the Black Death. In his study of the coun-
tryside around Pistoia, for example, David Herlihy found that population
began to decline as early as the mid-thirteenth century.
20
In rural Essex, on the
other hand, there was little change in population until the Great Famine which
resulted in a + per cent loss. From +,+- to +,-, however, the population
appears to have been reduced by a further ,o per cent.
21
Studies of manors in
Huntingdonshire, Northamptonshire and Buckinghamshire conrm a
signicant decline of population over the rst half of the fourteenth century,
although the manor of Halesowen in Worcestershire presents a somewhat
dierent picture.
22
There a decline in the rate of growth took place between
+,oo and +,s, but there was an overall modest increase of per cent in actual
population despite a + per cent loss due to the Great Famine.
23
Some parts of Europe experienced only minor setbacks during the early
fourteenth century. In central Silesia, for example, after some relatively small
diculties, the agricultural economy renewed its expansion until well after +,o
,o r:ti rrrrr:
16
Postan and Titow (+,s,), pp. ,,.+-.
17
Postan (+,-.) and (+,-,).
18
Smith (+,,+), pp. ,o.
19
Abel (+,so), pp. .+.; Gissel (+,-o), pp. ,.
20
Herlihy (+,o-), pp. o-.
21
Poos (+,s), pp. +,o.
22
Britton (+,--), pp. +,.,; DeWindt (+,-.), pp. +oo-o; Bennett (+,s-), pp. +,+, ..,.
23
Razi (+,so), pp. .-,..
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(the region also managed to escape the Black Death).
24
In many areas, however
(Provence, Normandy, Tuscany, for example), there was a reduction of rural
population similar to what took place in England.
25
In Brunswick, on the
estates of the cathedral chapter of Sankt Blasien, a substantial number of
farms were abandoned after +,.o, but this was due more to a succession of bad
harvests and war than to the agrarian economys internal tensions or ecolog-
ical limits.
26
The case of Brunswick points to a central problem of the Postan approach:
the tenuous evidence for a Malthusian crisis despite a widespread (but not uni-
versal) population loss. There is little support for his largely inferential posit-
ing of an increasingly unproductive expansion into marginal lands. The fact
that areas went out of cultivation does not prove the exhaustion of the soil but
rather a more dynamic landscape throughout the medieval period. The clearest
example is Spain, more particularly Old Castile, where population loss began
in the mid-thirteenth century without any indication that density limits had
been previously approached.
27
In this instance we can point to migration of
cultivators to the newly opened lands of Andalusia, the result of the rapid
Christian expansion after +.+., but in Germany as well, if not as dramatically,
the desertion of villages was due to factors other than Malthusian checks.
For England, examination of the history of the landscape and patterns of
settlement calls into question the crucial role of marginal land as supposed by
Postan.
28
It is hard to deny the overwhelming signicance of demography, but its
radical uctuations interact with the society in which they take place rather
than supplanting, overriding or rendering irrelevant social forces.
29
The
seigneurial regime was already under stress before the Black Death and it is
likely that an agrarian crisis would have existed without the epidemic.
Nevertheless, the epidemic, by virtue of destroying an immense number of
lives without touching the elds (thus unlike war), created new stresses and a
number of new opportunities.
The death of perhaps as much as o per cent of the population of Europe
between +,s and +,o had immediate eects on the structure of agrarian
society. Everywhere, with the exception of a few regions that the Black Death
for some reason missed (such as Barn and parts of Silesia and Poland), the
sudden demographic decline aected prices and wages and thus the value of
land and relations between lords and peasants. On the other hand, the eects
Rural society ,+
24
Homann (+,s,), pp. ++-.
25
Klapisch-Zuber and Herlihy (+,s), pp. o.,; Baratier (+,o+), pp. so+; Bois (+,s), pp. o,.
26
Homann (+,s,), pp. +,-.o-.
27
Ruiz (+,,), pp. .,+,+,.
28
Dyer (+,s,), pp. s-.
29
Bois (+,s).
Cambridge Histories Online Cambridge University Press, 2008
of the Black Death and economic or social reactions to it diered among
Europes various regions, implying that conditions before the epidemic were
not uniform and that regional legal and institutional structures aected the for-
tunes of labourers and landowners as much as impersonal demographic
facts.
30
The Black Death may have accentuated an already existing crisis manifested
by famine and a stagnating or declining population, or it may be regarded as a
brutal but not completely surprising Malthusian check to restore equilibrium
to an overpopulated and economically overextended society. A certain
historiographic consensus, especially but not exclusively in Britain, has tended
to minimise the eects of the Black Death in part because of a reluctance to
credit randomly generated external events with staggering historical eects.
One minimalising approach is, as stated, to focus on antecedent trends that
anticipated what would happen in the second half of the century. The other is
to emphasise how quickly things returned to normal. These are related to the
extent that if a reordering of the demographic equilibrium was already under-
way before +,s, the shock of rapid population loss would conrm rather than
abruptly reverse existing trends.
Where there is widespread agreement is that rural population loss contin-
ued after +,s and created long-term radical economic and social dislocation.
By +oo there had been a continuing loss of population, worse in rural areas
than in cities. In +,--, the population of England amounted to little more than
it had at the time of Domesday Book, much of that loss due to the Black Death
but also to the successive plagues of +,oo., +,o, and +,-.
31
In the rural sur-
roundings of Pistoia there were only about ,,ooo inhabitants in +o+, com-
pared with a population of ,+,ooo in +., an astonishing loss of over -o per
cent. The number of rural communes was reduced to from +. over the
same period.
32
It has been estimated that over ,,ooo villages have at various
times been abandoned in England. Later enclosures for pasturage and creation
of parkland were certainly most important and the largest number of English
villages were voluntarily or forcibly abandoned between +o and +o, but the
Black Death itself constitutes the pre-history of enclosure because the
conversion of land to pasturage was motivated by the plunging demand and
prices for cereal crops due ultimately to the series of epidemics begun so
dramatically in the mid-fourteenth century.
33
In Germany regions such as Thuringia, the mountainous areas of Swabia
along the Danube and the northern Mark of Brandenburg saw a rate of village
,. r:ti rrrrr:
30
Brenner in Aston and Philpin (+,s), p. .+.
31
Miller in Agrarian History of England and Wales, iii (+,,+), pp. +s.
32
Herlihy (+,o-), pp. os-..
33
Beresford and Hurst (+,-+).
Cambridge Histories Online Cambridge University Press, 2008
abandonment of over o per cent. The Rhineland, on the other hand, equally
hard hit by the Black Death, experienced scarcely any loss in the number of
inhabited places. Overall Germany lost . per cent of its villages between +,oo
and +oo. As Werner Rsener points out, however, it is important to dis-
tinguish between places that were entirely abandoned, elds and all, and those
where cultivation continued even if the residents had moved nearby.
34
Despite the desertion of villages and migration to the cities, the overall fall
of population did not mean a proportionate abandonment of elds. To the
extent that the early fourteenth century had been characterised by a Malthusian
saturation, the demographic decline relieved pressure on less fertile terrain
while the reduction of density of settlement did not eect a proportionate loss
in the productivity of the land. Agricultural prices and the value of land con-
tracted due to reduced demand while wages were under upward pressure due
to reduced supply. The aftermath of the Black Death would seem to have
beneted those members of the lower orders with the good fortune to survive,
and in many cases previously landless labourers now found themselves in
unwonted demand and could signicantly improve their conditions.
In the long term (that is, by the end of the century), the agrarian economy
had collapsed into a depression that aected other sectors as well. The changes
in prices and wages as well as the later sharpening of economic crisis are some-
times related to the Black Death specically (as long- versus short-term
eects), but more often to the series of successive epidemics that continued to
aict Europe. Thus for the lands of Sankt Blasien in Brunswick there was a
signicant reduction in the number of farms being cultivated between +,.o
and +,o. The population declined with the Black Death and by the departure
of many of the surviving tenants lured by better opportunities elsewhere. The
immediate impact on the agrarian economy, however, was not so severe,
perhaps because despite the early fourteenth-century decline, the region was
still overpopulated in relation to its agricultural possibilities of exploitation
before the plague struck. By +oo, however, the rural economy hence the
monasterys revenues had collapsed. One fourth of the farms were deserted
and the monastery could no longer cultivate its demesne except by expensive
casual labour. These conditions were due more to the cumulative eects of epi-
demics after +,o than to the Black Death itself.
35
In a study of late-medieval Normandy, Guy Bois identied several stages of
crisis aected by the demographic catastrophe of +,s (amounting to a o per
cent mortality) but also by the intrinsic problems of the feudal economy. After
an initial period of stagnation between +,+ and +,-, the Black Death brought
about a demographic collapse but not an immediate radical reduction in prices
Rural society ,,
34
Rsener (+,,.), pp. .o.
35
Homann (+,s,), pp. .+...
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or dramatic increase in wages. The period between +,so and ++, witnessed a
. per cent decline in agricultural prices but also a signicant recuperation of
at least part of the population. The real economic disaster took place between
++ and +o but implicated in this was not only disease but other external
factors such as war and the internal tensions of an economy based on small-
scale production and seigneurial extraction.
36
The absence of an immediate radical eect of the Black Death is conrmed
by Postans ndings for England.
37
In the area of Brignole in southern France,
where most tenants held lands on favourable terms (emphyteutic leases), there
seems to have been little change after +,s. Few properties were abandoned,
the price of good land remained high and the payment of the annual census
remained stable both in absolute terms and as a ratio of the price of the land
being cultivated.
38
There are, however, other indications that show that the Black Death did
have a direct impact on wages and the attitudes of peasants. While prices did
not begin their rapid decline in England until the late +,-os, tenants and labour-
ers demanded improvement in their leases and wages. The earlier Ordinance
of Labourers of +,,, conrmed by parliament as the Statute of Labourers in
+,+, responded to upward pressure on wages and was vigorously enforced.
Manorial records suggest that wages were stable after the Black Death, but they
may disguise evasion of the wage control legislation by means of cash pay-
ments and other o the record inducements.
39
The English wage legislation is the clearest evidence of the short-term eco-
nomic inuence of the Black Death, but there is considerable variation of
opinion as to how eective it was. R. H. Hilton has found that it was initially
successful in restraining agricultural wages until +,oo and that the upward
trend accelerated after +,so.
40
The punitive wage legislation was part of a
seigneurial reaction that attempted to preserve or even strengthen the lords
position after the Black Death. Labour services and nes were increased and
prohibitions on movement became more strictly enforced.
41
Even before the
English Rising of +,s+, however, and certainly by the end of the century, such
eorts had failed. The bishops of Durham, who held unusual political and
jurisdictional power in their palatinate, were forced to abandon attempts to
collect labour services.
42
The gradual decline of English villeinage was greatly
encouraged, if not caused, by the untenable position of the lords with regard
to enforcing the bondage of their tenants in the demographic aftermath of the
repeated plagues.
, r:ti rrrrr:
36
Bois (+,s).
37
Postan (+,-,), pp. +so.+,.
38
Leclerq (+,s), pp. ++.s.
39
Hatcher (+,,), pp. +,.
40
Hilton (+,s,), pp. ,,+.
41
Raftis (+,o), pp. +.; Brenner in Aston and Philpin (+,s), p. ,.
42
Britnell (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
The seigneurial reaction was not everywhere unsuccessful, and even in
England was not resisted simply by invoking demographic inevitability as the
Rising of +,s+ indicates. In Catalonia lords would enforce an even harsher
form of servitude than what had obtained before the epidemic and it would
require a full-scale peasant war in the late fteenth century to procure the aboli-
tion of servitude.
43
In much of eastern Europe, the aftermath of the Black
Death marks the beginning of a process of degradation of a once-free peas-
antry into servile status that would endure well into the modern era.
44
rr:s:+ rr\oi+s
There had been many local uprisings in European rural communities before
the thirteenth century, but the scale and nature of peasant movements changed
after +,oo and especially after the Black Death. Unrest spread across a wide
area and was no longer provoked by disagreements over particular village or
manorial customs but by social demands and expectations.
45
The most dra-
matic of these conicts were the French Jacquerie of +,s and the English
Rising of +,s+ which convulsed the two kingdoms and had a short-lived but
(from the point of view of the upper orders of society) frightening success.
The revolts are to be understood as at least substantially related to the social
and economic crisis that characterised the fourteenth century. In some cases
(notably the Jacquerie) they reect the desperate conditions of violence, dis-
order and oppression. They are also in certain respects the outgrowth of a
more favourable situation in which peasants felt more powerfully situated to
put forward their demands. The English Rising of +,s+ is often seen as an
example of that favourite historical notion, the revolution of rising expecta-
tions in which the failure to secure anticipated improvements in wages, tenur-
ial conditions and status leads to more strident demands than in circumstances
of greater oppression with less perceived opportunity.
There are various typologies of peasant revolts that try to account for the
dierence between small isolated manifestations of discontent and larger move-
ments of the sort that developed in the late Middle Ages. The Russian historian
B. F. Porchnev identied three forms of peasant resistance: ight, partial resis-
tance and open revolt.
46
Recent studies of both modern and earlier peasant soci-
eties have shown the importance of indirect, everyday forms of resistance that
could undermine the claims of the dominant elite without open confrontation.
Gnther Franz, the historian of the German Peasants War of +., dis-
tinguished between Old Law rebellions that invoked custom and were
Rural society ,
43
Vicens Vives (+,-s); Freedman (+,,+), pp. +-,.o..
44
Brenner (+,,o), pp. .-..
45
Khn (+,,+).
46
Cf. Rsener (+,,.), pp. .,so.
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prompted by a lord violating local practices and Godly Law uprisings based
on principles of general application. For Franz the former were by nature
specic to one lordship or jurisdiction while the scope of the +. war is
explained by the arguments over freedom and Christian equality made possi-
ble by the teachings of Martin Luther.
47
Similarly Peter Burke posited a
dichotomy between traditionalist movements seeking a restoration of an
earlier just order, and radical rebellions that envisioned a transformation of
society without reference to an idealised past.
48
Here the radical visions are not
as tied to religious discourse as in Franz.
Another taxonomy is one that distinguishes Messianic rebellions motivated
by a fervid climate of religious expectation (as in early fteenth-century
Bohemia) from more practical uprisings motivated by a desire for social mobil-
ity. Guy Fourquin adds a third category in which an exceptional political or
scal crisis precipitated uprisings (as with both the Jacquerie and the English
Rising).
49
These and other classication schemes have in common a desire to dis-
tinguish between serious movements that encompassed a large geographical
area or that seem to represent a radical alternative and the normal discontents
characteristic of peasant society which has usually been regarded as conserva-
tive and resistant to change. While there is clearly a dierence between an upris-
ing limited to one or two manors and a widespread revolt on the scale of
England in +,s+, the typologies based on putative motivation tend to disguise
the degree to which local issues could be framed in radical ideological terms
and linked to questions that transcended parish boundaries. In the large-scale
revolts of the fourteenth century political matters provoked long-standing
social and economic grievances. The impact of famine, war and
maladministration in Flanders brought about a rebellion between +,., and
+,.s that was provoked by onerous taxes but joined to an attack against
exploitative lordship. The Jacquerie was, as Fourquin argued, the result of a
crisis in the French state provoked by the battle of Poitiers, the tightened scal
demands of the crown and the depredations of lawless troops. The English
Rising was precipitated by the infamous poll tax and the unpopularity of John
of Gaunt and the royal ministers.
The involvement of peasants in protesting against taxation or corrupt
administration is surprising only if it is assumed that they were normally help-
less or unaware of anything beyond their localities. Certainly one of the
characteristics of peasant revolts after +,oo is that they were framed in terms
larger than local grievances. The scal demands of the French and English
monarchs should not be regarded as the sole cause of these revolts which had
,o r:ti rrrrr:
47
Franz (+,s), pp. +,+.
48
Burke (+,-s), pp. +-,s.
49
Fourquin (+,-s), pp. +.,oo.
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as their target the conditions of tenure, the arbitrary exercise of seigneurial
power and other local matters.
The rst large-scale medieval peasant revolt took place in maritime Flanders
against a corrupt comital administration and its pro-French policies. From
+,., until they were crushed at the battle of Cassel by a French army in the
summer of +,.s, peasants burned castles, drove out the counts ocials,
administered their own territories and established an army.
50
The districts of
Bruges, Ypres and Courtrai formed the centre of a virtual peasant republic
stretching along the coast from Bourbourg to the Scheldt river.
At issue in the Flemish Revolt were political and scal questions concerning
the administration of Flanders as a whole. It was not exclusively a peasant
revolt as elements of the population of Bruges and Ypres also participated. In
its last two years the Flemish uprising became more radical and tended more
forcefully to present itself as directed against the richer landowners and the
Church rather than against the corrupt scality of the comital government.
This rebellion thus combined an articulate political programme and the stim-
ulus of what might seem traditional grievances.
The French Jacquerie of +,s was relatively short-lived but made a greater
impression on contemporaries than the Flemish Revolt, in part because it took
place in the centre of France but also because it was perceived from the start
as essentially a revolt against the nobility. The Jacquerie began in response to
the depredations of French as well as English and Navarrese troops who pil-
laged the countryside in the aftermath of the defeat at Poitiers (+,o). The
royal government was ineective except in attempting to squeeze money for
the ransom of King John II and the nobility failed to protect tenants and was
discredited by its poor showing in battle with the English.
The peasants began to resist marauding knights in the Beauvaisis late in May
+,s but this turned very quickly into a general uprising against the nobility and
spread quickly to the region around Paris, Picardy and had a certain echo in
Champagne and Normandy. The contemporary chronicler Jean le Bel believed
that the peasants were led by Jacques Bonhomme and the name Jacquerie was
soon given to the revolt (the name occurs in the later histories of Froissart and
the Chronique Normande). A certain Guillaume Calle was identied as the leader
of the insurgents but the peasants also elected local captains and the revolt was
in large measure spontaneous. It was suppressed quickly by the nobility aided
by Charles II the Bad, king of Navarre. In a sanguinary counter-Jacquerie, the
town of Meaux which had allied with the peasants was burned and Guillaume
Calle was captured and executed by a mock coronation in which he was placed
in a red-hot iron throne and crowned with a heated iron circlet.
Rural society ,-
50
TeBrake (+,,,).
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The motives for the Jacquerie remain the subject of considerable disagree-
ment. The nineteenth-century historian Simon Luce attributed the revolt to
an excess of misery due to the combination of plague, war, taxation and
seigneurial oppression.
51
Guy Fourquin minimised its social basis, seeing the
uprising as the result of a specic short-term crisis of the legitimacy of royal
and noble authority. The peasants who were active in the uprising, according
to Fourquin, were well-o, formed a small minority and were encouraged by
outside forces, particularly the urban elites opposed to the rapacity of the royal
government and angered by the prevailing disorder inicted by the unem-
ployed men-at-arms.
52
In her discussion of contemporary accounts of the
Jacquerie, Marie-Thrse de Medeiros also doubts that the Jacquerie was essen-
tially an anti-noble uprising, but acknowledges that the nobles had failed to
protect their tenants and had lost the aura of legitimacy. Her work demon-
strates the unanimity of the chroniclers in believing that the target was indeed
the noble class.
53
The Jacquerie, despite the fact that it lasted only a matter of
weeks, would endure as a symbol of peasant rage and of the vulnerability of
the upper classes.
The English Rising of +,s+ would also be long remembered as an explosion
of rustic fury against the landed classes. A secular clerk in early fteenth-
century Oxford wrote a poem in the margins of a cartulary:
Man beware and be no fool
think upon the ax and of the stool.
The stool was hard, the ax was sharp
the fourth year of King Richard.
54
Certainly the appearance of the peasant armies in London and their intimida-
tion of the young king was recalled as a horrendous instance of the world
turned upside down. John Gower depicted the events in a nightmare vision in
which previously useful animals escaped their bonds to bring ruin and disorder
to the land.
Here too, however, the rebellion can be seen clearly to emanate from some-
thing more than spasmodic anger or Messianic egalitarianism. The revolt
began in response to government eorts to collect the third poll tax in four
years voted by parliament in +,so. Insurrection spread from south-west Essex
where it began in late May or early June until it included Kent, all of East
Anglia, Hertfordshire, Cambridgeshire and at least partially Sussex, Surrey and
Middlesex. Two peasant armies converged on London, the men of Kent led
by Wat Tyler and the Essex rebels. The Kentish forces arrived across the
,s r:ti rrrrr:
51
Luce (+s,), p. ,.
52
Fourquin (+,-s), pp. +,,.
53
De Medeiros (+,-,), pp. ++.,.
54
Justice (+,,), p. .+.
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Thames in Blackheath, Southwark and Lambeth by +. June and burned the
palace of the bishop of London. The men of Essex, coming from the north,
were allowed into London and now joined by the Kentish army they burned
the palace of John of Gaunt and sacked the Temple whose prior was the royal
treasurer, Robert Hales. The king and his entourage sought refuge in the Tower
of London. A parley at Mile End on + June represents the high tide of the
rebels fortunes. They forced the fourteen-year-old king to agree to the aboli-
tion of serfdom and to have charters recognising the liberty of specic tenants
drawn up. They also won royal consent to a uniform rate of rental payment
linked to acreage, the removal of restrictions on trade and a general amnesty.
Whether the rebels had more radical plans, such as monarchy depending not
on parliament but a true commons of ordinary people, remains debatable.
Wat Tyler and his followers did take the matter suciently into their own hands
as to leave Mile End and enter the Tower where they summarily beheaded
Archbishop Simon Sudbury and Hales.
The next day, + June, saw another meeting between the king and the insur-
gents at Smitheld where Wat Tyler is reported by the Anonimalle Chronicle to
have presented new demands, including the end of all lordship except the
kings, the distribution of Church property and the abolition of all bishops
except one. Tyler may not have wanted to reach an agreement with the king
and is reported to have behaved in an aggressively familiar manner, shaking the
kings hand and drinking beer in his presence. The mayor of London, William
Walworth, attacked Tyler and killed him while the king managed to calm the
peasants by claiming to lead them. The rebels were dispersed relatively peace-
fully. Later the machinery of judgement was brought to bear against individ-
ual rebels, but the rising and its suppression proved to be considerably less
bloody than its French counterpart.
To what extent the demands presented in London represent the grievances
of the countryside at large is uncertain. Wat Tylers demands and the sermon
preached at Blackheath by John Ball (which cited the couplet When Adam
delved and Eve span, who was then the gentleman?) put forward a theory of
equality and an attack on lordship. Rather than emphasising the radical
demands presented at Smitheld, historians examining particular localities have
shown connections between earlier disturbances and the events of +,s+.
Peasants attempted to use legal means against what they regarded as arbitrary
treatment by their lords rather than attacking lordship as such. Many of the
regions that participated most enthusiastically in the Rising of +,s+ had a
history of suits over servile status and attendant obligations. Tenants at
Elmham in Suolk and Leighs in Essex had attempted to prove their free status.
Forty villages in the south of England in +,-- were swept by a movement called
the Great Rumour in which seigneurial demands for labour services were
Rural society ,,
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opposed by claims of free tenancy based on Domesday Book.
55
At the
monastery of St Albans, rebels in +,s+ dug up from the cloister the pieces of
hand-mills that had been conscated and used for paving stones in an earlier
confrontation between peasants and the monastery over the seigneurial
monopoly on mills. St Albans forbade its tenants to grind their own grain and
the memory of the forcible suppression was alive in +,s+ so that at the festive
occasion when the peasants broke into the cloister, they dug up the stones and
divided them into pieces giving some to each other in a ceremony resembling
the distribution of communion bread.
56
Events at St Albans also demonstrate the respect for what was believed to
be old custom rather than a remaking of society according to the programme
presented at Smitheld. The tenants of St Albans burned documents record-
ing their obligations but at the same time insisted that the abbot present a
charter, supposedly issued by King Oa, with capital letters, one of gold, one
of azure, that contained the fundamental provisions of their free status. The
abbot protested that he knew of no such document, promised he would look
for it, and eventually was compelled to write another charter granting the
rather limited concessions that the peasants claimed.
57
Given the variety of local demands and the diculty of reconstructing a
peasant programme out of the hostile accounts of the chroniclers, one cannot
ascribe a single or principal cause to the English Rising. Most clearly among
fourteenth-century revolts, however, the English example must be seen in rela-
tion to the conditions arising as a consequence of the Black Death and sub-
sequent epidemics. Earlier local conicts over tenurial obligations were joined
together by common grievances over arbitrary seigneurial and governmental
levies, themselves the result of a crisis in land values and royal nancing. The
desire of the lords to resist increasing wages and to take advantage of the
unfree status of many of their tenants to increase their failing revenues ran into
peasant expectations of improved conditions, and resentment against serfdom
and its indignities.
Suppression of the revolt in +,s+ did not mean an end to peasant resistance
in England. There would be ve regional revolts between +,s+ and +o, espe-
cially in Kent, Cheshire and Yorkshire.
58
More importantly, the last decade of
the fourteenth century saw an acceleration in the leasing out of seigneurial
lands and the consequent abandonment of demesne farming. Peasants in this
period were able to use the threat to leave their tenements in order to nego-
tiate better terms for themselves in spite of the renewal of punitive legislation
regarding mobility and agricultural wages. The era saw an unusual degree of
+oo r:ti rrrrr:
55
Faith (+,s).
56
Walsingham, Gesta Abbatum Monasterii Sancti Albani, iii, p. ,o,.
57
Faith (+,s), pp. o,.
58
Agrarian History of England and Wales (+,ss), iii, p. -,-.
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movement and it is a reasonable conjecture that what the peasants had not
been able to win by direct means in +,s+, they were at least partially successful
in obtaining by taking advantage of what remained their greatest weapon: the
decline in the labour force. While it is impossible to set a date for the end of
serfdom in England, there is little doubt that +,s+ marked the critical moment
in its fading away, a process that the fteenth century would complete.
Rural society +o+
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cn:r+rr o
URBAN LIFE
Jean-Pierre Leguay
i+ is impossible to deny that fourteenth-century towns were profoundly
aected by the economic contraction that followed previous expansion,
however much historians wish to avoid generalisation and make proper
allowance for the very considerable variations between regions. The situation
was aggravated by the poor harvests of +,++- and the resulting shortages,
as well as by the Black Death (+,-o) and subsequent outbreaks of plague.
The result was a sharp drop in population levels, barely compensated for by
the inux of refugees from the countryside. These factors, combined with
high rates of taxation and manipulation of the coinage in some states, ham-
pered commercial and manufacturing activity and exacerbated social tensions.
ot+iir or trr: rtrorr, c. +,oo
European towns at the beginning of the fourteenth century were the result of
many centuries of expansion; they were denser in the southern, Mediterranean
regions (Italy, Catalonia, Aquitaine, Provence) and in certain areas of northern
and north-western Europe (Flanders, the Rhineland, the valleys of the Seine,
Rhne and Loire, the Channel and Atlantic coastlands).
Urban networks were established in most areas. Economic, demographic
and cultural expansion had reactivated the great majority of episcopal cities,
dating from late antiquity or the early medieval period. Many substantial vil-
lages that had grown up near castles, abbeys and priories succeeded in raising
themselves to the rank of true towns, while settlement and clearing, as well as
the need to defend vulnerable border areas, were responsible for more recent
foundations, the deliberate creations of princes, secular or ecclesiastical lords
and the pioneering activities of rural immigrants.
The last years of the thirteenth century and the course of the fourteenth
saw the building of the last of Aquitaines ,oo bastides, the last planted towns
on the Welsh and Scottish borders (Caernarfon, Conway, or Berwick upon
+o.
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Tweed resurrected from its ruins). In central and eastern Europe there were
the recent and continuing settlements of the Teutonic knights, besides those
that were the fruit of German and Slav colonisation (Brandenburg, Danzig,
Rostock, Stettin). Half of the towns in Mecklenburg date from between +.o
and +,o.
Nevertheless, it would be dicult to draw up a list of towns in each kingdom
or great lordship. Contemporary administrators virtually never recorded settle-
ments of any size; when political, military or scal considerations happened to
make them do so, their conclusions varied from one estimate to the next. So
in France, for example, there are extraordinary discrepancies in the gatherings
of citizens at provincial assemblies, the estates of the Languedoc and the
Languedol: ,+ towns were listed in +,o., ., in +,os, ..- in +,+o, ,o in +,+s!
According to the American historian C. H. Taylor, -o places in all were called
to play a part in these representative assemblies, but by no means all of them
can be called towns in the full sense.
1
They fail to meet the necessary criteria,
whether economic, demographic, institutional, architectural or religious (sup-
porting convents of friars).
Despite the quickening pace of urbanisation in the thirteenth century, Europe
remained deeply rural; in some areas as much as , per cent of the population
lived in the countryside. Entire countries (Ireland, Scandinavia, Portugal), as
well as provinces such as the Auvergne or Brittany, or imperial Savoy, were still
content with miserable little towns scarcely dierentiated from neighbouring
villages.
The rise in urban population was more the result of immigration from the
rural hinterland (French plat pays, Italian contado) than of natural growth. People
from all levels of society noble, lawyer and peasant were attracted by oers
of work, opportunities for business, security or tax advantages: they all came
crowding into districts within the town walls, or lived outside in the densely
populated suburbs. There has been fruitful research on both the geographical
and socio-political origins of these immigrant movements in Florence, Genoa,
Barcelona and Lyon. In the absence of any real population returns, lists of
heads of households (chefs dostels) liable for direct taxation, lists of rent-payers
with feudal obligations, rolls of adults liable for military service or married
women (Annecy) enable the historian to make accurate approximations (to
use A. Croixs phrase), despite the uncertainties surrounding both the concept
of the scal hearth and exemption from taxation.
2
This evidence leaves no
doubt that most centres of population were small; in fact, the majority of four-
teenth-century towns barely reached or exceeded +,oo to .,ooo inhabitants.
Urban life +o,
1
Taylor (+,).
2
Croix (+,-), p. ,.
Cambridge Histories Online Cambridge University Press, 2008
The population of Chambry, the favourite residence of the dukes of Savoy,
was undoubtedly less than ,ooo in the fourteenth century; Annecy, capital of
the counts of Geneva, scarcely +,oo; the majority of the towns in the Forez
(with the exception of Montbrison), of the county of Comminges, the duchy
of Brittany (excluding Nantes, Rennes and Vannes) and Portugal were of this
order of magnitude. Against this background, towns with +o,ooo to .o,ooo
inhabitants were in a dierent class: York, Norwich, Bristol (the most impor-
tant English towns after London) fall within this range. Any urban centre with
over .o,ooo citizens already had a great range of diverse activities and excep-
tional inuence in the surrounding region. Population levels were highest
before the catastrophes of the fourteenth century: Paris, it has been argued,
had more than .oo,ooo inhabitants, followed by Florence, Genoa, Milan,
Naples, Palermo, Rome and Venice (all with populations of c. +oo,ooo);
London may have had so,ooo, Ghent, between o,ooo and oo,ooo inhabitants,
and Bruges around o,ooo; others (Rouen, Lyon, Cologne, etc) with levels
between .o,ooo and o,ooo. Of the recently founded towns of central and
eastern Europe Lbeck probably had a population of +,ooo in +,oo; Danzig,
Magdeburg, Nuremberg, Vienna and Prague nearly .o,ooo. These are hypo-
thetical gures, and those relating to Paris and London in particular have fre-
quently been debated. Nevertheless, even these approximations demonstrate
both the expansion of urban populations and their limits. It is questionable
whether there were between eighty and one hundred towns with more than
+o,ooo inhabitants in the whole of Europe.
The urban landscape had been modelled for generations to come in the pre-
ceding centuries, above all in the thirteenth. Full topographical reconstruction
of town plans reveals either double towns (the association of an episcopal
city founded in the classical period and a dynamic, mercantile and artisanal
bourg, which had developed near an abbey at a later date, such as Prigueux,
Toulouse or Narbonne), or complex, multicellular settlements stemming from
the combination of an ancient centre with bourgs on its periphery, which were
the result of major phases of urban expansion (Paris, Reims, Leiden). But the
majority of reconstructed town plans have a less elaborate structure. To over-
simplify wildly for every plan is in fact an individual case sometimes they
were no more than a main road, with a lane inside the walls and a few secondary
roads joining the two; sometimes they copied some new towns and employed
a more or less regular grid layout, which resulted from more considered town
planning (Aigues-Mortes, Montauban); sometimes a radial-concentric plan
was adopted, with the oval or circular extent of the town walls dening its
outer limits and the subordination of the most important roads to a centre,
occupied by church (Brive), castle or market hall (Bruges).
Although the available space was seldom measured, except in Mediterranean
+o jr:-rirrrr irct:
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towns (Venice, Palermo, Naples) and cultivated land was still to be found
within the ramparts, circulation within the town remained extremely dicult.
Only one or two major roads joining the main fortied gates (the High Street,
la Rue, la Grande Charrire) were capable of carrying carts and other heavy
trac. The other ways, the maze of tiny streets, alleys and passageways, further
divided into quartiers, or districts (Tarascon, Cahors) were no more than steep
and twisting passages or boyaux (Chartres), darkened by overhanging houses,
blocked by tools, materials and lth. At the outset of the fourteenth century
there were very few lords or communities with any concern for the mainte-
nance of roads, the alignment of faades, or for public health (Saint-Omer,
Aurillac and the Italian towns).
The town walls undoubtedly impeded circulation. They protected most
large towns and the extension of walls to encompass settlements on the edge
of the town is also an indicator of urban expansion. The surface area of
fortied Paris grew from a dozen hectares under the rst Capetians to .-
hectares under Philip Augustus, before reaching oo hectares in the reigns of
Charles V and Charles VI, with the extension of the town walls on the right
bank. This was a considerable area, but in no way exceptional: Ghent and
Cologne, for example, both covered more than oo hectares. But the majority
of middle-sized and unimportant towns made do with a fortress and a fortied
church (Saint-Malo) and the walls were very far from being complete along
their entire length, let alone harmonious and eective despite the picture of
Epinal familiar from numerous chronicle miniatures.
Over the years and often at great expense, jeopardising their fragile bud-
getary equilibrium European towns had been endowed with the wonders of
Gothic architecture which were the focus of their worship, commerce and
fellowship. The beginning of the fourteenth century saw the further elabora-
tion of this monumental heritage. Building yards were busy at many cathedrals:
the choir of Evreux Cathedral, the nave at York, the cathedrals of Utrecht,
Siena, Florence and Lucca all date from this period. The numbers of parish
churches, chapels and hospitals increased everywhere in response to the larger
areas covered by towns and the changing structures of traditional religious life.
The mendicant orders Dominicans, Franciscans, Carmelites, Poor Clares
established themselves with the support of both the people and the town
authorities: ., convents were founded between +.+o and +.-; .+ between
+.- and +,o.
3
The presence of such convents, as well as their numbers,
provide an additional means of identifying and classifying towns, since the gifts
of the faithful could lodge and support three or four convents. The church of
St Dominic at Perugia (founded in +,o) was a source of inspiration, with its
Urban life +o
3
Emery (+,o.), p. ,.
Cambridge Histories Online Cambridge University Press, 2008
three naves of equal height dramatically increasing the interior space. The
northern communes, the consulates of Italy and Aquitaine and other advanced
municipal regimes in England and Germany were all concerned about their
ocial buildings, the places of government and commerce which constituted
public palaces: the Palazzo Vecchio at Florence (built between +.,, and +,+);
the belfries sited at the very heart of northern and Flemish towns (Ypres
nished in +.s, Ghent nished in +,,-); the squares for public assembly in
Italy (the piazza del Campo in Siena or the Florentine piazza del Duomo); the
guildhalls of England and Flanders, French maisons communes or German
Rathuser, such as that at Breslau to say nothing of covered markets, bridges
and so on.
The towns of c. +,oo certainly do not present a picture of decline, although
there had been ominous portents on the horizon for at least two generations.
The bankruptcy of the patrician class (the merchant oligarchy whose domi-
nance was based on money and marriage alliances) was already evident in many
centres, where their corruption and inecient management of public nance
had already been denounced and attacked. The rift between rich and poor, the
popolo grosso and the exploited and humiliated popolo minuto, grew wider every
day. The rst urban problems sprang from this gulf, provoked by countless
injustices and the exploitation of the misery of the poor: strikes (Douai), riots
(at Ypres and Bruges c. +.so, at Paris in +,oo-), lasting revolts in Italy and
Flanders.
: cr+tr or strrrric
Chapter headings such as Era of the Apocalypse or The epoch of tragedies,
Century of aiction or Century of the Hundred Years War underline the
profound fracture in the west during the fourteenth century: catastrophe was
piled upon catastrophe; no town or generation was spared. The murderous
triple procession of famines, plagues and war were branded on the memory,
even when all the other factors which helped put an end to earlier expansion
were forgotten.
The vicious circle that had started in the second half of the thirteenth
century grew steadily worse. At an early date whole regions and complete
towns experienced diculties with food supplies: Castile from +,o+,
Languedoc the following year, Paris in +,o. Particularly disadvantaged areas
suered regularly from malnutrition, shortages and famines caused by poor
harvests, diculties of supply and the shameless speculation of merchants
and tax farmers, together with grossly inated prices and inadequate arrange-
ments for the storage of grain. People weakened by malnutrition were espe-
cially vulnerable to epidemics (Orvieto). The great famines produced
+oo jr:-rirrrr irct:
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wholesale slaughter in a world that was already overcrowded, especially in the
towns, which were natural outlets for rural overpopulation. Northern Europe
was aected in +,++o; Languedoc in +,,. and +,-; Catalonia and Barcelona
in +,,,. In that rst bad year +o,ooo died in Barcelona, .o per cent of the
population. In the few weeks between + May and November +,+o, the popula-
tion of Ypres was reduced by .,,- inhabitants, or +o per cent. An eye-witness
described how every day the bodies of those who had collapsed from starva-
tion had to be collected from the streets and hastily buried in ditches dug for
the purpose in new cemeteries. Moreover, fear of food shortages remained a
major concern of municipal administrations throughout the fourteenth
century. It partly explains their tight hold over the hinterland ( plat pays, contado)
which was in any case often incapable of feeding the citizens for a whole year
(Genoa, Venice), implementing authoritarian price controls and similar mea-
sures.
Illnesses termed plagues, often of uncertain origin, had already struck the
towns of the west more than once. At the beginning of the century Seville
(+,++) and Valencia (+,.o, +,,) had been severely aected. But these were a
mere prelude to the Black Death, which heralded universal pandemonium.
Carried in Genoese ships from Caa in the Crimea, it reached Messina in
September +,-. The plague bubonic plague, characterised by buboes
(inamed glandular swellings) and often accompanied by pulmonary
complications and septicaemia struck western Europe in +,-.. The
spread of this scourge can be traced from town to town: Marseille was aected
in November +,-, Avignon in March +,s, Lyon and Toulouse in April,
Rouen in July, Paris in August. It had reached London by the end of +,s,
Copenhagen and Bergen in +,,, Lbeck in June +,o. The disease slackened
its grip in severe winters, but was reactivated by heat and humidity. It dis-
appeared for a while, to return with a vengeance every ten or fteen years:
these crises occurred in +,oo,, +,-,, +,s.,, +,s,,o and at the very end
of the century. A combination of circumstances made the towns particularly
vulnerable: districts with high population densities, the presence of garrisons
and refugees in times of war, the insanitariness of poor housing, as well as the
promiscuity that prevailed there; then there were the rivers of semi-liquid
waste, that accumulated in the streets and contemporary opinion condemned
as an undoubted source of infection, and the proliferation of rodents and eas
which carried the disease. There are no precise mortality statistics, for the
numbers cited by contemporaries (oo,ooo deaths at Avignon according to the
papal doctor Guy de Chauliac) are sheer fantasy. Nevertheless, the severity of
the outbreak can be gauged by the wave of panic which seized those in impor-
tant positions (such as the rich men, richs homens, of Valencia) in their frantic
ight to isolated locations; by the attitude and resigned comments of others,
Urban life +o-
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and by the violent or emotive reactions of specic individuals. Higher levels of
purchase of mortuary cloths (Lyon, Florence), an appreciable increase in the
number of wills in notarial writing-oces (Besanon) or bequests to churches
and mendicant convents are all signicant factors. At the same time there was
a sharp drop in the number of taxpayers and apprenticeship contracts, as well
as in the revenue from municipal levies. It has been possible to assess the
impact of the epidemic upon population level from tax records. Two registers
from Albi, the tax lists (compoix) of +,, and +,-, show a fall in the number of
taxable hearths in the town from +,o to os. It has been estimated that the
population of Toulouse fell from o,ooo to +,,ooo between +,, and +o, a
decline of s per cent over seventy years. Most assessments conrm the
impression of demographic collapse given by the contemporary chronicler,
Jean Froissart, who wrote that a third of the world died.
4
Individuals in positions of responsibility at local level were well aware of the
gravity of the plague, the speed with which it took hold and the dangers of
contagion, although they were unable to understand the origin or causes of this
implacable calamity, traumatising in its very selectivity sometimes aecting
mainly adults, on other occasions striking primarily at children (the mortaldad
dels infants at Valencia in +,o.), the poor rather than the rich. They were reduced
to isolating the dying in their homes, or in hospitals which became little more
than places to wait for death; renting rough-and-ready premises, including old
wine presses (Nantes) or huts (Annecy); introducing controls and restrictions
on travelling, expelling foreigners such as soldiers or merchants who came
from regions already aected; sometimes they even had to dispose of the sick
before they were dead (Uzerche). Doctors and barber-surgeons were recruited
everywhere, together with nursing personnel but so were gravediggers. Every
cloud has a silver lining; the plague at least provided a (rare) opportunity to
clean roads and adopt public health measures, suppressing liquid sewage and
night soil dumps (bouillons et dpotoirs) and organising new drains and conduits.
It is still more dicult to assess the impact of wars on urban history wars
in the plural because the Hundred Years War, interrupted by treaties, over-
shadowed other shorter and more localised conicts. We need only mention
here the civil war in Castile between Peter the Cruel and Henry of Trastmara
in +,oo, and its continuations, the bloody struggles between various towns,
rivalry between seafaring powers in the Baltic, the ravages of brigands in France
or of mercenaries in the pay of communes or tyrants in Italy, the conicts in
Florence of +,o,, factional struggles (the Blacks and the Whites at Pistoia),
vendettas and even urban manifestations of peasant uprisings, such as the
revolt of English workers in +,s+. Each period of tension was accompanied by
+os jr:-rirrrr irct:
4
Froissart, Chroniques, ed. Luce, i\, p. +oo.
Cambridge Histories Online Cambridge University Press, 2008
sieges, pillage and massacres. The onset of peace might sometimes prove still
more dangerous, with the demobilisation of mercenaries, deprived of the pay,
ransom and booty to which they had grown accustomed. These dangers were
of course unequally spread. Properly fortied, the great urban centres were
better protected than large villages and unless there was some untoward inci-
dent, such as treason or a revolt they escaped the destruction of siege and
chevauche. It was only the unprotected suburbs that were at the mercy of the
smallest band. The chevauches of the Black Prince across Languedoc in +,,
then in northern Aquitaine before the battle of Poitiers in +,o, were campaigns
of systematic pillage and destruction in which the suburbs of Narbonne and
Carcassonne, and churches and monasteries on the edge of towns
(Castelnaudry), together with leather and textile workshops (Limoux), paid a
high price. The worst excesses were committed by bands of brigands (routiers)
operating around Paris and in the Ile-de-France in +,ooo; in September +,s
the Navarrese employed by Charles the Bad, who had just failed to take the
town of Amiens, took vengeance by ring the suburbs: according to Froissart,
over ,,ooo houses were destroyed in the blaze. Even making allowance for
exaggerations, there is no doubt that sixty years later there were still traces of
ruins and charred walls. The presence of a garrison was just as dangerous for
the area in which they lodged as for the hinterland which they systematically
ravaged, molested and attacked (travailliet, herriet et guerriet). English troops quar-
tered at Lusignan in Poitou were responsible for ravages that discredited the
occupying forces in the eyes of the indigenous population. Finally, there was
one other form of destruction in time of war: the deliberate burning of houses
both to free a clear line of re and so that they could not oer cover to any
assailant. Even when it was justied, this decision had catastrophic eects
(Tours, Poitiers).
Yet the trilogy of war, plague and famine, however catastrophic, cannot in
themselves entirely explain the diculties experienced by most of the towns
of western Europe in the fourteenth century. There were also individual
dramas in the general crisis. A freak ood at Narbonne in +,+o caused ,oo
dwellings to disappear in the course of a single night. Fires were also frequent,
since the majority of homes were still built of wood or cob and roofed with
thatch: , houses were destroyed in Strasburg in +.,s, while an unidentied
epidemic accounted for +,ooo deaths in +,+,+, according to a Basle chron-
icle; re ravaged Montbrison in +,, and an earthquake destroyed Montpellier
in +,-,.
The problems associated with the emergent modern state, the demands of
kings and princes confronted with urgent demands for money to establish
their administrations and diplomacy, levy armies and sustain their lifestyle must
also bear some responsibility for crisis in the towns. The citizens constantly
Urban life +o,
Cambridge Histories Online Cambridge University Press, 2008
denounced unjust taxes (malttes) and exactions, complaining about forced
loans, the ever-increasing rate of indirect taxation (aides), hearth taxes ( fouages),
direct taxation (tailles) and the salt tax ( gabelle). They frequently had to support
three levels of taxation: old feudal taxes levied by local lords, new taxes
imposed by the king or prince, as well as municipal levies to maintain town
walls and garrisons. Like the peasants they had, in some kingdoms, to bear the
consequences of repeated devaluation and manipulation of the coinage:
eighty-ve in France between +,,- and +,oo, more under Charles VI after +,s.
These measures seemed justied by the shortage of bullion and the hope of
wiping out debts while at the same time increasing surpluses, but they dis-
couraged investment by people of independent means, investors and mer-
chants, while creating a climate of uncertainty that was damaging to the
economy and trade. Return to monetary stability was one of the principal
demands of Etienne Marcel and of the delegates of the estates general of the
Languedol, meeting at Paris in +,s. The scorn, hatred and aggravation felt
or suered by strangers (the English at Paris in +,s), pawnbrokers, Lombard
bankers, Jewish communities persecuted during the Black Death and living
under the permanent threat of expulsion did nothing whatsoever to encour-
age investment or the resumption of business.
The city paid a high price whenever disaster struck or there was political
conict. Civic life was disrupted or even paralysed for several years, and the
consequences can be measured in terms of economic activity, social unrest and
insecurity. Whole districts lay in ruins or were abandoned by their inhabitants.
Fiscal records document case after case of desertions, habitually describing
places as frostes, desbastives, dekeues et awasties (Flanders); here and there, well-
maintained houses had been replaced by ruined and deserted buildings (masures
ruineuses, desherbreges). In +,- town ocials in Reims recorded falls in the rental
value of houses of the order of ,o to o per cent. At the same time, royal
commissioners visiting Troyes gave evidence in their report of the departure
of the majority of overtaxed inhabitants: [they] have left and are leaving the
town because of the charge with which they are burdened, and only ,oo
taxable hearths remain.
5
The fall of property values in supposedly wealthy
areas conrmed the scale of the disaster. Calculations based on the invento-
ries of the townspeople of the Toulousain made for tax purposes (livres des-
times) reveal that the overall estimate of urban wealth in the area, estimated at
+,-o,ooo livres tournois in +,,, fell to oo,ooo livres in +,s and to below ,oo,ooo
livres in +,,+.
The situation was repeated at a local level from building yards to workshops,
markets to tax farmers. However, we must refrain from generalisation. Towns
++o jr:-rirrrr irct:
5
Bibolet (+,-), ii, p. +.
Cambridge Histories Online Cambridge University Press, 2008
less acutely aected, or those which enjoyed an extended period of tranquil-
lity, recovered quickly, even from the plague. Lisbon was on the way to becom-
ing a great Atlantic port in the fourteenth century; Barcelona only showed
signs of decline at the end of the century; Avignon continued to exploit the
presence of the pope, and at a completely dierent level with the return of
peace and end of the War of Succession, small towns in Brittany were already
turning the modest resources of their hinterland to prot and joining the great
trade routes.
The diculties encountered in daily life were also responsible for the climate
of insecurity that prevailed everywhere. Signs of discontent, uprisings
prompted by misery and the exasperation of the lowest orders of society
became increasingly frequent, culminating with a paroxysm in the period
+,-ss., which was marked by disturbances at Florence (+,-s), Ghent
(+,-,s.), in towns in France and in the great French efs (Nmes, Le Puy in
+,-s, Montpellier in +,-,), in Germany (at Danzig, Brunswick, Lbeck). These
revolts did not usually last long, but their violence took people unawares: the
inhabitants hurled themselves on to the streets tradespeople, members of
guilds and their servants, building labourers, hired agricultural workers who
lived in semi-rural suburbs (Bziers in +,s+). The prospect of pillage lured
many from the fringes of society; they were joined by agitators with political
motives from areas favourable to radical change. Most chroniclers were
unsympathetic and speak of erois, commotions and communes, or use local names,
such as the rebeynes at Lyon, the Harelle (from the rioters cry of Haro) at Rouen
(+,s.), the revolt of the maillotins (carriers of mallets) at Paris (+,s.), the rising
of the Ciompi at Florence (+,-s) and so on. Historical and sociological
research has endeavoured to uncover cycles of violence, as at Lyon
6
or in the
Languedoc,
7
tracing the increasing level of discontent to its nal explosion,
and emphasising the xenophobic, anti-clerical and anti-Semitic sentiments that
resulted (at Paris in +,s.). Eorts have also been made to identify revolts
prompted by taxes and uprisings triggered by poverty, as well as those kindled
by political movements and dominated by strong personalities, such as Pierre
Coninc at Bruges at the beginning of the century, James and Philip van
Artevelde at Ghent (+,, and +,-s.) and Etienne Marcel at Paris
(+,s).
It is more dicult to document the chronic insecurity experienced by those
who had come down in the world, by the maladjusted and delinquents of every
description, and by the endlessly scrounging gallows birds to be found on the
streets, beneath porches, in graveyards and at every fair and market. In normal
conditions every social unit has a disruptive fringe; in the fourteenth century
Urban life +++
6
Fedou (+,o).
7
Wol (+,).
Cambridge Histories Online Cambridge University Press, 2008
this element was swollen by the inux of refugees, with rural poverty
aggravating the situation in the town, and exacerbated by increased destitution
and the presence of mercenaries. The town then became a magnet for fringe
elements of every kind, a pack of violent men, beggars or caymans, vagabonds,
ribald men and trollops in goliardic bands, besides professional criminals. The
richest judicial sources to date, the registers of the Paris parlement or the chtelet,
which incorporate thousands of trial records or letters of pardon, enable us to
reconstruct a disturbing subsection of society whose exploits were the talk of
the neighbourhood.
8
Eventually, the towns became concerned and imposed
constraints; in +, John II of France instructed one of his legal ocers, Pierre
Lieuvillier, to use all possible means to purge the kingdom of criminals who
disrupted public order, citing coin clippers, highwaymen, thieves male and
female, abductors of women, muggers, swindlers, those who give false
witness. The ordinance proved ineectual and the situation deteriorated to
such an extent that, in +,,, the citizens of Paris were afraid of going out after
nightfall, in case they were attacked by people of low degree. Legislation was
much concerned with vagabonds and layabouts (particularly shocking at such
a time of population decrease and labour shortages), prostitutes and the pimps
and ruans who protected them, whose presence was an aront to honest cit-
izens. An ordinance of John II the Good of +,+ gave beggars three days in
which to choose between work and expulsion, with heavy penalties includ-
ing branding with a red-hot iron for those unwilling to work.
But urban violence was by no means the exclusive preserve of down-and-
outs. The citizen had every opportunity to have a drink and warm himself in
one of the many taverns (sixty-six in Avignon). Behaviour was remarkably
impulsive: per cent of the cases heard before the Avignon law courts related
more or less directly to physical and verbal violence and brawls alone repre-
sented more than o per cent of the total, abuse (injure) - per cent, while theft
accounted for a mere ,. per cent of the total.
9
There are similar gures for
Paris, Reims, Rennes and the towns of the Touraine.
: cr+tr or cn:cr
The picture of misery habitually presented by contemporary chronicles and by
seigneurial and municipal archives should not blind us to the changes which
were taking place in towns in the fourteenth century.
Architectural expansion was checked neither by war nor by plague. The
general climate of insecurity even encouraged military building. All over
Europe authorities took the initiative in improving or extending their town
++. jr:-rirrrr irct:
8
Geremek (+,-o).
9
Chioleau (+,so), pp. ,.-,.
Cambridge Histories Online Cambridge University Press, 2008
walls, so that new areas were protected. Work was in progress at Hamburg and
Pisa in about +,oo, at Genoa and Regensburg from +,.o, at Louvain, Brussels
and Barcelona in the middle of the century, at Augsburg c. +,so. With the
resumption of the Hundred Years War, sleepy French masons yards that had
seen little work during the years of peace and demobilisation were rein-
vigorated. And so the fortications were improved in a number of French
towns: Reims after +,,-, Toulouse (+,so), Paris at the time of Etienne
Marcel (when the city was terrorised by both mercenaries and Jacques), Poitiers
under the rule of John, duke of Berry (+,-.++o). Everyone the king
himself, castle governors, local lords encouraged municipal initiative. An
edict of Charles V, dated +, July +,o-, ordered the French towns that enjoyed
especial royal favour (bonnes villes) to put their defences in order with a
minimum of delay. Although many town walls were improved and towers,
gateways and curtain walls better adapted to changes in siegecraft, neverthe-
less the results were by no means universally satisfactory, nor do they stand
comparison with what remains of the fortications at Avignon and York, or
at Obidos or Guimares in Portugal. By no means everyone was convinced of
the long-term importance of good defensive fortications. Individualism and
dogmatism combined to obstruct participation in the requisite collective
nancial eort (Poitiers). Bishops and canons were accused of culpable negli-
gence; the incensed townspeople of Reims invaded the archbishops palace,
claiming that he had failed to discharge his responsibilities as their protector!
Some badly managed and hastily executed works were notoriously inadequate.
Lack of funds resulted in sections of curtain wall remaining unnished,
replaced once the opening had been made with a simple fence (Troyes) or by
the back of houses (the so-called murenches at Annecy).
Improvements in fortication were accompanied by re-enforced garrisons,
militias and other defensive forces. When Florence was threatened by Henry
VII of Luxemburg in +,+., the city was in a position to mobilise +.,ooo citi-
zens, both contadini and mercenaries, foot-soldiers and cavalrymen. From +,+-
the townspeople of many French towns entreated Philip V to appoint vigor-
ous captains to defend them. As a result, the oce of town captain was wide-
spread and it became one of the hubs of local administration, the private
preserve of impoverished nobles who were tempted by the wages and material
advantages which it oered. Mobilising the militia was one of the duties of the
captain-governor. Theoretically, it was the duty of every head of household
between sixteen and sixty to present himself, armed, at every muster. These
individuals were then dispersed along the walls in units of twelve or of fty
men, known as dizaines, or cinquantaines. The town guard had three main func-
tions: to keep watch at the gates of the town (a prestigious task, reserved for
leading citizens), sentry duty on the towers and the night-watch (or arrire-guet)
Urban life ++,
Cambridge Histories Online Cambridge University Press, 2008
in the streets of the towns. We should not harbour any illusions about the
military calibre of the citizens: they were badly trained and equipped, with
little motivation. The sorties made by the citizens of Paris in the years +,os
and their clashes with mercenaries during the same period were far from
successful!
There was a gradual general improvement in the level of equipment in all
garrisons. The information supplied by the earliest accounts and inventories is
very disparate. The word artillery, taken in the very broadest sense, refers to
bladed weapons, catapults and other siege engines. The rst canons (called
bastons or engins) gradually made their appearance on the ramparts: heavy bom-
bards at rst (at Lille or Tournai from the early +,os), gradually comple-
mented by other, more suitable calibres serpentines, tapered veuglaires and
mortars with a vertical trajectory. They required specialists to handle them,
under the command of a master of canons gunners rather than merely
blacksmiths. Some towns became famous for the manufacture of arms: Lige
had gunsmiths, besides manufacturers and nishers of swords; from the four-
teenth century onwards there was a sizeable iron and bronze re-arms indus-
try at Dinant and Namur, while huge orders for armour and equipment were
vital for the economies of Milan, Brescia and other Lombard cities.
Whenever towns had a respite from warfare or if they were simply lucky
enough to escape it they continued to expand and increase their massive
resources. The landscape underwent a process of continual expansion both
inside the walls and beyond them, sometimes changed out of all recognition.
After the papal move to Avignon, complete with cardinals and all the depart-
ments of the papal curia (+,o,-s) and accompanied by a great wave of immi-
grants, the town of Avignon was completely remodelled. Continued growth
within the town saw the building of a fortied papal palace, individual man-
sions and other buildings to house a population that quickly doubled to more
than ,o,ooo. The Italian towns continued to expand and an increasing number
of private and public palaces were built: the mid-century Bargello (or Palazzo
del Podest) at Florence, the Palazzo Pubblico at Siena and the Palazzo Ducale
at Venice. These were public palaces on the grand scale, with splendid faades
decorated with painting or sculpture, such as the Platea Communis at Parma,
or the Sienese Campo. Then there were the fountains, often copying the mas-
terpieces of Niccolo Pisano of Perugia, and the bridges lined with shops, such
as the Ponte Vecchio at Florence or the Ponte Nuovo at Pisa. The same vital-
ity was reected in the new belfries of northern European towns with their
clocks and bells (Bthune, Bruges, Douai, Ghent, Termonde), as well as in the
town halls (Rathuser, Brgerhuser) of German towns (Aachen, Cologne). The
commercial facilities which promoted trading activities also developed: they
ranged from simple arrangements for bakers and shmongers, from
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merchants booths and covered galleries (such as those documented at Geneva
or Chambry), to purpose-built market halls the size of cathedrals (Florence),
the rst bourses, or money markets (Bruges, Barcelona) or the monopolistic
arsenals of Venice and Barcelona. Even in a country ravaged by war, the pres-
ence of a royal or princely court stimulated a revival. The arrival of John, duke
of Berry, at Poitiers at the end of the century brought relief to a settlement
laid waste by constant warfare, as well as the deliberate re of +,o. It provided
the stimulus for a fresh division of the land into individual plots, construction
of a great clock tower (the Gros Horloge), restoration of the comital palace,
cathedral and town walls. Despite the disruption of the events of +,ooo,
Paris and the Ile-de-France experienced renewed urban growth in the reigns of
Charles V and Charles VI, with the extension of the Louvre and new town
houses for the higher nobility (which stimulated complex land and property
transactions); college buildings for students also transformed entire
neighbourhoods, such as the university quarter in Paris. There were similar
revivals at Mantes, Meaux and Tours, as well as at Rouen, with building works
for both the cathedral and the church of St Ouen.
For ecclesiastical building continued in the fourteenth century witness, for
instance, the cathedrals at Florence (the most noble church in Tuscany),
Orvieto and Siena.
10
English builders produced masterpieces of the
Decorated and Perpendicular architectural styles, such as the choir and clois-
ter at Gloucester (after +,o), Exeter Cathedral and the naves of Canterbury
and Winchester. This period also saw the construction of the unique church
of St Mary-of-the-sea at Barcelona and the cathedrals of Malines and Huy.
Pressure on existing urban layouts is reected in the further subdivision
of plots (along the Strand in London, for example), alterations in the plan of
existing neighbourhoods (as in the Rive quarter at Geneva) and the building
of more new suburbs. (According to J. Heers, seventy examples of settlements
outside town walls are documented for the period +,.os.
11
) The fourteenth
century saw the development of a concept of urban political theory, backed
by coercive legislation. From +,o, the city councillors (aediles) of Siena required
formal permission for building beside a road; elsewhere municipal authorities
forbade extensions, projecting towers, galleries or balconies which broke the
unity of the existing street faade, as well as impeding the circulation of trac
and cutting o the light. There was also demonstrable progress in sanitary
arrangements: at Pavia and Vannes, for example, drains were laid to complete
the Roman system that was still in use; elsewhere, priority was given to paving
the more important streets; the distribution of drinking water was improved
by the construction of wells, aqueducts, underground conduits and fountains.
Urban life ++
10
Bargellini (+,--), pp. oo+.
11
Heers (+,o+).
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Even underground drains, however, could not hide the shortcomings of the
system, or the appalling pollution in areas inhabited by butchers, dyers and
tanners.
It is dicult to say whether these public works played any part in increasing
the responsibility of the individual citizen at a local level, for such municipal
progress was by no means universal. A town might lose its right to self-gov-
ernment if it had no charter, or simply in the natural course of political evolu-
tion. Even so, it is important to realise that, in the so-called emancipated towns,
the common people did not always want to preserve the existing communal or
consular privileges which had brought them nothing, preferring to replace
corrupt oligarchical government by a royal ocer, who could oer them
eective protection. The issue was expressed in these terms at Sens,
Compigne and Senlis at the beginning of the fourteenth century. Tournai, vir-
tually on the border with the county of Flanders, had a highly advantageous
communal charter that gave it a substantial degree of autonomy; these liber-
ties were suspended by Charles V in the fourteenth century, and a royal bailli
appointed. Saint-Quentin was similarly unfortunate: the charter was
suspended in +,++, for an attempt to deceive the king about the nature of its
privileges! There were heavy penalties for the crime of lse-majest. The kings
fury (ira regis) struck Meaux, accused of collusion with the supporters of
Etienne Marcel and the Jacques; there were executions, followed by the aboli-
tion of municipal privileges; henceforth the town was governed by the prvt
of Paris. Rebellions incited by extreme poverty and excessive taxation met
equally harsh punishments in Rouen and Paris in +,s.,.
Towns that had not yet received the right to self-government remained
subject to seigneurial authority (in Brittany). Others (above all in Lombardy)
that were embroiled in endless conicts chose to renounce their unequal and
sclerotic pseudo-democracies and put themselves under the tutelage of a
signore a tyrant kept in power by the proletariat and mercenaries, who estab-
lished a dynasty through the transfer of his dictatorial powers to his children.
Matteo Visconti (who died in +,..), captain of the people for life, imposed his
law and descendants upon Milan, capital of a principality that was elevated to
the status of dukedom in +,,. The Visconti were emulated at Ferrara by the
marquises of Este, at Genoa by Simone Boccanegra (lord and doge for life),
as well as at Bologna and Verona. Venice believed this fate had been averted by
the execution on + April +, of the ambitious doge, Marino Falier, a product
of the new men or homines novi, but the city fell instead into the vice-like grip
of the aristocratic ruling Council of Ten.
Setting aside these reservations, it is undoubtedly true that isolation in times
of war, the diculties experienced by governments attempting to control any
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crisis, the politics of continual haggling between the ruling power and the
various collective interests generally favoured the urban privileges enjoyed by
the bonnes villes.
12
This expression was increasingly used to denote supposedly
rich and prosperous urban settlements, enclosed with town walls (thirteen in
Forez, twelve in the Lyonnais, eleven in the Bourbonnais), endowed with a
minimum of institutions, but enjoying special relations with the king and his
court. These took the form of letters exchanged with cunning cordiality
(Tours), despatch of delegations to the royal court and to representative
assemblies of the nation and displays of loyalty each time the king made a
formal entry into the town. Improved relations with the French crown were
most evident in the least-developed areas. Chronicle evidence indicates that
citizens were most frequently called upon to negotiate directly with princes and
their captains, and with the leaders of armies, to discuss matters and to give
fealty and homage.
Generally, the apprenticeship of municipal government began with the
collection of local taxes (deniers communs). This had previously been the duty of
the princely and seigneurial authorities, but they accepted a transfer of
responsibility and authorised the citizens to levy the taxes necessary for public
works themselves. Rebuilding the town walls, purchase of new arms, payment
of the garrison and militia, the costs of representation and general improve-
ments all justied the establishment of a budget. Thus we can estimate that
about so,ooo livres (in money of account) would be required to build an average
town wall, two kilometres long, or to construct four gates and some thirty
towers. Rebuilding the walls at Cahors required o-,ooo livres in +,., repairs at
Reims came to nearly +o,ooo livres, i.e. the cost of .,ooo houses. In the late
Middle Ages many towns spent most of their resources as much as -o or so
per cent in some cases on their ramparts! Financial problems soon loomed
large. The usual sources of income of small places city tolls, rents from
sheries in the town moat and from meadows, income from the operation of
quarries or of tile works (Annecy), the sale of salvage, judicial nes could be
no more than a stopgap. It was not long before urban taxation, both direct and
indirect, became standard throughout Europe. Municipal administrations
everywhere under the periodically renewed authority of their sovereign had
recourse to exceptional levies. Their level was calculated in relation either to
the sum required (Prigueux, Saint-Flour), or (in Italy) on the basis of the
allibramentum, which was assessed on the estimo, or inventory of goods.
Elsewhere these taxes might take the form of more-or-less enforced loans
(Dijon in +,so,, Siena, Pisa), subsidies from kings, bishops or popes
(Prigueux, Rouen, Avignon). Taxes appeared everywhere on nished and
Urban life ++-
12
Chevalier (+,s.).
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marketed goods, as well as on foodstus. The only dierences were the names
by which they were called: leydes or leuda, barrages or cloisons. Taxes on the sale of
drinks, especially wine, guaranteed the best level of return: they were called
souquet in Aquitaine, courte pinte in Burgundy, billot or aptissement in Brittany.
Since the town walls protected the entire community including the peasants
in the surrounding countryside the taxation that paid for them was theoret-
ically levied on the entire community, but in reality a whole range of exemp-
tions operated for the benet of clergy, nobles and ocials.
The administration of taxation and expenditure meant that registers or rolls
of accounts became commonplace from the second half of the fourteenth
century. The existence of series of accounts in some instances complete over
long periods (Chambry, Saint-Flour), in others only fragmentary (Dijon,
Poitiers) make it possible to follow the development of the towns annual
revenues, in money payments or kind, and to determine the principal heads of
expenditure: public works, the upkeep of the town walls (lhobra dels murs, as it
was called at Rodez), payments for expropriations, weapons, ocial functions
and embassies, salaries of town employees, lawsuits and the repayment of
loans. Keeping these accounts, recording minutes, drawing up regulations and
estimates all these functions presupposed a qualied personnel of scribes
and notaries (town clerks in England), subject to rigorous control and some-
times including ocers of the king of France, the bailli of Rouen and members
of the chambre des comptes (French royal accounting oce) elsewhere.
In this way town administrations gradually took shape. The spectacular but
episodic general assemblies of citizens to discuss the common good, the
arengo of the Italian communes, were soon replaced by oligarchic councils of
lus or prudhommes, and by their ocials, whose role was temporary at rst, but
then became permanent. Procurators representing each community appeared,
together with variously named communal representatives syndics, consuls
and chevins. The practice also spread of appointing accounting ocers and
other ocials responsible for public works, artillery, fountains and bridges
(Avignon, Dijon).
The diculties of the century accentuated the dierences between rich and
poor, between an auent towndwelling minority, inuential business associ-
ates or rivals, and a world of toil where there was a great gulf between master
and workers and at the very bottom of the social scale the underworld of
those who had no place at all, a strange mixture of rejects from a society that
they themselves had scarcely glimpsed.
Our sources indicate that the range of eminent citizens, those referred to in
documentary sources as riches hommes, hritables or hrditaires (in Flanders and
Germany), viri de plate or placiers (Narbonne) expanded. They came to include
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representatives of the ordinary people (the popolo grasso) in addition to the
traditional members merchants of historic towns, often hit by crisis; their
equivalents on the new trade routes to the north and east between Europe and
the Atlantic, epitomised by the German Hanseatic League; the heads of the
great Italian banking companies, still family based. There were also more
lawyers, notaries, proctors and advocates, all university educated or trained in
the writing-oces of their future colleagues (Lyon); there are records of
increasing numbers of high-ranking magistrates, state ocials, members of
representative assemblies, exchequer or accounting departments, followed by
tters-out of ships, galleys and smaller vessels, then tax farmers, courtiers and
(in Florence) masters of the major guilds. It is particularly dicult to under-
stand let alone classify this motley world of wages and salaries, commis-
sions and honoraria, pensions or even pots of wine. Some accounts, wills and,
above all, tax registers (estimes, vaillants and compoix) provide the basis for a quan-
titative assessment of their wealth and social position. Each town had the elite
it deserved, and there is no comparison between small shopkeepers in the
Forez (such as the Lardier of Montbrison, who could scarcely raise the pitiful
gure of .oo to ,oo livres required to diversify their investments) and the Le
Visite, a family of rich lawyers at Lyon; the Rouen merchant family of Le Lieur,
or the London wine and wool merchants who enjoyed such inuence in the
reign of Edward III; let alone the Venetian shipowners along the Grand Canal
and the Rialto, or the Bardi of Florence who possessed the huge capital sum
of . million orins at the zenith of their success.
Nevertheless, these very dierent individuals have points in common which
had a profound eect on urban life and on society as a whole. Their success
was often remarkably transitory. Who in Florence in +,oo could possibly have
foretold the crash, forty years later, of those same Bardi, who (with the
Perruzzi and the Acciaiuoli) became embroiled in risky banking operations,
with royal creditors failing to make repayments; nor could anyone have fore-
seen their replacement by a second generation of nanciers the families of
Alberti, Ricci, Strozzi and Medici. Aware of the danger and prompted by their
instinct for self-preservation, the rich tended to diversify their activities and
seek out fall-back positions which would oer them relative security. Whatever
the level or age of their wealth, all these parvenus displayed the same concern
with property investment; they also exploited the outward signs of honour and
the opening of the ranks of the nobility. No one could become a member of
the Council of One Hundred at La Rochelle unless he lived and owned prop-
erty within the town walls. As the writer Nicholas de Villers of Verdun said,
[Rich] men acquire houses, vineyards, meadows and elds.
13
The formula
Urban life ++,
13
Schneider (+,o), p. .o.
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underlined the minority capacity for acquiring land, property, rights and
rents. The family house was the investment par excellence, renovated and
extended by successive acquisitions, variously called the ostel, hostel (Arles),
tnement (Rouen), manoir, torre (Italy) and ideally located in the main street
(grande rue, magna carriera), near the cathedral or market halls and the hub of
the enclosed city. Nevertheless, we should not ignore the citizens interest in
letting property, their speculative activity in the poorest quarters, garrets let
out to students, inns (Toulouse), gardens and other areas where building was
not permitted (non aediW candi) (Geneva, Ghent). Very few of the substantial
town houses whose lights in the fourteenth century dazzled the town at night
with their magnicence have survived the passage of centuries. The Italian
merchant cities of Florence, Venice and Siena were most splendid in this
respect. In the absence of surviving examples, there is evidence from
classications according to price of houses valued at +,ooo and .,ooo livres
and over (Reims, Saint-Flour), references to building materials, to stone
shining like Parian marble at Caen, evidence of sculpted panels, wall-paint-
ings and metalwork, in short all the outward signs of wealth: vaulted cellars
(Ghent, Geneva), loggias and galleries, monumental staircases, wells, lavato-
ries, ne furniture, windows, works of art. The purchase of plots of land in
the suburbs and elsewhere, of farms and smallholdings with sharecropping
agreements more rarely a lordship constituted another step towards the
ultimate and crowning success, the grant of nobility which signied a total
change of status. Texts and miniatures also reveal that well-to-do citizens
were interested in their wardrobe, as well as in jewels and precious objects,
valuable plate, the pleasures of the table and in games of chance to such an
extent that sumptuary laws and moralists at times exhorted them to greater
moderation, urging them to curb the desires of both themselves and their
wives! Their interest in manuscripts is an indication that eminent citizens
were far from uneducated at this period. Townspeople played an important
role in the development of secular culture, both through the spread of com-
munal schools which are to be found even in the smallest towns of Savoy,
Poland and the Armorican peninsula, and by sending their own children to
university. The citizens pride, his concern with being seen to do well and a
highly developed fear of an after-life, rather than profound personal devo-
tion, inspired him to sacrices that no doubt came hard to members of a
class that was not by nature generous, and who were criticised for their greed.
In fact, their patronage was translated into a sprinkling of gifts to churches,
convents and hospitals, by payments to colleges of students, religious guilds,
chambers of rhetoric (the puys of Flanders, also to be found at Rouen), the
commissioning of works of art and, nally, the chapels which would contain
their tombs.
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Facing this elite was the working world of yards and workshops, which
made its mark on the fourteenth century with its numbers and presence, as
well as by its demands. In large towns, masters of corporate associations vari-
ously termed guilds, trades and arts (confrries, mtiers, arti), with
responsibility for their members and apprentices, artisans and labour, were a
social force to be reckoned with. Parisian tax registers list at least ,ooo arti-
sans in about +,oo. There were thousands of female spinners, weavers,
carders, nishers of cloth, fullers and dyers at Bruges, Ghent, Florence,
Reims, Rouen and Toulouse and so on, at the mercy of their employers, the
merchant-drapers who distributed raw materials and exported the nished
goods. Guild members and their servants had miserable wages and deplor-
able working conditions; in Flanders they had to face the threat of unemploy-
ment, as a result of Edward IIIs embargo on exports of English wool at the
beginning of the Hundred Years War; and they had to face the scorn of the
more auent members of society, who called them names such as blue nails
(ongles bleus) at Ghent, Ciompi at Florence, or even simply scum (merdaille).
Wages uctuated for part of the century, increasing after epidemics until they
were frozen by ordinances of Kings Edward III and John II (+,,, +,+,
+,). They just covered food and the rent of a garret a room of twenty
square metres in the university quarter at Paris, for instance. There was never
sucient to cover price increases or pay o debts. The + deniers daily wage
of a Poitevin worker, for example, bought , kg .oo of bread in +,o., but only
+ kg ooo in +,-., when there was a famine! Contracted markets, a reduction
in the number of customers as a result of successive epidemics, increased
competition from rural industries producing goods at a lower price, or simply
a change of fashion any of these factors could prove disastrous for tradi-
tional industries. Leather workers were among the rst to suer (Pisa);
because of their dependence upon urban prosperity, drapers and weavers
were similarly aected. The eects of economic stagnation soon made them-
selves felt in the old textile centres of northern Europe, at Arras, Douai,
Saint-Omer, Ypres and Ghent. These diculties explain protectionist mea-
sures, both internal and external: strangers were forbidden to sell nished
goods in local markets; there was a ban on peasant weaving within a certain
radius of the town (ve kilometres at Ghent in +,+). Access to the higher
echelons of the trade became virtually restricted to the wealthy and privi-
leged sons of existing masters. In the course of the fourteenth century cor-
porate statues, known in France as la chose du roi, became standard, as did
practices such as the long and costly preparation of a masterpiece, the dis-
tribution of gifts and banquets for future guild members. This conservatism
eectively blocked the social advancement of anyone from the lower classes,
aggravating existing inequalities. Together with the pressure of taxes and
Urban life +.+
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price increases, they contributed to a state of discontent, which proved a
favourable breeding ground for illicit alliances and the earliest social move-
ments, such as the Flemish takehan or the Italian ristopio, as well as the out-
breaks of urban violence already mentioned. Many towns were also the scene
of conict between patricians and guild masters for control of the magis-
trature. A town like Augsburg (which solved its problems with a division of
power and the establishment of a two-chamber system in +,os) was fortu-
nate. Force won the day in most instances (Nuremberg in +,s, Cologne in
+,,o) and eventually authoritarian regimes were established. Italian despots
were quick to exploit situations of this kind.
Nevertheless, a pessimistic view of economic and social conditions in
the towns at the end of the fourteenth century runs the risk of obscuring
other developments that were taking place. Imperceptibly, work in the
towns underwent a gradual metamorphosis; techniques improved with the
more widespread use of the wheel, more ecient looms and industrial
mills, which sometimes clustered on river banks in such numbers that they
endangered trac on the water (Annecy). There was a higher level of pro-
fessional expertise, and occupations became more specialised; new
branches of existing trades were developed in response to both the
demands of less easily satised clients and to the increasing complexity of
the job in hand. Cannoneers, who had been no more than blacksmiths in a
dierent area of work, became entirely distinct specialist craftsmen.
Although crisis in the textile industry had an adverse eect in many cities,
high quality production continued, with an unabated demand for
Florentine brocade and silk from Lucca. This was also a period in which
new centres developed in small towns that were able to adapt to the
demands of a popular clientele, producing lightweight materials that were
competitively priced. This was the case in Malines, Hondschoote,
Herenthals in Brabant, Bergen-op-Zoom and many small cloth towns in
England and Brittany. There was progress in other artisan activities, such as
armoury, the manufacture of paper and parchment, shipbuilding (the naval
dockyard of the French kings at Rouen).
Although the vitality of a city nds expression in its work, it is also
reected in its entertainments. There are better records from the four-
teenth century than from previous periods of the secular festivities which
enabled the townsfolk to forget their daily cares and cast o habitual con-
straints, as well as of the numerous religious festivals, coronation and
Corpus Christi processions (the latter became common from the
ponticate of Clement V, venerating the real presence of Christ in the
Eucharist), receptions of princes and embassies and the joyful entries of
the king ( joyeuses entres du roi) in France, soon imitated by other princes,
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when the town received its ruler with a sequence of scenes following a care-
fully determined route.
The contradictions of urban history at this period make it dicult to draw any
general conclusions. I shall end with a quotation from a recent work by R.
Fossier: diculties and progress were so nely balanced that contemporaries
were uncertain of the direction History was taking.
14
Urban life +.,
14
Fossier (+,s,), p. ,.
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cn:r+rr -
PLAGUE AND FAMILY LIFE
Christiane Klapisch-Zuber
:rotr +,oo, it seemed that the population, to some degree everywhere in
Europe, had attained its maximum and reached a ceiling. There were still few
signs allowing one to foretell the slowing-down of the expansion begun almost
three centuries before; these signs were to multiply in the rst half of the four-
teenth century. It was then, in the very middle of the century, that the terrible
knell of the Black Death sounded. Thus a period opened characterised by the
deadly and repeated attacks of what contemporaries interpreted as a sign of
divine anger provoked by human depravity. The century closed, in fact, with
another major epidemic of the terrible illness and the fteenth, begun in an
atmosphere of mourning, was to bear its ineradicable stigmata. The plague
henceforth accompanied medieval man as ineluctably as, to use the words of
Alain Chartier, the abominable sum of innitely wicked evils: hunger, war,
death.
No historian doubts that the brutal irruption of a scourge which was to
become a pandemic and aect the European population for centuries stimu-
lated profound upheavals in modes of production, living and feeling. An
evaluation of the precise eects of the epidemic, of its place in the periods
procession of evils, is more dicult. Did the plague, falling upon Europe,
operate autonomously to subvert or renew the structures of feudal society?
Was the terrifying skeleton which led an entire society in the Dance of Death
the model on which historians should base their analyses? Did an increased
death rate play a providential and decisive role in the human disturbances?
Research undertaken before +,o attempted to evaluate the blows delivered
by the plague; economic historians plotted the graph or, rather, the graphs,
as numerous and diverse as the towns or country villages studied of the
movement of the population at the end of the Middle Ages. For a whole
generation who rubbed shoulders with Marxism to a greater or lesser extent,
comparison of population graphs with those of prices and wages constituted
a promising horizon. Establishing knowledge of the medieval period on solid,
+.
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quantied foundations, by annexing the methods of serial history which had
renewed understanding of the modern period, constituted the most noble of
objectives, despite the diculties scattered in the medievalists path.
Did historians question more recently the whole numerical range of disasters
and modes of evaluation? We should rather speak of a shift of emphasis in
research rather than the abandoning of approaches previously followed. One of
the most fruitful ways in which the historical writing of recent decades has
tackled these questions has been to examine the overall demographic reactions
and the behaviour of individuals at the point where they meet the family.
Research undertaken after +,-o has been inspired by the success of works of
historical demography on the modern period and reects the concern to
characterise the demographic patterns of the Middle Ages. The study of the life-
cycle of the individual and of the evolution of the demographic variables in a
population has taken priority over population estimates of a particular town or
region. For their part, the sociology and the anthropology of the family have
given rise to a shift in interest. Their critical contribution has made clearer to his-
torians the reasons for their dissatisfaction with their own tools: for example,
average family size or the estimated number of individuals in a household
(hearth), which was the eternal stumbling-block of so many medieval estimates,
recovered its meaning if it was now considered as the product of complex rela-
tionships, a sort of crossroads of demographic and economic constraints, jurid-
ical norms and family strategies. Not only the composition of the household
and the roles attributed to each of its members, but the articulation with the
wider world of kinship, neighbourhood and the community could become
central objects of historical analysis. Family structures, relations between
spouses, relatives and generations, the functioning of the domestic cell as a unit
of production and reproduction thus became a primary preoccupation.
In this historiographical context, the problem of changes possibly
prompted by the outbreak of the plague and rise in the death rate required a
new approach. It was henceforth a question of reecting less on an environ-
ment and more on the mechanisms and the individual or collective reactions
to the challenges of illness, death, numerical reduction, economic annihilation
or social decline. It was, moreover, a question of dening the medieval demo-
graphic system. Was it possible to talk of continuity between the European
demographic system of the Middle Ages and that of the modern periods?
Between the high and the late Middle Ages? Did a complete rupture aect the
variables of the demographic system and of family organisation suciently
deeply for one to talk of dierent systems? If there was a break, what role did
the outbreaks of plague play? Medievalists have thus been called upon to assess
the place of the death rate and evaluate the other demographic statistics to
compare them with those of the modern period.
Plague and family life +.
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Alas, their sources did not have the unity, coherence and continuity of the
parish registers and scal or religious censuses of the ancien rgime. How, then,
were the methods of analysis devised in the use of early modern registers of
births and deaths to be applied, when the medieval evidence which could be
used remained desperately fragmentary and incoherent, almost always con-
cerned a social elite and was therefore little representative of the population as
a whole? The problem of sources was all the more acute as the historians
appetite grew.
Historians of the Middle Ages are used to turning everything to good
account; but, in order to make their data reveal something about the death rate,
the marriage rate and fertility of these periods, they undertake high-risk opera-
tions. Criticisms of such eorts are easily made and often justied. Wills, it is
said, can at most be used to calculate a replacement rate, not a death rate, still
less to determine fertility. Even censuses, for a long while the only resource of
medieval historical demography, are rarely exhaustive and for the most part
covered a limited population in such an incomplete way that all generalisation
is questionable. Moreover, only exceptionally do we have data at this period
about the local population in aggregate and about demographic variables the
number of deaths, for example, over a given period and in a place whose
population at the same date is known. Finally, what about seigneurial taxes on
marriage, illegitimate children, deaths and succession, which must take account
of a degree of evasion which is dicult to assess? Will they ever present any-
thing other than questionable values, obtained at the price of repeated
manipulation of evidence?
1
Does this mean we should stop trying to give the epidemics of times past
their rightful place and penetrate the secrets of the medieval demographic
system? Certainly not. The work of the last two or three decades has at least
enabled us to adjust the working hypotheses. It is this above all which this
chapter will attempt to take into account: lines of enquiry much more than
the mass of multiple, partial and undoubtedly provisional results which
research on population and the family has multiplied in the last twenty or
thirty years.
rorti:+io rrciir
A prime necessity retains its urgency; as I have said, to meet this comes down
to establishing oneself within an old and fertile historiographical tradition. The
+.o cnris+i:r ki:riscn-ztrrr
1
For criticisms of the use made of data drawn from English manorial court rolls, see Hatcher (+,so),
esp. pp. .o.. For hearth registers and books of land taxes enabling the calculation of the number
of houses and the density of the urban population, see Heers (+,os). For surveys of hearths in
Burgundy, see Leguai and Dubois in La dmographie mdivale (+,-.); Carpentier and Glnisson (+,o.).
Cambridge Histories Online Cambridge University Press, 2008
description of the evolution of the population development and its stages, in
the various countries of Europe, and the assessment of the extent of its
decline, from before the Black Death then in relation to the recurrent out-
breaks of the epidemic, has continued to sustain the interest of recent works.
2
Traditionally, the picture which resulted from this was broadly based on nar-
rative sources. These sources were often deceptive and sometimes actually mis-
leading:
3
thus, the silence of more than one contemporary chronicler in the
face of the Black Death of +,-, has been observed, as if terror and
stupefaction had stopped his speech.
4
Worse, when his successors took heart
and advanced gures for the losses caused by recurrent outbreaks of the
scourge, it is generally impossible to credit them, other than as a gauge of their
fear. However, population counts from cadastres and hearth counts, regis-
ters of hearth taxes and assessments of wealth, of salt consumption, of those
individuals liable to tax, books of citizenship and so on have been exhumed
or rediscovered, published or utilised in considerable numbers since +,oo.
5
While not yet as diverse and abundant as those of the following century, the
archives of administrations royal, manorial or communal became richer in
the fourteenth century. Drawn up for various purposes, all these sources can
reveal specic correspondences in the movement of the population and
permit calculation of common reasons for it. They shed light not only on the
properly numerical eects of the epidemics but also on the vigour of the
authorities reactions and the forms they took.
Deceleration of demographic growth
This is documented throughout Europe, to some extent, in the rst half of the
fourteenth century; likewise the stabilisation of the population at what was
admittedly still a very high level. Uniformity was undoubtedly not the rule; here
and there, areas or communities maintained their population level, when
others were already falling.
Thus, in the rst half of the fourteenth century, contrasting situations seem
to have characterised England, whose total population, reaching between
million and o million (even - million) inhabitants after +,oo, would have trebled
or quadrupled in two-and-a-half centuries.
6
Dicult though an assessment of
the evolution of the population between +,oo and +,s may appear, the stagna-
tion or demographic decline of villages and towns at the local level are scarcely
more accessible. Following close on the heels of the debate opened by the
Plague and family life +.-
2
The classic picture remains that of Mols (+,o).
3
Bulst (+,s-).
4
On this silence, see Dubois (+,ssa), esp. p. ,+s.
5
For a detailed list of those works which appeared before +,-,, see Fossier (+,-,).
6
Russell (+,oo); Postan (+,-.); and, for the higher gure, Hallam (+,s+); Titow (+,o+).
Cambridge Histories Online Cambridge University Press, 2008
Neo-Malthusian theses of M. Postan from the +,os,
7
English and Canadian
historians have increased their research on demography and access to the land
and the means of production in medieval manors and villages. Without bring-
ing direct proof of continued rise or of an early decline, they have at least pro-
duced many examples of rural discrepancies.
8
On the manor of Halesowen in
Worcestershire, for example, the population seems to have declined by + per
cent in the famine years of +,+o+-, while the population of that of Coltishall
in Norfolk the countrys most densely populated region seemed to have
held up until the Black Death.
9
According to its recent historian, Bury St
Edmunds, in western Suolk, came blithely through the dark years of the four-
teenth and fteenth centuries, although the town may have lost o per cent of
its population between +,- and +,--;
10
but Coventry, at the very heart of the
country, reached the sixteenth century in a state of total desolation.
11
Throughout northern Europe, recession often had a violent eect upon towns,
while mysteriously sparing some of them.
12
Discontinuity is no less striking between one region of France and another.
When the population was at its highest point marked by the great hearth
census (grand tat des feux) of +,.s
13
the country could have reckoned with
some + million inhabitants within its borders at that period, but the move-
ment to found new towns (villeneuves) and bastides had died out and a good
number of recent creations had already disappeared.
14
Stagnation, and even
some decline, also characterised the towns during the second, and above all
after the third, decade of the fourteenth century, the numerical high point
occurring for most of them c. +,.o,o.
15
This can be observed in Normandy,
in Reims after +,.o, at Prigueux after +,,o, in upper Provence and at
Marseille.
16
But this trend was not uniform: the Biterrois, for example, which
was no great distance from Provence, and even lower Provence, show no signs
of a falling-o before the plague.
17
Finally, to take only the example of Italy from the Mediterranean countries,
18
the population there seems to have reached its peak c. +.,o, with perhaps ++
million inhabitants.
19
From Piedmont to the towns of Emilia and Romagna, to
Tuscany and even the southern regions and the islands of the Mediterranean,
+.s cnris+i:r ki:riscn-ztrrr
7
Postan (+,oa) and (+,ob).
8
Raftis (+,-); DeWindt (+,-.); Britton (+,--); Smith (+,s).
9
Razi (+,so); Campbell (+,s).
10
Gottfried (+,s.), esp. p. ..
11
Phythian-Adams (+,-s) and (+,-,); Dobson (+,--).
12
For the Low Countries, see Prevenier (+,s,). For Germany, Dollinger (+,-.).
13
Published in Lot (+,.,).
14
Pesez and Le Roy Ladurie (+,o); Higounet (+,o).
15
Higounet-Nadal (+,so), esp. pp. +,o, and (+,ss), esp. p. ,o+; Dubois (+,ssa) and (+,ssb).
16
Bois (+,-o); Higounet-Nadal (+,-s), ch. .; Lorcin (+,-,); Baratier (+,o+), pp. so+; Desportes
(+,-,).
17
Gramain (+,-.); Bourin-Derruau (+,s-).
18
Les Espagnes mdivales (+,s,); Berthe (+,s); Guiller (+,s).
19
Beloch (+,,-o+); Bellettini (+,-); Del Panta et al. (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
the drop in population did not wait for the Black Death.
20
For Tuscany, the
studies of E. Fiumi and D. Herlihy in particular have demonstrated that, at the
end of a period of sustained growth, the population stabilised and remained at
a very high level between +.,o and +,.o; but in the second quarter of the four-
teenth century, from before the Black Death, it declined very markedly.
21
This fall in population did not occur in an orderly fashion by abandoning in
a calculated way lands that had been quickly colonised but had proved
unprotable in the longer term, or by leaving sites that were too exposed and
indefensible, and by transferring eorts to other more productive locations. It
was in the angry rumbling of people made furious by dearth and speculators
in foodstus, the desolation of devastating crises of mortality, that the great
retreat of the population started. Cruel famines ran through the rst half of
the fourteenth century, sometimes followed by murderous epidemics, heralds
of the notorious Black Death. In Italy, shortages became frequent; that of
+,.s, hit much the greater part of the peninsula,
22
and in +,,,o, then
+,o-,
23
the whole of Italy experienced the horrors of famine.
24
A terrible
famine, preceded by bad weather, ravaged northern Europe after +,+
25
however, he was preaching to the converted. At the meeting of the cortes which
the queen summoned at Valladolid in JulyAugust +.,, the hermandades gene-
rales of all the concejos of Castile and of Len and Galicia comprising sixty-
four and thirty-three concejos respectively expressed the same view of the
recent past. Throughout the reigns of Alfonso X and (even more so) of
Sancho IV they had suered continuous injustice at the hands of their kings.
Signicantly, however, not only did they date their corporate existence from
the moment in +.s. when the latter author of their misfortunes had added his
voice to the general complaint, they also bound themselves to uphold the
rights of Fernando IV, committed themselves to retributive measures against
any rico ome, infanzon or caballero who threatened the interests of any one of
them, specied what taxes they would pay and how often, and struck corpo-
rate seals. Further associations of thirty-three concejos of Extremadura and the
archbishopric of Toledo, and of nine in the region of Murcia, adopted similar
measures.
8
The queens fostering of the concejos both at the cortes of Valladolid and
throughout the reign was therefore neither a quixotic gesture on her part nor
yet a demonstration of democratic tendencies.
9
It was rather an acknowledge-
ment of the political corollary of the economic strength which the concejos had
acquired since the beginning of the reign of Alfonso X.
10
Having initially
found the gates of Valladolid barred against her, by sheer persistence she even-
tually had her way there, rst securing the agreement of the municipal repre-
sentatives to her scal requirements, and then receiving them one by one and
hearing their grievances from early morning until mid-afternoon. The stamina
she displayed amidst the August heats amazed them on account of her sex,
presumably, rather than her age. She treated with them as though they were the
representatives of sovereign states which in the spring of +., was what they
were and in her dealings with them throughout her sons minority regularly
outmanoeuvred the opposition, by means of a superior intelligence network
Castile, Navarre and Portugal o.+
6
CFIV, p. ,a.
7
Ibid., pp. ,,ab, +o-a.
8
Benavides (+soo), ii, pp. ,+.; Surez Fernndez (+,+); Moreta (+,-s), pp. +-,.
9
Thus Gaibrois de Ballesteros (+,o-), pp. ,, .oo, .o.
10
Ruiz (+,--).
Cambridge Histories Online Cambridge University Press, 2008
exploiting civic divisions to secure the support of Palencia and other major
centres. But what in +., was paramount was to have secured agreement to a
vote of moneda, not only because she needed money (which she did) but also
because as the Chronicle emphasises more than once the grant of money
was an acknowledgement of authority.
11
Meanwhile there was a high price to be paid. The demands of the
HaroLara alliance, that the queen cancel the cortes, Mara of course refused to
entertain. But to every other proposal she was ready to agree. In +., and the
years that followed, compromise, concession and the purchase of support
were the order of the day. Diego Lpez de Haro recovered the lordship of
Vizcaya which his murdered brother, Lope Daz, had lost in +.ss, and D.
Enrique was entrusted with the tutorship though not the person of the king.
The price of loyalty was .,ooo maraveds per diem. In the rst year of the reign
+o times that sum was paid to secure the allegiance of the HaroLara condo-
minium.
12
And so it continued.
The cortes of Valladolid served notice of the extent to which the old order
had collapsed. It was an assembly at which the municipalities were in the ascen-
dant, and their objective was to ensure that the levers of power remained per-
manently in their hands. Archbishop Gonzalo Prez of Toledo, the dominant
gure of Sancho IVs later years, found himself excluded from its sessions,
prelates and clergy were expelled from court, and the royal administration and
custody of the seals were transferred to good men of the towns. However,
the municipal revolutionaries were neither exclusively nor specically anti-cler-
ical in character. Their ranks included representatives of the lower clergy as
well as laymen, and their re was directed as much at the secular nobility, the
ricos omes and W josdalgo, as at the clerical aristocracy. They were visionaries whose
vision of the future encompassed, inter alia, the prohibition of further grants
of royal land (realengo) out of the sc and the entrusting to themselves of
custody of the royal castles.
13
It is no accident that the proceedings of the +.,
cortes are shorter than those of any other assembly of this period. Mara de
Molina was an accomplished listener.
As the Chronicle relates it, the story of the reign of Fernando IV is one of
dizzying inconsequentiality with self-interest and lack of trust its principal fea-
tures, and with the kings enemies returning to his obedience only in order to
secure payments from the depleted treasury sucient to nance the renewal
of rebellion. As the king of Aragons man reported towards the end of the
reign, there is neither truth nor faith to be found here, on either side.
14
Thus,
in +.,o- Fernn Rodrguez de Castro demanded the castle of Monteforte as
o.. rr+rr iirn:
11
CFIV, pp. ,bob, ,-b, +o.a.
12
Ibid., pp. ,ob, +oa.
13
Cortes, i, pp. +,o,; Linehan (+,,,a), pp. .o, ,s.
14
Gimnez Soler (+,,.), p. ,,..
Cambridge Histories Online Cambridge University Press, 2008
his price for supporting the king and as soon as he had been granted it brazenly
defected to D. Juan. The complexity of the political formations that grouped
and regrouped during the kings minority beggars all description, and since
then students of the fourteenth century have consistently fought shy of pro-
viding one. Although over the last century various paraphrases of the
Chronicle of the reign, and of that of Alfonso XI, have been published, there
exists no adequate modern account of the kingdom of Castile between +.,
and +,s. And there is no adequate secondary literature to be summarised. The
present survey, therefore, needs to be treated with more than the usual degree
of scepticism.
With the anti-king, Alfonso de la Cerda, installed at Almazn, and Fernando
IV remaining close to Valladolid and not venturing south into New Castile
until +,o,, the rulers of Portugal and Aragon allied themselves with D. Juan
and Alfonso de la Cerda respectively and plotted the partition of the kingdom.
In +.,o the two claimants agreed that Len, Galicia and Seville be assigned
to D. Juan, the kingdom of Murcia to the king of Aragon, and the city of
Cuenca to the latters brother the infante Pedro. In April +.,o Alfonso de la
Cerda and his Aragonese allies invaded from the east and besieged Mayorga,
D. Juan was declared king at Len, Alfonso was declared king at Sahagn,
Muhammad II of Granada recommenced hostilities in Andalusia, and D.
Enrique interrupted his demanding programme of feasting and hunting to
suggest to Mara de Molina that she marry the already married Aragonese
infante:
15
a proposal which received very short shrift. The kingdom had lapsed
into a state of nature. One member of the recently evicted elite, Jofr de
Loaisa, wrote of a land empty of livestock, the haunt of hares, bandits and
arsonists. Lacking both men and money, Mara was reduced to sending her chil-
dren, the youngest a girl of three, to represent the kings cause in Toledo,
Palencia and other strategic centres.
16
In the event, the siege of Mayorga failed and the Aragonese withdrew in dis-
array though the true victor here was not the young king but the grim reaper.
In a famished land disease was endemic. The deadlier contagion, however, was
that carried by the tutor D. Enrique, who at the cortes of Cullar a cortes of the
kingdom of Castile alone (FebruaryMarch +.,-) proposed the sale of
Tarifa, Sancho IVs solitary conquest in the south, back to the king of Granada.
But, as before, the municipal representatives were persuaded by the queen to
reject the infantes scheme and, in return for the appointment of twelve of
their number to serve as a permanent consultative council, to vote a servicio for
Castile, Navarre and Portugal o.,
15
Moreover, the infante Pedros wife was Guillerma de Moncada, the once-betrothed of Sancho IV!:
Gaibrois de Ballesteros (+,o-), p. +o.
16
CFIV, pp. ,-+os; Jofr de Loaisa, Crnica, p. +--; Gonzlez Mnguez (+,-o), pp. ,+o.
Cambridge Histories Online Cambridge University Press, 2008
military purposes. Throughout the late +.,os the concejos and the taxes they
voted proved Mara de Molinas mainstay. Although pressure from the west
was eased somewhat by the double marriage treaty agreed at Alcaices in
September +.,- a thinly disguised form of hostage-taking involving the
betrothal of Fernando IV to Constanza, daughter of Dinis of Portugal, and
that of Mara de Molinas four-year-old daughter Beatriz to Afonso the
Portuguese heir even that degree of relief was only achieved at exorbitant
cost. Fernando was eectively to provide his future wifes dowry, and Castile
was to meet the expense of securing the (inevitably necessary) papal dispensa-
tion and all for scant return. Because four years elapsed before the dispensa-
tion was secured, the treatys expected benets proved largely nugatory.
The principal achievements of the period +.,-+,o+ were, rst, the mere
survival of the king and thereafter, with the approach of his majority, the dip-
lomatic campaign at the papal curia to secure his legitimisation the very pros-
pect of which, as well as disconcerting D. Enrique, had the eect of bringing
D. Juan back into line. The sometime contender for the crown was now plan-
ning a bishops move, James of Aragons agent reported home in chess terms.
17
At the cortes of Valladolid (May +,oo) D. Juan made his peace with his nephew,
and collected his compensation: the greater part of the +o,ooo marks of silver
that Boniface VIII had set as the price of the bull of legitimisation (the ponti
very sensibly did not quote in Castilian currency) and which Mara de Molina
had been husbanding and the cortes had voted for the purpose.
18
In September
+,o+ by which time D. Juan had returned into opposition the eagerly
awaited bull was published together with others authorising the Portuguese
marriage and a triennial grant of ecclesiastical tercias. Later that autumn, D.
Enrique had it spread about that the bulls were all false. But in December
Fernando IV celebrated his sixteenth birthday and achieved his majority.
19
In his novel of chivalry, El Libro del Cavallero Zifar, Ferrn Martnez, arch-
deacon of Madrid and a member of the old guard which had been ousted
in +.,, presented an allegorical account of the events which ensued, and
the chronicler of the reign provided chapter and verse.
20
Passing straight
from boyhood to playboyhood, the feckless monarch expressed his grati-
tude to Mara de Molina by allowing his uncle, D. Juan, to alienate him from
her and subjecting her to indignities of every sort though the requirement
that she render accounts served only to reveal that it had been she who had
nanced the system throughout the minority, not it her. In August +,o, D.
Enrique expired at the age of seventy-three, his marriage to the fteen-year-
old sister of Juan Nez de Lara (as part of the price of the latters return
o. rr+rr iirn:
17
Gaibrois de Ballesteros (+,o-), p. ++,.
18
CFIV, pp. ++-b, ++,a.
19
Gonzlez Mnguez (+,-o), pp. o+.+.
20
Hernndez (+,-s); Linehan (+,,,a), pp. ,-..
Cambridge Histories Online Cambridge University Press, 2008
to the kings obedience in +.,,) perhaps having hastened his demise. The
role of troublemaker-in-chief to the Castilian court thus vacated soon
devolved upon D. Juan Manuel, the son of Alfonso Xs youngest brother.
While he was in training for the post, however, D. Juan enjoyed ascendancy,
and in +,o+, as the wherewithal was being amassed for the purchase of the
kings legitimisation, according to the Chronicle a quarter of the population
perished from famine. As the Portuguese Hospitallers reported back home
in +.,s, conditions in Castile were hopeless, absolutely hopeless.
21
At Torrellas in August +,o, a summit attended by the kings of the three
peninsular kingdoms, the ruler of Castile accepted the loss to Aragon of a sub-
stantial part of the ancient kingdom of Murcia the coastal region between
Valencia and Cartagena including Alicante and Orihuela. The Treaty of Elche
(May +,o) attended to details.
22
However, although Alfonso de la Cerda had
been deprived of Aragonese support, the de la Cerda threat had still not been
eliminated. The legitimisation of Fernando IV had not removed that dynastic
challenge to the throne. It would remain until +,,+.
Fernando IVs later years his early years as they appeared at the time were
largely taken up with hunting, sulking in the south and canvassing for funds.
In order to pay his Castilian troops, the king had recourse to his Portuguese
father-in-law, to his Portuguese wife (who sacriced her three gold crowns and
a brooch), to Edward II of England (without success) and when all else failed
to the traditional practice of appropriating Church revenues for which he
was excommunicated on at least two occasions.
23
But at least he now had
troops to pay. This was a new departure. The assault on the south in +,o, was
the rst to have been undertaken in almost twenty years though after captur-
ing Gibraltar it ended in failure in the following year when D. Juan and D. Juan
Manuel abandoned the siege of Algeciras. For this defection the king never
forgave D. Juan, and it was only Mara de Molinas timely intervention that pre-
vented him from having his uncle murdered.
24
On - September +,+. the king who according to the Chronicle ate too much
meat expired after an early lunch at the age of twenty-six.
25
If for anything, the
reign of Fernando IV was principally memorable for the number of meetings
of the cortes which it witnessed. In a period of just seventeen years the cortes of
Castile and Len met almost annually, either separately or together.
26
But
Castile, Navarre and Portugal o.
21
CFIV, p. ++,a; Benavides (+soo), ii, p. +-o (pravum et pravissimum).
22
CFIV, p. +,oa; Gonzlez Mnguez (+,-o), pp. +-,.o+; Costa (+,s+); Torres Fontes (+,,o),
pp. s,.
23
Gaibrois de Ballesteros (+,o-), p. +os (CFIV, c.+); Lopes (+,-oa), pp. o-.; Benavides (+soo) ii,
pp. ,o, s.o; Linehan (+,s,), p. .s,.
24
D. Juan departed from court in a hurry on the pretence of going o on a heron-hunt: CFIV,
p. +ooab.
25
Ibid., p. +o,b.
26
Gonzlez Mnguez (+,-o), p. ,..
Cambridge Histories Online Cambridge University Press, 2008
although indicative of Fernandos straitened circumstances, the frequency of
these gatherings did nothing to secure the triumph of the principles of democ-
racy, so-called, enunciated in +.,. Indeed, in direct contravention of the Cullar
legislation of +.,-, at Grijota in March +,os the king specically repudiated
those principles and acceded to the demands of the nobility that they should
nominate his counsellors.
27
In +,o- Juan Nnez de Lara had deed Fernandos
decree of exile and fortied himself at Tordehumos: an unheard-of act. The
enforcement of the decree was regarded as the acid test of Fernandos author-
ity. Fernando failed it. Juan Nnez remained.
28
The capitulation at Grijota
conrmed the outcome. Anyway, by then the prescriptions of the rst cortes of
the reign were already a dead letter. By November +,o+ at latest there were clerics
back in the royal chancery,
29
and despite the Grijota agreement there they
remained. In September +,++ an Aragonese agent reported home that D. Juan
and his satellites were intent on making a clean sweep of the royal household by
murdering certain of its members and restang it with creatures of their own
who it was reported as well as bishops, ricos homnes and cavalleyros, were to
include those men of the towns whom they would nominate.
30
The strategy of D. Juan and his oligarchical associates, as reported by the
king of Aragons man, greatly complicates the Marxist historians task of estab-
lishing rm foundations in the social rubble of thirteenth-century Castile. The
Castilian municipalities and their concejos were the playground of competing oli-
garchies whose divisions invited exploitation, as Mara de Molina so capably
exploited them, and as they would continue to be exploited in meetings of the
cortes for the rest of the century.
31
Regarding the cortes of the reign of Fernando
IV, of course, their cuadernos do not acknowledge the existence of such divi-
sions any more than they record evidence of conspiracy to murder. The cua-
dernos are not the repository of such information; they are the record of the
kings response to the petitions of the municipal procuradores. Nor, by the same
token, can any certain inferences be drawn from them as to the kings own atti-
tude with regard to anything at all. In the frequent meetings of the cortes during
his reign, Fernando IV functioned merely as a conduit of public opinion. To
that extent, the received wisdom that the legislation of the cortes of Valladolid
of +,+. enshrined his political testament appears simplistic.
32
All that distin-
guishes the measures envisaged on that occasion from what successive
o.o rr+rr iirn:
27
CFIV, pp. +sb,b; Gonzlez Mnguez (+,-o), pp. .o+; OCallaghan, Las cortes de Fernando
IV, p. ,..
28
CFIV, pp. +.o; Gimnez Soler (+,,.), p. ,..
29
Benavides (+soo), ii, p. +,..
30
. . . e homnes de villyas aquellyos que ellyos le dirian: Gimnez Soler (+,,.), p. ,,,.
31
Mnguez (+,s,), p. .
32
Colmeiro, Cortes de los antiguos reinos, p. .+,; Bueno Domnguez (+,,+), pp. +.s,; Gonzlez Mnguez
(+,-o), pp. ,+-...
Cambridge Histories Online Cambridge University Press, 2008
assemblies since +., had proposed for the reform of the judicial system is
that they were the last of a reign throughout which the king had remained
the creature of the territorial nobility. Had he lived longer he would merely
have prevaricated further.
In August +,++ Fernando IV had fathered a son of that there was no doubt,
at least at the time
33
and before dying he nominated his brother D. Pedro as
the one-year-old Alfonso XIs tutor. On Fernandos death the kingdom was
under interdict on account of his seizure of ecclesiastical revenues,
34
and a
second minority in succession reactivated all the old rivalries within the royal
family, with the dierence that whereas in +., there had been just one mother
and one great-uncle in play, because the action had so suddenly moved on one
generation in +,+. the political scene was now rather more crowded. D. Juan
claimed the tutorship from D. Pedro, and in AprilJune +,+, the cortes at
Palencia divided into two factions in whose respective decrees something of the
agenda of the rival infantes can be discerned. Thus, while D. Juans meeting
expelled all the late kings privados from court and entrusted the royal seals to
laymen of the towns, Mara de Molina and D. Pedro provided for there to be
four bishops amongst their permanent counsellors. And whereas the latter
committed themselves to convene cortes generales of the whole kingdom every
other year, the former provided instead for annual meetings of the regional her-
mandades, thereby accelerating the process of national fragmentation which
underlay the anti-Jewish measures common to both groups.
35
On the unexpected death in November +,+, of the youthful though
already scheming queen-mother, Constanza of Portugal, the contenders
consented to share the tutorship with Mara de Molina (Palazuelos, August
+,+). But the process of social and territorial disintegration continued, sym-
bolised by the hybrid Hermandad general established at the Burgos cortes
(September +,+), comprising +o, cavalleros and ,o concejos, with o members of
each group appointed as a permanent commission to shadow the tutors.
36
The
cortes of Carrin (March +,+-) received reports of widespread anarchy, the
wholesale alienation of royal lands, a bankrupt government and the currency
in collapse which the records of the papal collector Raimundus de Serra and
his assistants who traversed the kingdom at this time amply conrm.
37
And in
June +,+, the pact collapsed completely when after D. Juan had joined
Castile, Navarre and Portugal o.-
33
In view of Alfonso XIs unusual competence, Grassotti (+,s-), p. -., is not so sure.
34
Linehan (+,s,), pp. .s,.
35
Cortes, i, pp. .. (c. +o), ..-,+ (cc. .,, ,-), ., (c. ), .,o (c. ++), .+ (cc. ., .-s), . (c. .).
36
Ibid., pp. .--..
37
Ibid., pp. ,o, (c. o), ,++ (c. .s); CAXI, pp. +sob+a; Valden Baruque (+,o,), pp. os, +,; Linehan
(+,-+), pp. .-,, and (+,s,), pp. .sos. Cf. Kershaw (+,-,), p. n. -: There is no evidence of a
famine in southern Europe in +,++-.
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D. Pedro on campaign near Granada (in order to qualify for a share of the
papal grant of Church revenues), the two infantes both perished there
D. Pedro cut down and his uncle expiring of shock at the news. Thereupon the
latters son D. Juan el Tuerto (the squint-eyed) and D. Juan Manuel moved into
the political vacuum, each claiming the tutorship for himself, with the latter
enjoying the support of his Aragonese father-in-law Jaume II. Castile in its
weakened state was particularly prone to Aragonese interference during these
years. In +,+,, at Jaumes request, John XXII appointed the high-handed
infante of Aragon, D. Joan, to the archbishopric of Toledo, and later that year
there occurred the Gandesa scandal, when on his wedding day the unstable
D. Jaume, the Aragonese heir-apparent, renounced both the succession and his
brand new wife, Leonor of Castile, and ed the wedding breakfast in order to
embrace (briey) the religious life.
38
In +., Mara de Molinas daughter, Isabel, had been rejected by Jaume II.
39
Now her granddaughter suered the same fate. Throughout the intervening
years Mara de Molina had remained committed to the cortes, and the wisdom
of her insistence on holding a meeting in +., was adequately demonstrated
by the consequences of not doing so between +,+, and +,.+ when, instead, the
contenders for power exploited local grievances, the hermandad of Andalusia
conducted its own foreign policy with the kingdom of Granada and specied
the terms on which it would accept the tutor or tutors chosen by the cortes,
40
and the attempts at pacication of the papal legate Cardinal Guillaume de
Pierre Godin proved fruitless.
The legate the rst to visit Castile in almost a century had come to assist
Mara de Molina and stayed to bury her. The death of this remarkable woman
on + July +,.+ removed the kingdoms one rallying-point. On her deathbed,
according to the Chronicle though its text appears to have been tampered
with at this point she entrusted the ten-year-old king to the custody of the
concejo of Valladolid, and in the will she made in her last days she elected to be
buried in that northern city rather than, as she had specied in +,os, alongside
Sancho IV in Toledo Cathedral: a change of mind indicative of the political
realities of the summer of +,.+ and the extent to which public order had col-
lapsed over the previous thirteen years.
41
The legislation (to stretch the meaning of the word) of the cortes of the concejos
of Castile, Len and the Extremaduras which the kings uncle and new tutor,
o.s rr+rr iirn:
38
CAXI, pp. +s+; Gimnez Soler (+,,.), pp. s-+; Garca Fernndez (+,,+), pp. +oo; Avezou
(+,,o); Linehan (+,,,a), pp. o.s,+; Sturcken (+,-,); Martnez Ferrando (+,s), i, pp. ,.+oo.
39
CFIV, p. ,-a.
40
Garca Fernndez (+,s), pp. ,-o; Anasagasti Valderrama and Sanz Fuentes (+,s).
41
CAXI, pp. +s,.; Fita (+,os); Zunzunegui (+,); Garca y Garca (+,ss); Gaibrois de Ballesteros
(+,o-), pp. +o,, .,.
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D. Felipe, assembled at Valladolid in June +,.. described a land dominated by
the strongholds from which bands of malfechores terrorised the countryside and
given over to murder, torture, imprisonings, arson, extortion, robbery and dis-
honour. Under cover of the darkness that covered the land innumerable private
scores were settled, with D. Felipe as great a malfechor as any. After the infantes
challenge to the archbishop of Compostela for control of the city of Santiago
had driven that formidable French Dominican into the camp of D. Juan
Manuel, in August +,. the opposing armies met to do battle outside Zamora.
42
At this juncture, however, although (as the chronicler remarks) still of small
age, Alfonso XI asserted himself, and instructed the warring factions to settle
their dierences.
43
Manuscripts of the Partidas, many of which will have been
tampered with to suit political convenience, provided the thirteen-year-old (or
those who controlled him) with authority for taking control of his own aairs
at the age of fourteen, sixteen or twenty.
44
Fernando IVs fathers minority had
lasted until his sixteenth birthday. The precocious Alfonso XI moved early,
however, though to judge by the Chronicles account of his kingdom when in
the autumn of +,. he declared his majority at the cortes of Valladolid only just
in time. The kingdom was in a state of shambles. Anarchy prevailed, and there
was wholesale emigration to Aragon and Portugal.
45
The exhaustion of the royal treasury was due to the large number of places
and towns that the kings had alienated by hereditary grants, the chronicler
stated in his account of the cortes of Carrin (+,+-),
46
and the theme of his
history of the reign between +,. and +,, when his narrative is interrupted,
and the underlying purpose of all his masters actions as he portrays them is
the halting and reversal of that process and the re-establishment of royal
authority and of the royal sc.
Henceforth there shall be no hermandat, Alfonso decreed at Valladolid in
February +,.o.
47
That was the rst step. The next was to bring the grandees to
book. Five months later Castiles churchmen were made to make substantial
recompense for their earlier appropriations of royal lands (realengo),
48
while
before the end of the year the fate of the kings cousin, Juan el Tuerto, gave
notice to others of the more summary treatment awaiting them. Summoned
to court on the safest of safe-conducts provided by the kings privado, Alvar
Nez Osorio, the lord of Vizcaya was hacked down on arrival in accordance
with the principle of sentence rst judgement afterwards. The presentation
Castile, Navarre and Portugal o.,
42
Cortes, i, pp. ,,s (c. o), ,o+ (cc. -sso), ,oo- (c. +oo); CAXI, pp. +sob, +,b; Hechos de D. Berenguel
de Landoria, ed. Daz y Daz et al., pp. +..o
43
CAXI, p. +,b.
44
Part., ii.+. , (ed. ii, pp. +,, +,o).
45
CAXI, p. +,-ab: conrmed by the acta of the cortes (Cortes, i, pp. ,-.s,). Cf. Valden Baruque
(+,o,), pp. ++s; Gonzlez Mnguez (+,s,).
46
CAXI, p. +sob; Cortes, i, p. ,oo (c. +).
47
Cortes, i, p. ,,,.
48
Nieto Soria (+,s).
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of the case for the prosecution followed execution and Alvar Nez received
the victims lands. D. Juan Manuel drew the correct conclusion after Alfonso
jilted his daughter Constanza in favour of Mara of Portugal,
49
whereupon D.
Juan Manuel denatured himself that is, formally severed all links with the
king, and reverted to his pen and ink.
50
In +,+,, the cortes of Palencia had concerned itself with the three-year-old
Alfonsos education and decreed that he be exposed to good customs.
51
In
+,.o the teenage monarch superintended the murder of his cousin, and D. Juan
Manuel was well advised to parley with his king from the other bank of a wide
river.
52
By then, however, Alfonso XI was under the tutelage of the letrados, that
elevated clan to whose allegedly secularist inuence historians condently
attribute so many of the achievements of the reign, yet which, when its mem-
bership is revealed, proves to contain, as well as the royal chronicler Fernn
Snchez de Valladolid, such pillars of the ecclesiastical establishment as Pedro
Gmez de Barroso (bishop of Cartagena, later cardinal), Juan del Campo
(bishop successively of Cuenca, Oviedo and Len), and Gil de Albornoz, arch-
bishop of Toledo (+,,s+) and the papacys principal warrior thereafter.
53
This suggests that the adolescent rulers privy council bore at least a supercial
resemblance to those of his more conventional predecessors.
But if the distinctive ideological characteristics of the letrados remain to be
identied, their achievements if theirs they were were soon manifest in a
land whose catastrophic recent history had scarcely prepared for the conse-
quences of the climatic changes by which the whole of southern Europe was
plagued in these years.
54
During the late +,.os the kingdom of Castile experi-
enced royal government with an immediacy unknown since the +.-os. Thus,
religious sentiment was manipulated, ostensibly on behalf of the new shrine
of Guadalupe, eectively in the interest of the colonisation of those areas of
the remote south-west which the +,.. cortes of Valladolid had identied as
especially exposed to Portuguese inuence. At the cortes of Madrid in +,.,,
both Castiles domestic enemies and such foreign intruders as notaries public
and papal providees were put to ight.
55
Finally, in +,,., the king, whose heroes
o,o rr+rr iirn:
49
CAXI, p. .o,a (although the grandson of Sancho IV and the son of an infante, Juan el Tuerto had
adopted the maternal title Juan de Haro); Gimnez Soler (+,,.), pp. s+, ,+, ,, +. (Dec. +,.-:
in this case the ance had become a formal hostage, thereby acknowledging the true nature of early
fourteenth-century peninsular marriage alliances though their primary objective appears to have
been the devising of the maximum possible number of unions in the shortest possible time involv-
ing the smallest conceivable number of closely related infantes and infantas). Alfonso had already
rejected an English match. The rst extra-peninsular royal marriage of Fernando IVs reign had not
occurred until +,+o: Gaibrois de Ballesteros (+,o-), p. +-s.
50
CAXI, p. .o,b; Gimnez Soler (+,,.), pp. so++.; Gautier-Dalch (+,s.).
51
Cortes, i, pp. .,.
52
CAXI, p. ..oa.
53
Mox (+,-); Dupr Theseider (+,-.).
54
Cf. Rubio Vela (+,s-), p. +.
55
Cortes, i, p. ,s (c. o); Linehan (+,s) and (+,,,), pp. o.,-.
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included King Arthur and el Cid and who never passed up the chance of a joust
or a round table in order to keep his warriors up to the mark, established the
Order of the Band (La Banda) one the earliest orders of chivalry, thereby
reviving chivalric practices which (according to his chronicler) had lain
dormant for a long time was himself knighted by an automated statue of
Santiago, and on his twenty-rst birthday was rst anointed and then crowned
himself at Burgos, struck a new seal on which he was portrayed in majestic
pose, and incorporated the seoro of Alava into his now again condent
kingdom.
56
Of all the events of +,,., this incorporation was arguably the most
signicant for both parties. Castiles rst indication of political robustness
since +., coincided with Navarres re-entry into the mainstream of peninsu-
lar aairs.
Since +,o the kings of France had abandoned all pretence of Navarrese
independence. On the death of Juana I, the hombres buenos of seventeen towns
of the kingdom had assembled at Estella (May +,o) and committed them-
selves to meet at Olite three times a year in defence of their liberties. But to no
eect. After Juanas widower, Philip the Fair, had declared himself king of both
France and Navarre, their son Louis, on visiting Pamplona in October +,o-
and swearing to defend his new subjects liberties, only remained long enough
to install a governor, pack the Navarrese Church with Frenchmen, and round
up the usual suspects in this case Fortuo Almoravid and Martn Ximnez
de Aibar and have them transported to French prisons. His one meritorious
act was to beget a daughter, Juana, whom on his death in +,+o the Navarrese
acknowledged as one of them, though in +,+, Arnalt of Barbazn
Pamplonas fth bishop in two years, four of whom had been French appoint-
ees of the French pope John XXII led a deputation to Paris and swore
Navarres allegiance to Philip V. Bishop Arnalts lengthy ponticate (+,+s)
provided the kingdom with a semblance of stability. In +,+, he reached an
accord with the Capetian king concerning the Church of Pamplonas long-dis-
puted secular jurisdiction in the city, and secured permission for the recon-
struction of the Navarrera, destroyed in +.-o. Three years later, however,
there was no persuading the political community to accept Charles IV the
Handsome according to French tradition, in Navarrese the Bald.
57
The end of Capetian rule in February +,.s passed without incident in
Navarre. At Pamplona three months later, the cortes summoned by the regents
unanimously declared Juana their queen. The deputies were cautious about
Juanas husband, however understandably so: Philip of Evreuxs French base
Castile, Navarre and Portugal o,+
56
CAXI, pp. .,+a-a, .oob; Lpez-Ibor Alio (+,s); Garca Daz (+,s); Linehan (+,,,a), pp.
-.oo+; Ruiz (+,s-), p. ..; Linehan (+,,,b).
57
Lacarra (+,-.,), i, pp. .+o,; Goi Gaztambide (+,-,), pp. +,+o.
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was even more remote from Navarre than that of his thirteenth-century
predecessors had been and required him to undertake to withdraw in the
event that Juana predecease him or die without issue. In the event, their mis-
givings proved unfounded. Although they were not often there themselves,
preferring to rule their kingdom through governors, between them Philip III
(+,.s,) and Juana II, who survived him until +,,, ruled Navarre better than
Navarre had become accustomed to being ruled, updating its laws in +,,o (ame-
joramiento de los fueros), superintending the reform of its administration, estab-
lishing generally harmonious relations with both Castile and Aragon, and
above all producing eight children and marrying their daughter Mara to the
future Pere III of Aragon. Felipes death at Jrez in September +,,, whither
he had gone to assist Alfonso XI at the siege of Algeciras, demonstrated the
seriousness of his peninsular commitment.
58
It was no fault of theirs that by
mid century that commitment had become unsustainable.
By denition, any Norman succeeding to the throne of the Pyrenean
kingdom midway between the battles of Crcy and Poitiers was bound to have
a hard time of it. Politically accomplished though he undoubtedly was,
however, throughout his long reign (+,,s-) Carlos II, the Bad, displayed an
intermittent genius for complicating the task of balancing the interests of two
inheritances one of which required English assistance and the other Castilian
(and therefore French) acquiescence in order to survive. A description of his
exploits in France during the +,os leading to his imprisonment there is pro-
vided elsewhere in this volume. By the time he returned south in +,o+ all the
Spanish kingdoms were being drawn into the Anglo-French conict.
59
Before
we proceed, their various strands had better be gathered together.
On - January +,. King Dinis of Portugal died, after a reign of forty-six
years, and was succeeded by his son Afonso IV who lasted for thirty-two. The
fortunes of Portugal between +.-, and +,- prove the rule that the greatest
service that any ruler in this period could render was simply to survive.
Whereas Sancho IV died at thirty-six, Fernando IV at twenty-six, Pedro I
would be struck down at thirty-four, and even Alfonso XI whose career
seems to bestride the history of the fourteenth-century peninsula expired
before he was forty, the history of Portugal in these years gives all the appear-
ances of stability, continuity and growth.
Dinis of Portugal (+.-,+,.), grandson of Alfonso X of Castile, inherited
many of the intellectual qualities of el rey sabio, but few of his fatal aws as a
man of aairs. O rei letrado had the others Partidas translated into Portuguese
but spared his people their prescriptions. He too was a poet of parts. He too
o,. rr+rr iirn:
58
Lacarra (+,-.,), ii, pp. ++s; Goi Gaztambide (+,-,), pp. +.,,; Martn Duque (+,-o+).
59
Lacarra (+,-.,), ii, pp. ,oo; see also above chs. +(a), p. o-; +(b), p. .-.
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promoted the use of the vernacular and its adoption in acts of government.
In the person of his illegitimate son, Pedro Afonso the count of Barcelos, he
placed Portuguese historiography on the same footing as Castiles had been
placed by Alfonso X. By +.,o he had established Portugals rst studium gene-
rale at Lisbon. Throughout the following century its masters and students peri-
odically commuted between that city and Coimbra, in response to the hostility
of the one place and the uneventfulness of the other. As at Alfonso Xs
Salamanca, the teaching of both laws, medicine and arts was licensed, but not
that of theology. Its foundation was due to two stated objectives: the promo-
tion of knowledge for the sake of religion and government, and the removal
of the need for Portuguese scholars to travel abroad in pursuit of it. The myth
that Dinis himself owed his education to French teachers, which lingers on in
the literature, was demolished long ago. Then as now, under cover of the prin-
ciples that give universities their name, the dominant sentiments were those of
autarchy and intellectual parsimony.
60
Closely though King Dinis resembled Alfonso X, however, by the beginning
of the fourteenth century there was one quite crucial respect in which Portugal
and Castile were fundamentally dierent. Portugal had no Granada to contend
with. Portugals external reconquest was over. So while in +,+- the infantes of
Castile were busy eliminating their brothers and their cousins, the king of
Portugal was engaged in recruiting the Genoese Manuel Pessagna as his
admiral with right of succession and in pottering round his pine-forest at Leiria
planting the trees which would provide the ships for Pessangas descendants
and the conquest of new continents in the age of Henry the Navigator.
61
On his succession at the age of seventeen, Diniss right to the throne was chal-
lenged by his younger brother Afonso on the patently false grounds that he had
been born before the Church had regularised his parents marriage. Together
with the kingdom, he had inherited Afonso IIIs long-running dispute with the
Portuguese Church and its associated sentences of interdict and excommunica-
tion, the settlement of which was not reached until +.s, when the king and his
bishops reduced their dierences to forty items and enshrined them in a concor-
dat.
62
In marked contrast to his father, Dinis was adept at avoiding confronta-
tion. While negotiations with the papacy continued to drag on, he also displayed
considerable ingenuity in the art of damage limitation. Thus, although he revived
the inquiries into title in +.s, and in +.so introduced mortmain legislation
Castile, Navarre and Portugal o,,
60
Cataln Menndez Pidal (+,o.), pp. .s,,+., o,++; Rashdall (+,,o), ii, pp. +os++; Garca y Garca
(+,-o), pp. ,+; Serro (+,-,), i, pp. .,+., ,-+s; David (+,,), pp. .+,; Coelho and Homem
(+,,o), pp. o+.
61
Almeida (+,..), pp. .s+; Serro (+,-,), i, pp. .,o+; Vones (+,,,), pp. +-sso; Coelho and
Homem (+,,o), pp. +o,.
62
NCMH, \, pp. -o.; Garca y Garca (+,-o), pp. ..,; Almeida (+,o-), pp. .oo..
Cambridge Histories Online Cambridge University Press, 2008
designed to halt and reverse the transfer of royal land (regalengo) to ecclesiastical
foundations, on neither occasion did he experience the ructions of the previous
reign.
63
Equally, in +,+, he succeeded in persuading John XXII to assign the
property of the Portuguese Templars to a new national military order, the Order
of Christ. In the previous year, after a thirty-year campaign, he had secured the
independence of the Portuguese houses of the Order of Santiago. This had
been achieved in the teeth of both Castilian and papal opposition. Boniface VIII
in particular had been rootedly opposed: secession would encourage other relig-
ious orders to secede, and kingdoms to fragment as Castile was indeed cur-
rently fragmenting, to the Portuguese kings signicant advantage.
64
Into Castiles murky political waters D. Dinis plunged with alacrity, by the
Treaty of Alcaices securing an advantageous settlement of the long-running
frontier dispute.
65
As throughout the reign, so on this occasion Diniss long-
suering queen, the saintly Isabel daughter of Pere II of Aragon, and Mara
de Molinas Portuguese counterpart promoted the cause of conciliation. In
return, her husband fathered numerous bastards, and such was his aection
for one of them, Afonso Sanches, that in +,+ Dinis promoted him mordomo-
mor. The eective transfer of the government of the kingdom which this
appointment entailed spurred Diniss heir by the queen another Afonso, and
the others junior by two years to rebel against his father in +,.o. The end of
the old reign was marked by intermittent civil war, Diniss virtual imprison-
ment of his wife, and the exile of Afonso Sanches to Alburquerque, from
which Castilian stronghold between then and his death in +,., he conducted
a series of assaults into Trs-os-Montes and the Alentejo.
66
So while Alfonso
XI was making himself master of Castile, the early years of the reign of
Afonso IV of Portugal (+,.-) were overshadowed by a series of events
which until recently any observer of the peninsular scheme would have
regarded as characteristically Castilian. The peninsular balance seemed to have
shifted.
In March +,.s Alfonso XIs betrothal to Mara of Portugal, Afonso IVs
daughter, acknowledged the new order and six months later the knot was tied
though furtively, because the couple were intimately related. However, the
new alliance soon soured. Even before John XXII had decided that the
couples incestuous union was in Christendoms best interests after all,
67
Alfonsos attention had been captured by an enchanting young widow of
Seville, Leonor de Guzmn, la Favorita who because she was both irresistible
and prolic, while Mara was neither, and because the king could not be in two
o, rr+rr iirn:
63
Almeida (+,o-), p. ++,.
64
Ibid., pp. ++o; Serro (+,-,), i, pp. .s; Benavides (+soo), ii, p. +; As Gavetas da Torre do Tombo,
ii, pp. o,+,; Mattoso (+,,,), pp. +-o+.
65
Above, p. o.; Serro (+,-,), i, pp. +so.
66
Lopes (+,-ob); Serro (+,-,), i, pp. .o,-; Mattoso (+,,,), pp. +o+,.
67
Linehan (+,s), p. .ss.
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beds at once and plainly had no wish to be determined the course of
Castilian history for the remainder of the century and beyond.
In the course of the reign of Alfonso XI a combination of circumstances
relieved the kingdom of a number of those ancient lineages which for centu-
ries had governed their patrimonies as though they were kings themselves.
Weakened by the cumulative eect of many generations of endogamous
unions, after +,o many families which had been spared the treatment that had
accounted for Juan el Tuerto and for the lord of Cameros, Juan Alonso de Haro,
in +,,,, succumbed to the combination of intermittent warfare and endemic
plague. However, the potential political advantage of their removal had already
been sacriced to the need to provide for Alfonsos ten children by la Favorita,
nine of them boys. As D. Juan Manuel complained to Pere III of Aragon in
+,, the king and that bad woman would deny their ospring nothing other
than the crown itself though in the event that too was to be taken from
Alfonsos legitimate heir to the throne.
68
That heir the future Pedro I, Mara of Portugals second and last child
was born in August +,,. But by then the new arrivals outraged grand-
father was past assuaging. In alliance with Juan Nez de Lara III, whom
Alfonso XI was currently besieging in his castle at Lerma, and the incorri-
gible D. Juan Manuel, in +,,o- Afonso IV invaded Castile. Mox regards
the siege of Lerma and its outcome, the kings conciliatory treatment of the
defeated Juan Nez, as the turning-point of the reign. It certainly contrasts
sharply with Fernando IVs failure to dislodge Juan Nezs uncle from
Tordehumos in +,o-s. The Portuguese invasion ended in rout.
69
And three
years later, on ,o October +,o, Afonso IV, D. Juan Nez and D. Juan
Manuel, as well as the Aragonese eet, all participated in Alfonsos famous
victory over the combined forces of Yusuf I of Granada (+,,,) and the
Marinid sultan of Morocco, Abul Hasan, on the river Salado outside Tarifa.
Also present were a papal envoy and Genoese galleys, indicating that as well
as constituting the Spanish crusades most spectacular achievement since
+.s, the battle of Salado also provided an excellent opportunity for spec-
ulative businessmen. Such were the quantities of booty seized that as far
aeld as Paris gold lost a sixth of its value, the kings chronicler reported
though presumably it was not for that reason that he described the victory
as even more virtuous than that of Las Navas de Tolosa.
70
Perhaps what
mattered most, however, after more than a half a century of domestic strife,
Castile, Navarre and Portugal o,
68
CAXI, p. .o,a; Mox (+,o,), pp. ., +, -; del Arco (+,), pp. .s,,; Beceiro Pita (+,s-),
pp. ,o+; Gimnez Soler (+,,.), p. o.
69
CAXI, pp. .-,s,; Almeida (+,..), pp. .o+; Mox (+,,o), pp. ,+.+,; above n. .s.
70
CAXI, pp. ,.,,o; Goi Gaztambide (+,s), pp. ,+o,.; Hillgarth (+,-o), pp. ,,,.; Harvey
(+,,o), pp. +,o.
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was the restoration of Castile to a place of honour in the calculations of
contemporary Europe.
The victory of +,o vindicated the policies that Alfonso XI had pursued
since +,.. His promotion of chivalry had proved protable: all those round
tables had paid o. He also had ample reason for invoking the Virgin of
Guadalupe before battle and for visiting her shrine thereafter: the eect of his
ordenamiento of the previous year which had rerouted the transhumant ocks
through Extremadura had been to reroute humans too into that previously vul-
nerable corner of his kingdom.
71
Despite the hostility caused by the grant of Aragonese apanages to his
nephews Ferran and Joan, the children of Alfonso IV of Aragon and Leonor
of Castile, and his intervention in favour of the Aragonese unin in +,-s,
72
the post-Salado Alfonso XI was the rst king of Castile in almost seventy years
to enjoy simultaneously amicable relations with Aragon and Portugal, a
circumstance which enabled him to consolidate his position at home. Alfonsos
urban policy was tailored to particular circumstances. The ocials appointed
to represent royal authority on the new institution, the regimiento, were some-
times noble caballeros hidalgos (as at Seville in +,,-), sometimes members of the
urban oligarchy of non-noble caballeros villanos (as at Burgos and Len in +,),
sometimes a mixture of the two. Thus, although the establishment of the regi-
dores entailed the destruction of the open councils which had ourished since
+.s., as a rule these agents of self-government at the kings command were
lights of the local community.
73
Alfonsos dealings with the cortes and with the
papacy were equally pragmatic. Despite the extreme severity of the methods
he employed to secure the allegiance of the old military orders, and the deep
misgivings of such representatives of traditional values as D. Juan Manuel and
as expressed in his searing critique Speculum regum by Alvarus Pelagius OFM,
in practice the absolutist tendencies of the kings Roman law-imbued advisers
were tempered by a healthy realism. The Ordenamiento of Alcal promulgated in
+,s, with its assertion of the kings power to make, interpret, declare and
emend fueros and laws, has been described as dealing a mortal blow to munic-
ipal self-determination. Yet the function of those precepts of the Siete Partidas
which were incorporated on that occasion, complementing ordinances issued
at Villa Real and Segovia in +,o and +,-, was not to replace the municipal
fueros but to supplement them.
74
o,o rr+rr iirn:
71
Gran Crnica de Alfonso XI, ii, pp. .,,o, ,; Linehan (+,,,a), p. o.o; Daz Martn (+,s),
pp. .,so.
72
See ch. +s(a) above.
73
Ruiz (+,--), pp. .o,; Casado Alonso (+,s-a), pp. .o+o; Rucquoi (+,s-a), pp. ..,; Torres
Fontes (+,,); Alonso Romero (+,,o), pp. -+,.
74
Gonzlez Alonso (+,ss), pp. ..os; Mox (+,,o), pp. ,,, ,o+, ,so; cf. Hillgarth (+,-o),
pp. ,o; Mox (+,-o); Linehan (+,,,a), pp. oo,+,, o,,,, oo,; Alonso Romero (+,,o), p. ..
Cambridge Histories Online Cambridge University Press, 2008
With the booty captured in +,o Alfonso XI was able to hire Genoese
galleys and in +,. undertake the siege of Algeciras. In +, with the assis-
tance of the Catalan eet and sundry foreigners (including the earls of Derby
and Salisbury, men of great standing in the kingdom of England as the
Chronicler describes them), and after the Castilians had had their rst experi-
ence of cannon-balls the place was taken.
75
Five years later, intent on recov-
ering Gibraltar which the Marinids had taken in +,,,, Alfonso returned to the
south. The outlook was encouraging: the defenders had no hope of support
from war-torn Morocco. In the spring of +,o, however, a deadlier peril than
anything from across the Straits intervened. Black Death passed from the
besieged city to the Castilian encampment. Amongst its earliest victims, on
Good Friday (.- March), was the thirty-eight-year-old king.
Although the plague had already reached Barcelona and Valencia two years
earlier, the fatal outcome of Alfonso XIs nal confrontation with Spanish
Islam was none the less grimly ironical. Castile in +,o was a country inured to
famine: the rst petition presented at the cortes of Burgos in +, had com-
plained of freak weather and sky-high prices, since when the cost of wheat had
increased sixfold.
76
From the Pyrenees to Andalusia the weakened population
readily succumbed. Navarrese statistics indicate the severity of the epidemics
ravages, with the merindad of Estella losing o, per cent of its inhabitants
between +,,o and +,o, further drastic losses attributable to the renewed out-
break in +,o., and the rural population driven to depend on Jewish credit for
survival: an ominous development in a community within which the political
vacuum of +,.s had already occasioned the peninsulas earliest widespread
outbreak of anti-Semitism, with as many as +o,ooo deaths reported. In
Portugal estimates of mortality as high as two-thirds, even nine-tenths, are
recorded. In +,s the number of those extant from the reign of King Dinis
was said to be exiguous, whilst amongst the survivors such had been the devo-
tion bred of terror that at the cortes of Lisbon (+,.) it was alleged that the
Church was on the point of acquiring the whole kingdom. The cortes of
Valladolid (+,+) recorded the same psychological reaction, with consequences
capable of frustrating all Alfonso XIs attempts to halt the drift of royal land
into mortmain, while its decrees in respect of prices and wages testify to the
severity of the epidemic in Castile. Of .o settlements in the diocese of
Palencia north of the Duero, in the eight years after +, no fewer than eighty-
two disappeared from the map altogether. However, there is no knowing
whether that degree of mortality was typical, or whether the rural population
Castile, Navarre and Portugal o,-
75
CAXI, pp. ,s,o; Harvey (+,,o), pp. +,,.o.
76
Cortes, i, p. s; CAXI, p. .,b; Valden Baruque (+,o,), pp. ++, +,; Gautier-Dalch (+,-o+),
pp. ..,.
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had been in a state of absolute decline (rather than of redistribution) in the
previous half-century. As elsewhere, the historians disagree. But the variations
of the Valladolid legislation according to region (Ordenamientos de menestrales y
posturas) certainly suggest that the impact of the plague had not been
uniform.
77
The cortes of Valladolid (+,+) was one of just two such assemblies of which
record has survived from the bloody reign of Pedro I, the Cruel (+,oo,).
Pedro was fteen on his accession, and bouts of serious illness in his rst year
immediately raised the question of the succession and the claims of his elder
half-brother Enrique, count of Trastmara. The consummation of the latters
marriage to D. Juan Manuels daughter Juana in Leonor de Guzmns very
chamber sealed la Favoritas fate. Early in +,+ she was murdered at Talavera, on
the orders of the queen-mother, Mara de Portugal, and Maras cousin and
alleged paramour Juan Alfonso de Alburquerque: an act which set the course
of the rest of a reign characterised by Lpez de Ayala, the chronicler who
abandoned Pedros cause, as one of much wrong and much war.
78
Alburquerques hold over the young king was soon broken. In pursuit of a
French alliance, a marriage was arranged between Pedro and Blanche de
Bourbon. As Blanche arrived in Castile in the spring of +,,, however, the
kings mistress Mara de Padilla gave birth to their rst child, and when it
emerged that Blanches father lacked the means of paying the dowry of
,oo,ooo gold orins, Pedro asserted himself. Three days after their wedding he
ostentatiously repudiated his bride. The fate of the French queen of Castile
provided both the kings various domestic enemies amongst them the two
claimants to his throne, Enrique de Trastmara and his cousin the infante
Ferran of Aragon, as well as his mother, and now Alburquerque and also the
papacy in the person of the Frenchman Innocent VI, with an ostensibly
respectable cause. It was reinforced when Pedro prevailed upon the bishops of
Salamanca and Avila to nullify his French marriage, thus enabling him to take
Juana de Castro as his wife. By the end of +,, Pedro was trapped at Toro and
forced to a humiliating settlement. At the vistas of Tejadillo the king surren-
dered control of his household, as his grandfather had done in +,os. But unlike
Fernando IV, Pedro I showed himself capable of exploiting the divisions
within the opposition. In little over a year he recovered the initiative and estab-
lished complete control over his kingdom.
79
Secure at home, Pedro now moved against Aragon. Although fomented by
o,s rr+rr iirn:
77
Zabalo Zabalegui (+,os); Leroy (+,s), p. .o; Lacarra (+,-.,), ii, pp. .,,o, +,s; Goi
Gaztambide (+,-,), pp. +o; Rau et al. (+,o,), pp. .++o, .,,; Sousa (+,,,), pp. ,o.; Verlinden
(+,,s), pp. +.-.; Cortes, ii, pp. -+.; Cabrillana (+,os); Sobrequs Callic (+,-o+), pp. so,o.
Cf. Vaca (+,--), p. ,,.; Garca de Cortzar (+,,o), pp. +-,.oo; Amasuno Srraga (+,,o).
78
CPI, pp. o,a, +.b+,a.
79
Ibid., pp. a, sb; Surez Fernndez (+,-o), pp. ,..
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the presence in Aragon of both pretenders to the Castilian throne, this latest
struggle for peninsular hegemony was now part of a larger European contest,
with Aragon aligned with France and Castile with England. Yet it was an
Aragonese attack on Genoese merchantmen in the Castilian port of Sanlcar
de Barrameda in +,o, with Pedro who was there for a days shing looking on,
that sparked hostilities. The Castilians swept all before them. Despite truces at
Tudela (+,-), Terrer (+,o+) and Murviedro (+,o,), by +,o more than half of
Pere IIIs lands had been occupied and domestic resistance crushed by the
ferocity of Pedros oppression. In +,s his half-brother Fadrique was butch-
ered while the Scarpia-like Pedro ate dinner in an adjoining room, and between
then and +,o+ both his wife and his aunt (Blanche de Bourbon and Leonor of
Castile) amongst scores of others were disposed of. In +,o. the Red King el
Rey Bermejo Muhammad VI, whose seizure of power from Muhammad V of
Granada two years before had interrupted Pedros sombre progress was
despatched by the kings own hand, and at the cortes of Seville his liaison with
Mara de Padilla (d. +,o+) was stated to have been a valid marriage though the
death later that year of the Infante Alfonso, the only male of the four children
of that union, nullied the advantages of the declaration.
80
Meanwhile, after his wife had been spirited out of Castile in +,s, Enrique
of Trastmara had fathered a son the future Juan I and, in the wake of the
ignominious failure of his rst invasion of Castile (battle of Njera, April
+,oo), in July +,o. he purchased the assistance of the Free Companies and by
the Treaty of Monzn (March +,o,) secured the alliance of Pere III in return
for a promise of the cession to Aragon of a sixth part of his Castilian con-
quests. With Carlos II conniving, in March +,oo Enriques armies crossed
Navarre and entered Castile with the companies under the command of
Bertrand du Guesclin. Enrique had himself crowned at Burgos and main-
taining the pretence that this was a crusade himself crowned du Guesclin
king of Granada. Because his own forces were deployed in the kingdom of
Valencia, Pedro was taken by surprise. In May Toledo fell to the companies and
Pedro was driven from Seville. Refused sanctuary by Pedro of Portugal, he
sailed to Galicia and, after arranging for the archbishop and the dean of
Santiago to be murdered, reached Bayonne in Gascony in early August, and
opened negotiations with the Black Prince and Carlos of Navarre with a view
to securing his restoration.
At Libourne (., September +,oo) his allies agreed their price. Pedro was to
foot the military bill in full, the county of Vizcaya the cradle of Castilian sea-
power was to be ceded to the prince, and the provinces of Guipzcoa and
Castile, Navarre and Portugal o,,
80
CPIII, pp. ,.-o (p. o,); Russell (+,), pp. +,,; Abadal (+,-o), pp. cxxxviiicxlviii; Surez
Fernandez (+,-o), pp. ,+o+; Harvey (+,,o), pp. .o,+.
Cambridge Histories Online Cambridge University Press, 2008
Alava to Carlos, thereby recreating the kingdom of Navarre as it had been
when it had controlled the fortunes of Christian Spain ,oo years before. As
became apparent immediately after the allies victory at Njera (, April +,o-)
and Pedros restoration, these terms were entirely unrealistic. The military bill
in full amounted to some ..- million gold orins. The princes title to Vizcaya
was found to be worthless. Relations between the victors were further soured
by the English princes quixotic insistence that prisoners be ransomed rather
than butchered, leaving Enriques supporters to ght another day. By the
autumn of +,o- when Enrique and his mercenaries returned, the out-of-
pocket princes preference was for the partition of Castile between Aragon,
Navarre, Portugal and himself. Meanwhile, however, the king of France had
been active. Intent on securing the services of the Castilian eet, in November
+,os Charles V ratied the Treaty of Toledo with Enrique, and in the follow-
ing month sent du Guesclin to Castile. In the spring of +,o,, while moving
through La Mancha, Pedro found himself trapped in the castle of Montiel.
Uncharacteristically (such was the desperateness of his situation) he agreed to
conversations with du Guesclin, who handed him over to Enrique. On the
night of ../, March +,o, Enrique hacked him to death. Pedro I slept little
and loved many women, Lpez de Ayala noted by way of epitaph. And he
killed many in his kingdom, whence all the misfortunes he suered of which
you have heard.
81
In the case of Portugal it might be it certainly has been argued that, just
as elsewhere, the countrys mounting political crisis was an eect of the great
mortality,
82
and although other less sophisticated explanations for the train of
events that culminated in the +,sos suggest themselves it is certainly true that
immediately pre-+,s Portugal had enjoyed a measure of prosperity. In the
aftermath of the Salado victory, Afonso IV requested funds from Avignon to
enable him to prosecute the struggle against the Marinids. To the considerable
detriment of the Portuguese Church, his request was granted, and in July +,+
two ships set out from Lisbon under the command of Genoese and Florentine
masters. Their destination was not North Africa however. Five years before,
the Genoese mariner Lanzarotto Malocello had visited the island in the
Canaries which is named after him, and there they too now went, returning
with evidence of the existence of land across the ocean.
83
But it was another event of these years that made Afonso IVs reign a land-
mark for Portugals literature as well as for its history. Ins de Castro had come
to Portugal in +,o in the entourage of Constanza, the daughter of D. Juan
oo rr+rr iirn:
81
Delachenal (+,o,,+), iii, pp. +,o, o-so; Russell (+,), pp. ,+s; Surez Fernndez (+,-o),
pp. +o+.,; CPI, p. ,,.
82
H. C. Baquero Moreno, M. Caetano contra, in Rau et al. (+,o,), pp. .,-,.
83
Serro (+,-,), i, pp. .-o+; Phillips (+,ss), pp. +s,.
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Manuel whom Alfonso XI had spurned. Constanza was now the wife of
Afonsos heir, D. Pedro. By the time she bore him their second child, however,
Constanza had her suspicions. Ins was recruited as the childs godmother. The
child died. Constanzas suspicions were conrmed. In +,, after giving birth
to the future Fernando I, Constanza also died, and D. Pedro took up openly
with Ins. By +,+ the mistress with whom the prince was besotted had given
him three sons and a daughter. But she had also raised in Afonso IVs mind the
spectre of a duplicate royal family and a Portuguese re-enactment of the mis-
eries currently being experienced in Castile. So in January +, Afonso had
Ins killed. As soon as he was king himself, in May +,-, Pedro I wreaked ven-
geance. In June +,oo, he declared that he and Ins had married secretly some
seven years earlier. This anticipated Pedro of Castiles claim regarding Mara
de Padilla. There was, indeed, not much to choose between the two Pedros.
Later, in exchange for three fugitives from his royal namesake, the king of
Portugal secured the extradition from Castile of two of his mistresss murder-
ers and, as he watched and ate, had their hearts removed, one through his back
and the other through his chest, recalling the precedent of Pedro of Castiles
supper-time entertainment though it was not the psychopathic voyeurism of
the two Pedros that dismayed their chroniclers, Lpez de Ayala and Ferno
Lopes, so much as the shameful agreement between them that had delivered
the victims to their fate.
84
For Ferno Lopes, what made Pedro Is ten-year reign memorable was the
kings inexibility in administering justice. Portugal had never experienced the
like of it, men said.
85
By a series of measures promulgated at the cortes of Elvas
(May +,o+) the respective jurisdictions of secular and ecclesiastical tribunals
were dened and the practice of submitting papal letters to royal veto was
conrmed.
86
A pragmatic ruler, throughout the early +,oos Pedro contrived to
avoid involving his kingdom in the prevailing peninsular turmoil. Accordingly,
when Pedro of Castile was driven from his kingdom in +,oo, he refused him
shelter and cancelled the betrothal of his son and heir Fernando to Pedros heir
and daughter, Beatriz. During his reign Lisbon and Oporto prospered as never
before, and on his death in January +,o- according to the chronicler he
bequeathed a greater fortune than any previous king had ever possessed.
The dynastic ambition and uncontrolled libido of his successor squandered
it all. On the death of Pedro of Castile, Fernando I (+,o-s,) allied himself
with Aragon and Granada and declared war on Enrique II, claiming the
Castilian throne as the great-grandson of Sancho IV. In this capacity he
Castile, Navarre and Portugal o+
84
CPI, p. oo; Macchi and Steunou, Ferno Lopes, pp. +oos; Serro (+,-,), i, pp. .-s..
85
Macchi and Steunou, Ferno Lopes, pp. +,o-, .,.
86
Barros (+,), ii, pp. +,, .+,, .o, .s+; Almeida (+,o-), pp. ,-, ,s+..
Cambridge Histories Online Cambridge University Press, 2008
invaded Galicia in June +,o,. The venture was a disaster. Fernando was forced
to renounce his claim and promise to marry the infanta Leonor of Castile
(Treaty of Alcoutim, March +,-+). No sooner had he done so, however, than
he threw in his lot with John of Gaunt who on his marriage to Pedro Is eldest
surviving daughter Constanza in September +,-+ assumed the title of king of
Castile. But when the promised English force failed to materialise the cam-
paign of +,-., proved a disaster too, and Enrique IIs armies entered Portugal
and pillaged Lisbon, imposing upon him the humiliating treaty of Santarm
(March +,-,). Fernando was forced back into the Franco-Castilian camp.
Meanwhile, however, nothing daunted, and despite his commitment to the
infanta of Castile, in April +,-+ Fernando had married Leonor Teles de
Meneses. The inuence of this unscrupulous and lascivious lady Portugals
Lucrezia Borgia, Herculano called her caused widespread resentment. For as
well as being married already (to Joo Loureno da Cunha), Leonor soon took
Gaunts agent in Portugal, Juan Fernndez Andeiro, as her lover. Under
Andeiros inuence, Leonor pressed Fernando to enter into the alliance with
the English which was concluded at St Pauls (London) in June +,-, just three
months after the treaty of Santarm.
By +,-,, therefore, just six years into the reign, Portuguese political society
was deeply divided and irreversibly polarised. Further complications ensued
when, rst, the Schism of the western Church in +,-s resulted in England
declaring allegiance to Urban VI and Castile to Clement VII and, then, in +,so,
the heiress to the throne, Beatriz, nished up betrothed both to the future
Enrique III of Castile and to the son of Gaunts younger brother, Edmund,
earl of Cambridge. In August +,s. the inglorious outcome of Cambridges
comic-opera expedition carried the reign forward in appropriate fashion.
While the queen was giving birth to as was generally assumed Andeiros
child, the English army at Badajoz learned that their Portuguese allies had
made peace with the Castilians, that Beatriz was to marry Enrique of Castile
after all and that they were to be ignominiously shipped home courtesy of the
Castilian navy.
87
For all its complications, however, Portuguese policy during the +,-os was
positively candid when compared with that of Carlos II of Navarre whose
indecision as to which side to back was such that, in order not to have to
commit himself to either Castilian claimant, in +,o- he arranged to have
himself incarcerated by a cousin of Bertrand du Guesclin until the outcome
of the battle of Njera was known and had then to part with his wifes jewels
o. rr+rr iirn:
87
Russell (+,), pp. ++.o,, .,o,; Surez Fernndez (+,oo), pp. ,++, and (+,-o), pp. +,-o;
Lomax and Oakley, The English in Portugal, pp. ,-+,; Serro (+,-,), i, pp. .s,,o; Sousa (+,,,),
pp. ss,.
Cambridge Histories Online Cambridge University Press, 2008
to purchase his conspirators silence.
88
Thereafter, he was involved in
peninsular alliances of every conceivable complexion, adjusting barometrically
to successive shifts in the relationship of Aragon, England and Portugal to
Enrique of Castile. In the year after the Castilian galleys had repaid Charles V
for his support for the Trastamara cause by destroying the English eet o
La Rochelle (June +,-.), he was forced to submit to Castilian demands and to
surrender Logroo, Vitoria and the other Alavese towns which he had
seized in +,os on the strength of the Libourne agreements.
89
Nevertheless, he
continued to scheme against both Castile and France. In March +,-s his
chamberlain, Jacques de Rue, was arrested in France carrying evidence which
revealed the extent of Carloss negotiations with the English, the existence of
a conspiracy involving the adelantado mayor of Castile, Pedro Manrique, for the
recovery of Logroo, and details of plans to assassinate both Enrique of
Castile (codename intrusor) and his brother-in-law, the king of France. For
Carlos II the consequences of the discovery were doubly catastrophic: all his
French possessions were conscated, the assistance promised by Richard II of
England in return for the leasing to him of Cherbourg was delayed, his heir the
infante Carlos and two of his other children were detained by Charles V, he
himself only narrowly escaped capture at Logroo where Pedro Manrique was
playing a double game, and the Castilians invaded and overwhelmed Navarre.
The Treaty of Briones (March +,-,) bound Carlos II hand and foot. He died
in January +,s-, leaving his kingdom devastated and its treasury empty.
90
Portugals circumstances had been hardly better in October +,s, when,
weighed down by his thirty-eight years, Fernando I of Portugal had died and
the question of the Portuguese succession had become actual. With no fewer
than three of his father King Pedros bastards in play Joo and Dinis (by Ins
de Castro) and (by another mother) a second Joo, the Master of Avis (the
Portuguese branch of the military Order of Calatrava) with the king believed
to be beyond begetting a child himself but perfectly capable of strangling at
birth any other of his wayward queens ospring, and with Queen Leonor
herself in the ascendant and her good friend Andeiro (now count of Ourm)
in the ong, the question had been on the peninsular agenda at least since
August +,s.. Then, in the aftermath of the dbcle of the English expedition,
the ten-year-old heiress to the throne the already extensively betrothed
Beatriz had been promised to a younger son of Juan I. But in the following
month Juan Is wife had died in childbed, and in March +,s, Ourm had
arranged for Beatriz to marry Juan himself. The kingdom was to be governed
Castile, Navarre and Portugal o,
88
CPI, p. o; Lacarra (+,-.,), ii, pp. ,,, +o,.
89
Delachenal (+,o,,+), i\, pp. o-+o; Russell (+,), p. +,,; Lacarra (+,-.,), ii, pp. ++o+.
90
Russell (+,), pp. .,s.; Lacarra (+,-.-,), ii, pp. +.+,,, +,.
Cambridge Histories Online Cambridge University Press, 2008
by a regency (of Andeiro and Leonor presumably) until the couple had
produced an heir to the throne. If they failed, or neglected, to do so then the
king of Castile and his heirs would succeed instead. So Juan I, who was twenty-
ve at the time, had only to leave his child-bride alone and Portugal would be
his and in due course Castiles.
91
Juan I had only to wait therefore, and contain himself. Yet such was his
desire to possess another kingdom that, rather than leaving the regents to
create their own confusion, he proceeded to annex the royal arms of Portugal
to his standard and entered the country in force. Historians who think they
understand the thought-processes of medieval kings consider his actions odd.
There was a degree of method in his madness, however. In +,s, the prospect
of completing an anti-English occupation of the entire coastline from
Flanders to Cape St Vincent made good strategic sense.
92
But considerations
such as these evoked little sympathy in Lisbon where popular opinion was out-
raged. The Master of Avis (who as yet had no ambitions in the matter, it is
implausibly suggested) murdered Ourm, the capitals Castilian bishop Martn
was thrown to his death from the cathedral tower, and Leonor Teles ed the
city. Lisbon was besieged by the invaders, the crowd acclaimed Avis regedor e
defensor of the kingdom (December +,s,), and envoys were sent to England to
raise troops. At this point plague intervened, accounting for the best of the
Castilian commanders and forcing Juan Is withdrawal (September +,s).
Peninsular plague and the less dependable English, who arrived in small
numbers in April +,s, together proved eective. They were assisted, fteenth-
century tradition relates, by the admixture of political thought and legalistic
special pleading to which in March +,s the cortes of Coimbra was subjected by
Aviss chanceler-mor, Joo das Regras. The Bolognese-trained jurist was the
impresario of the cortes of Coimbra. In a virtuoso display of learning and
forensic skill which cut a swathe through royal Portugals recent history of
adultery, cuckoldry and plain carelessness, he made light of all claims to the
throne other than those of his master. A letter of Pope Innocent VI was pro-
duced to establish the invalidity of Pedro Is marriage to Ins de Castro,
thereby putting paid to the prospects of their sons Joo and Dinis. Fernando
Is paternity of Beatriz was brought into question, and Beatriz herself was
ruled out for having married a Castilian supporter of the Avignonese Clement
VII.
For an old Bologna hand, all this would have been plain sailing. The problem
was that the Master of Avis was as much a bastard as his half-brothers and that
as a member of a military order he was technically excluded from exercising
royal power. (Indeed, Urban VI had to be persuaded to dispense him from the
o rr+rr iirn:
91
Russell (+,), pp. ,o.,.
92
Surez Fernndez (+,), p. -.
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monastic vows which had not hampered him when it had come to committing
murder.) What secured the proclamation of the Master of Avis as King Joo I
was not his legitimacy but his proven success and the strength of his political
following.
Equally, what secured both his own survival and that of Portugals indepen-
dence was his victory over a numerically superior Castilian force at Aljubarrota
on + August +,s, a victory which in Russells words must rank among
the most decisive engagements of medieval warfare.
93
The Crisis of +,s,
continues to preoccupy Portuguese historians. For Ferno Lopes in the +,os
it ushered in the Augustinian seventh age of History, no less. Today the ques-
tion is whether to classify it as patriotic uprising or as an episode in the class
war.
94
Now as then, however, Portugals crisis dees facile categorisation. As well
as representing the struggle for mastery in these years as the entry into a new
world of a new generation of people, Ferno Lopes also recorded the real
divisions within real families that it created.
95
And in the immediate aftermath
of battle, the rst thoughts of the rst king of the new dynasty ran along tra-
ditional lines and found expression in the strengthening of his alliance with
England and his marriage with Philippa, Gaunts daughter (Treaty of Windsor,
May +,so).
The terms in which the Portuguese chronicler sang his heros praises mark
a sharp contrast between Joo Is Portugal and Castiles seedy discontinuities
under its rst three Trastamaran kings. Flanked by Pere III of Aragon in his
dotage and Fernando I of Portugal at his best, however, Enrique II ourished
and, with what a modern Castilian historian describes as the re-establishment
of a peninsular equilibrium,
96
for the time being Castilian predominance was
assured. But the price to be paid for the restoration of the old order was not
modest. At least in the earliest years of the reign, the lavish scale of the
usurpers remuneration of his confederates members of his family and of
the lesser nobility whom he rewarded with titles and oces respectively, as well
as the French companies (with du Guesclin receiving a ducal title) and the
Church seriously endangered the royal sc, as did the creation of entailed
estates (mayorazgos) and the devaluation of the currency in order to pay o
Enriques French debts. A halt was called by the reactivated cortes (Medina del
Campo, +,-o; Toro, +,-+) at which at the insistence of the concejos these ruinous
measures were abandoned and the judicial system was overhauled by the crea-
tion of an Audiencia staed by a permanent cadre of seven oidores.
97
Castile, Navarre and Portugal o
93
Caetano (+,+); Brsio (+,s); Russell (+,), pp. ,-,,.
94
Caetano (+,,); Coelho (+,s); Rebelo (+,s+) and (+,s,), pp. -++o; Mattoso (+,s).
95
Serro (+,-,) i, pp. .,s,+,.
96
Valden Baruque (+,oo), p. .o,.
97
Cortes, ii, pp. +s.o; Surez Fernndez (+,,), pp. +-.-; Valden Baruque (+,oo), pp. .-,,o,.
Cambridge Histories Online Cambridge University Press, 2008
If it be legitimate to endow periods of history with human characteristics
then it may be suggested that on Enrique IIs death in January +,-, the
Castilian fourteenth century lost its nerve and that the brooding Juan I
(+,-,,o) was a tting representative of the new neurasthenic age. Aljubarrota
was Juan Is Waterloo. Victory there would have established him and his
dynasty on a rm footing. As it was, the cortes took advantage of the kings mil-
itary humiliation and, by claiming the right to control the crown, not least in
its nancial dealings, sought to subvert by revolution the countrys constitu-
tional structure.
98
At Valladolid in +,s, the royal council was reconstituted,
comprising four members of each of the three estates of the realm. At
Briviesca in +,s- the members of the third estate were replaced by four jurists,
reecting the ascendancy of a group which was also apparent at the Portuguese
court, the audiencia was reformed and located in specied cities for regular
three-monthly periods, and (echoes of Aljubarrota) plans were tabled for the
creation of a standing army of +o,ooo men though, because the cost proved
prohibitive, at the cortes of Guadalajara in +,,o its size was almost halved.
99
As to the signicance of the cortes revolution in the reign of Juan I, his most
recent historian appears uncertain.
100
As to that of the cortes of Guadalajara of
+,,o, however, he inclines to the view that its extensive legislation represented
a new deal for Castile, reecting the new power and inuence of the ascendant
oligarchy of royal servants who had distinguished themselves in the royal
service at and after Aljubarrota at the expense of those members of the old
nobility who had either disgraced themselves or had perished there.
101
This
appears fanciful. For despite the truces with Gaunt and Joo I (Bayonne +,ss,
Leulingham +,s,), whereby Gaunt renounced his claim to the Castilian throne
in return for ooo,ooo gold doblas and the marriage of his daughter Catalina of
Lancaster to the future Enrique III,
102
King Juans Portuguese obsession
remained intact. Indeed, at the Guadalajara cortes itself he declared his inten-
tion of abdicating in order to pursue his Portuguese claim. But for his councils
patient demonstration of the fatal consequences of territorial partition over
the previous three centuries, he would have appropriated Andalusia, Murcia,
the lordship of Vizcaya and the tercias of the kingdom to himself, leaving what
was left of Castile to his ten-year-old son and a regency government. It is clear
from the terms in which he did so that his acceptance of sane advice to the
oo rr+rr iirn:
198
Prez-Prendes (+,-), pp. s,; Surez Fernndez (+,--s.), i, pp. .,.
199
Russell (+,), pp. oo,+; Surez Fernndez (+,-o), pp. .s-,o,; Serro (+,-,), i, p. ,o,; Surez
Fernndez (+,--s.), i, pp. ,,-o, ,-,o.
100
Thus Surez Fernndez (+,--s.), i, p. ,+s (cortes wholly submissive), ,, (role of cortes indis-
pensable). Cf. Burns (+,,.), pp. -.
101
Surez Fernndez (+,--s.), i, pp. ,-,ss (Las Cortes de Guadalajara . . . constituyeron, sin duda,
una puerta a la esperanza, p. ,ss).
102
Both were great-grandchildren of Alfonso XI.
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contrary was only temporary.
103
Fortunately for Castile, Juan I fell o his horse
later that year and died.
There was another sense, dynastic rather than personal, in which
Aljubarrota was as much a watershed for Castile as it was for Portugal. After
+,s both countries were ruled by kings of dubious legitimacy. But Joo had
won the battle, which enabled his propagandists to represent him as a mes-
sianic gure,
104
whereas Juan had lost it, and with it the kingdom for which he
was prepared to sacrice the kingdom he actually possessed. In his post-
Aljubarrota dejection Juan I prohibited the representation of the king of
Castile as the king of kings and sought reassurance elsewhere. At the cortes of
Segovia (+,so) he cast around for alternative inspiration, and found it up the
family tree. His legitimacy, he now claimed, derived from Alfonso Xs eldest
son Fernando de la Cerda and had descended not through his father but via
his mother Juana Manuel.
105
Alongside this perilous argument he declared a
commitment to the cause of ecclesiastical reform and adumbrated the sense
of those religious responsibilities of the Christian king with which the extra-
ordinary measures contained in the three tracts promulgated at Briviesca in the
following year were imbued. Rooted in the conviction that the implemention
of the moral law was the monarchs responsibility especially perhaps at a time
when the Schism had fractured the principle of papal authority the Briviesca
measures included prescriptions for the chaining up of disobedient children
and the correction of clerical concubinage as well as for the rigid segregation
of Jews and Moors. In the mid-+,sos we are light years distant from the Castile
of Alfonso XI.
106
In order to eradicate the abuses that had long plagued Castilian society and
during the reign of Alfonso XI had been immortalised by the archpriest of
Hita, Juan Ruiz, in his Libro de buen amor at the same cortes of Guadalajara Juan
I undertook the reform of the economic basis of the Castilian Church. In this
task, which was a tall order, he was assisted by prelates of the stature of
Archbishop Pedro Tenorio of Toledo and the bishop of Oviedo, Gutierre
Gmez de Toledo to whose church the county of Norea was transferred
after Alfonso Enrquez, Enrique IIs bastard, had eventually exhausted his half-
brothers patience. In the same spirit he patronised the Carthusian Order
(newcomers to Castile) and the Jeronimites, further promoted the latters
shrine at Guadalupe, and lavishly endowed the Benedictines of Valladolid
conditional upon their strict observance of the rules of claustration.
107
Castile, Navarre and Portugal o-
103
CJI, pp. +.,; Russell (+,), pp. ,o+.
104
Rebelo (+,s,), pp. -s,.
105
Nieto Soria (+,ss), pp. -, -.; Cortes, ii, pp. ,.,, ,o,; Russell (+,), pp. ,os.
106
Cortes, ii, pp. ,o.-s.
107
Ibid., pp. ,,; CJI, pp. +,,; Surez Fernndez (+,--s.), i, pp. ,+o, ,o.-.; Garca y Garca
(+,s+ ); Fernndez Conde (+,-s), pp. ,-+.-, (+,-s), pp. ,-+.-, and (+,so.), i, pp. +o+.
Cambridge Histories Online Cambridge University Press, 2008
Hardly less pronounced than the contrast between Juan I and his father was
that between him and his genial contemporary Carlos III of Navarre
(+,s-+.). And the latter, in turn, was the antithesis of his father, the disas-
ters of whose administration Carlos III, the Noble, dedicated his own early
years to repairing, restoring the royal nances and navarrising the administra-
tion. In pursuit of a settlement with the French king regarding the lands
conscated from his father a settlement nally secured in +o by the
exchange of the counties of Champagne, Evreux and Avranches for the rents
and title of the newly created duchy of Nemours and the sale of Cherbourg
for .oo,ooo Carlos III was obliged to travel frequently to France on the o-
chance of coinciding with one of Charles VIs lucid intervals. He was never-
theless the most peninsularly committed ruler of Navarre since the +.,os,
peaceful and straightforward by temperament and a rm adherent of the
Castilian alliance, which secured the recovery of Tudela, Estella and San
Vicente (August +,s-). Yet his melancholic wife, Juan Is sister, Leonor con-
ceived the idea that he was intent on poisoning her, and in +,ss took up resi-
dence in Castile, where she remained for all of seven years, contributing by her
mischievous presence to the state of imminent anarchy which constantly
threatened throughout the minority of Enrique III.
108
As the young kings aunt, in +,,o Leonor provided the Trastmara old guard
with timely reinforcement when, after decades of plague and warfare, and with
the cortes eervescent, the various elements which Juan I had somehow main-
tained in uneasy equilibrium threatened Castile with a return to the divisions
and tensions of the +.,os and +,+os. With no Mara de Molina in the ong
Beatriz of Portugal was hardly tted for the part on this occasion the cortes
occupied the political void. It is a measure of the political shift that had
occurred over the century, as well as an indication of the growing importance
of Madrid in the kingdoms aairs, that in +,,o it was the +., procuradores of
the , cities represented there that decided the outcome, invoking the scheme
of a regency council proposed by Juan I on the occasion of his attempted
abdication, and ensuring that members of their estate constituted a majority
fourteen out of twenty-four on that body. The seizure of the initiative by the
cortes of Madrid (JanuaryApril +,,+) revealed the extent of the divisions within
the political establishment which undermined the attempts of Archbishop
Pedro Tenorio to maintain oligarchical control by appealing both to a long-for-
gotten will of Juan I and to the provision of the Sieta Partidas that there be one,
three or ve regents. There were not that many men in the kingdomwith whom
the kingdomwould be content, the chronicler Ayala remarked.
109
Talk of tutors
os rr+rr iirn:
108
Castro (+,o-); Lacarra (+,-.,), ii, pp. +o+,+, .o+-; Leroy (+,ss).
109
CEIII, pp. +o+, +so,; Cortes, ii, pp. s-; above, n. ,; Surez Fernndez (+,), pp. oo,+.
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and regents served as reminder of the bad old days of Alfonso XIs minority,
he added. If the self-condence of the cortes represented an advance on the
exploratory constitutionalism of the +,+os, as then the towns and cities of
the kingdomwere divided and liable to social breakdown. The tendency of the
provinces to slip the leash of authority is said to have been especially prevalent
in the north in these years.
110
But it was in the south that in June +,,+ public
order collapsed completely and the Jewish aljamas were besieged. Popular prej-
udice had associated the Jews with Pedro I. But Spains Jews had been at risk
since the o,os, and Pedro Is downfall had not exposed themto the venomand
vituperation that they encountered in +,,+. Incited by the fanatical Ferrn
Martnez archdeacon of Ecija, the pogroms of +,,+ registered the nal disin-
tegration of the last semblance of authority in fourteenth-century Castile.
Launched at Seville, where as many as ,ooo deaths were recorded, fromthere
the mania spread throughout Andalusia. The north was less aected.
According to Ayala, it was avarice that was the cause, not devotion.
111
With the ending of the regency (August +,,,), the personal reign of Enrique
III el Doliente (the Doleful, d. +oo) commenced. It was notable for the resto-
ration of a semblance of order in the south and the purposeful pursuit of the
seditious old nobility. Thus, the year +,, witnessed both the re-establishment
of the corregidores in Seville and the Basque country, and the elimination of that
inveterate troublemaker the count of Norea and the destruction of his
stronghold at Gijn. The beneciaries of this process were members of the
newly ennobled families which had occupied the social and political vacuum
created at and after Aljubarrota.
112
On Christmas Day +,s the use of the Spanish era in the dating of Castilian
documents had been abandoned in favour of the chronological practices of
the nations of Europe with which the peninsular kingdoms had become
increasingly enmeshed.
113
It is therefore tempting to regard this adjustment,
together with the initiatives taken by Enrique III in the later +,,os, as symbol-
ising the end of an era at an altogether more profound level. Tempting but
scarcely justied. True, Enrique III was the rst king of Castile since Fernando
III to father no bastards. Otherwise not very much had changed over the pre-
vious two centuries as the ordinance enacted in +,,o to discourage the use
of mules demonstrated.
114
The mule law conrmed that Castilian society at the end of the fourteenth
century remained what it had always been, a horse-centred society, a society
organised for war. But midway between the death of Sancho IV and the
Castile, Navarre and Portugal o,
110
Valden Baruque (+,-), p. ,s,.
111
Wol (+,-+), pp. s,; CEIII, p. +--b.
112
Surez Fernndez (+,-o), pp. ,.s.; Mitre Fernndez (+,os), pp. .,-o, and (+,o,); Bermdez
Aznar (+,s,), pp. so.
113
CJI, pp. +s,; Garca y Lpez (+s,.,), ii, pp. .o+..
114
Cortes, ii, pp. ,.-.
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reconquest of Granada, it also testied to the strength of the various vested
interests upon whose sundry services that society depended which had frus-
trated Alfonso XIs similar attempt to promote Castilian chivalry in +,,+.
115
Archbishops, royal physicians, masters of theology, falconers and the rest
all were assigned their hierarchically calculated variation from the norm.
Castilian society remained as honeycombed with exceptions to every rule as
its rulers continued persuaded that they were actually capable of keeping
count of the mounts astride which those archbishops and the rest sat saddled
as they went about their business.
oo rr+rr iirn:
115
Linehan (+,,,a), p. s..
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PART III
THE CHURCH AND POLITICS
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cn:r+rr +,
THE AVIGNON PAPACY
P. N. R. Zutshi
ror or :\ico
sr\r popes in succession resided at Avignon in the years +,o,-o.
1
That the
pope, the bishop of Rome, did not live in the Eternal City was neither new nor
remarkable by the fourteenth century. In the thirteenth century (and earlier) Rome
was a dangerous place because of the riots and tumults there, in which the Roman
aristocracy took a leading part. Moreover, the city was unhealthy in summer. The
popes habitually spent periods away from Rome in one of the towns of the Papal
State, notably Viterbo, Anagni, Orvieto, Perugia and Rieti. It has been calculated
that in the years ++,s+,o the popes spent about oo per cent of their time away
from Rome. The one pope in this period who spent his entire ponticate in Rome
was Celestine IV, and he was pope for only seventeen days. After +..o no pope
spent the whole summer in Rome.
2
Yet it was quite unprecedented for the popes
in the fourteenth century to spend seventy years away from Italy.
Benedict XI (+,o,) established himself at Perugia. In +,o, the cardinals
elected Bertrand de Got, archbishop of Bordeaux, as his successor (Clement
V, +,o+). Although Clement on various occasions declared that he intended
to journey to Rome, he never managed to leave southern France during his
ponticate of almost nine years. There were several reasons for this: Clements
love of his native land, Gascony, and of his fellow-countrymen, on whom his
patronage was lavished; his close relations with Philip the Fair of France; his
desire to negotiate a peace between the kings of England and France; his plan
to hold a general council at Vienne, which took place in +,++; his poor health;
and the chaotic state of northern and central Italy.
o,
1
Mollat (+,o) and Guillemain (+,o.) are the standard works on the Avignon popes. The main
primary sources are the registers of their letters (published in part by the Ecole franaise de Rome),
the accounts of the papal chamber (published in part in the series Vatikanische Quellen) and the
contemporary lives (edited by Baluze, new edn by Mollat, +,+.-).
2
Paravicini Bagliani (+,,+), pp. o.,.
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Following his election, Clement moved from one place to the next. In +,o,
he came to Avignon. He did not intend to make this peaceful town his perma-
nent residence. He lived in the Dominican convent there, and occasionally left
Avignon for Groseau, Carpentras or another town in the region. However, the
advantages of Avignon for the papacy soon became apparent. It was adjacent
to the Comtat-Venaissin, which had been in the possession of the papacy since
+.-, and which was the only extensive papal territory outside Italy. However,
Avignon itself belonged to the count of Provence, who was also king of Sicily
(Naples) and thus a vassal of the Holy See. To complicate matters further,
Avignons ultimate temporal suzerain was the emperor, although his powers
there were only nominal. Avignon is on the eastern bank of the Rhne, which
was one of the main European trade routes, above all for the trac between
the Netherlands and Italy. The city was more conveniently situated than central
Italy for most countries with which the papacy was in frequent contact. This
applies to France, England, Germany and, to a certain extent, the Iberian king-
doms; the main exceptions were the Italian states.
3
Avignon became the stable seat of the papacy under Clements successor,
John XXII (Jacques Duse, +,+o,). Before he became a cardinal, he had
been bishop of Avignon, and even as pope John lived in the episcopal palace,
which he altered and extended. These arrangements would have been incon-
venient for the then bishop, who was the popes nephew. John elevated him to
the cardinalate and then left the see vacant. In +,,o. there were plans to move
the papal curia to Bologna, as the rst stage in returning to Rome. The idea was
reiterated at the beginning of the ponticate of Benedict XII (Jacques
Fournier, +,,.) but soon abandoned. The episcopal palace became the
basis of the construction of a massive new residence at Avignon, the Palais des
Papes. This indicates that there was now no prospect of an early return to Italy.
The austere appearance of the palace betted a pope who was a Cistercian
monk and a reformer of both the papal curia and the religious orders. Clement
VI (Pierre Roger, +,..) was also a monk (a Benedictine), but he extended
and decorated the palace in a more lavish style; for instance, a team of paint-
ers under the direction of Matteo Giovanetti of Viterbo was employed.
Clement bought the town of Avignon from Queen Joanna of Sicily for so,ooo
orins in +,s. This strengthened the popes independence from secular
control, at least in theory. Work on the palace continued under Innocent VI
(Etienne Aubert, +,.o.) and Urban V (Guillaume Grimoard, +,o.-o).
These popes and Gregory XI (Pierre Roger de Beaufort, +,-os) fortied the
town when it was threatened by the mercenary companies unleashed by the
Hundred Years War. Building activities were not conned to Avignon. John
o r. . r. zt+sni
3
On the advantages of Avignon see Renouard (+,), pp. +,+,, .s; Guillemain (+,o.), pp. --ss.
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XXII, for instance, constructed at least six castles in the region, as well as the
summer palace and papal mint at Sorgues. From +,+o to +,.., the building
costs at Sorgues were greater than those at Avignon. The mint remained there
until it was moved to Avignon in about +,. At Villeneuve-ls-Avignon, situ-
ated on the opposite bank of the Rhne from Avignon and lying within the
kingdom of France, several cardinals built summer palaces. Napoleone
Orsinis palace was acquired by Pierre Roger. When the latter became Pope
Clement VI, the palace was extended and used as a papal residence. In addi-
tion the popes promoted the construction of new churches, monasteries and
educational foundations. Thus Innocent VI established the vast Charterhouse
at Villeneuve-ls-Avignon, and Urban V founded two colleges at Montpellier
and reconstructed his old abbey of St Victor, Marseille.
Under Urban V the question of the return of the papacy to Italy was again
in the foreground. The Avignon region was now less secure, and the
pacication of the Papal State by Cardinal Albornoz made this ambition real-
isable. In October +,o- Urban entered Rome. Faced with the rebellion of
Perugia and other diculties in Italy, Urban returned to Avignon in +,-o.
Gregory XI was equally anxious to return to Rome and left Avignon in +,-o,
undeterred by the war with Florence then raging. Unlike Urban, Gregory suc-
ceeded in dying at Rome. The decision of these two popes to abandon
Avignon is doubtless associated with the religious sentiments of their age.
Rome, rather than Avignon, was still the focus of devotion and the destination
of pilgrimages, including those inspired by the successful Jubilee of +,o.
From Gregorys words to certain citizens of Avignon in +,- we can see that
to him returning to Rome was a matter of conscience. He said that the previ-
ous year he had been seriously ill, and he attributed this illness to his failure to
reside in Rome.
4
There was opposition to the wishes of Urban and Gregory
from those who had beneted from the papal residence at Avignon, notably
the king of France, the cardinals and the inhabitants of the town. In both +,o-
and +,-o, several cardinals remained behind at Avignon.
The popes return to Rome was partly dependent on conditions in Italy,
especially in the Papal State. The latter was an agglomerate of distinct territo-
ries: the Campagna and Marittima (Lazio), the Patrimony of St Peter in
Tuscany, the duchy of Spoleto, the March of Ancona and the Romagna. A
major preoccupation of the Avignon popes was controlling these now more
distant provinces. There were marked dierences of approach between the
popes. Clement V, Benedict XII and Clement VI were anxious in general to
avoid heavy military expenditure. They contented themselves with exercising
a lesser degree of power than was acceptable to John XXII and to Innocent
The Avignon papacy o
4
Segre, I dispacci di Cristoforo da Piacenza, p. -o.
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VI and his successors. Clement V, as a sign of favour to the Gascon Amanieu
dAlbret, rector of the Patrimony, permitted him to collect taxes without ren-
dering an account of them. It is dicult to conceive of such a concession
being made by John XXII, who ordered more elaborate accounting procedures
to be adopted in the duchy. Johns desire to control Italy closely is evident in
his declaration in the constitution Si fratrum of +,+- that during a vacancy of
the empire the pope exercised imperial jurisdiction, in his consequent appoint-
ment of Robert II of Anjou, king of Sicily, as imperial vicar, and in his sending
the uncompromising Cardinal Bertrand du Pouget as papal legate to Italy. He
was the rst of a series of legates in Italy equipped by the popes with exten-
sive, viceregal powers. Despite the vast sums expended (in fourteen years
.,so,ooo orins were sent to du Pouget), the papal army was crushed at
Ferrara and the papacy lost control of Bologna (+,,,). The task of Benedict
XIIs legate in Italy, Bertrand de Daulx, was to reform the Papal State, and he
issued constitutions for the various provinces in +,,o. None the less, papal
power in the March and the Romagna was rather limited at about this time.
Clement VI again sent Bertrand de Daulx as legate to Italy, but with greater
powers. One of his tasks was to deal with Cola di Rienzo, who took control of
Rome for six months in +,-. A new development was the enlisting of a band
of foreign mercenaries by Astorge de Durfort, rector of the Romagna, in +,o.
Mercenary companies were to be used extensively by Cardinal Gil Albornoz
and his successors.
Innocent VI appointed the Castilian Albornoz legate in Italy and vicar-
general of the papal territories there in +,,. Albornoz reasserted the author-
ity of the papacy over these territories with remarkable energy and speed. In
the Tuscan Patrimony, where the rebel Giovanni di Vico was entrenched, the
key towns submitted. In the March, Albornoz came to terms with the
Malatesta of Rimini. In the Romagna, Cesena and Forl were captured from
Francesco Ordela and, most spectacularly, Bologna was wrested from the
rule of the Visconti (+,oo). Four years war with the latter followed. It was only
with the conquest of Assisi and other towns and the defeat of Perugia (+,o-)
that papal control of the duchy was eectively exerted.
Albornozs conquests were followed by the building of fortresses. When he
came to terms with an existing tyrant, his practice was to confer the apostolic
vicariate on him, which legitimised the tyrants rule. In return, a census was
payable. The Malatesta, for instance, were appointed vicars of Rimini and three
other towns for ten years and undertook to pay a census of o,ooo orins per
annum and to provide the service of +oo horsemen. In +,-, at a parlamentum
generale held at Fano, Albornoz published his celebrated law code for the Papal
State, the Constitutiones Egidiane. It largely re-enacted earlier legislation, includ-
ing that of Bertrand de Daulx, but there was some new material, while
oo r. . r. zt+sni
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superseded or redundant laws were excluded. Revised in the sixteenth century,
the constitutions remained in force until +s+o. They were Albornozs most
durable legacy. He died in +,o-, having failed to enjoy the complete condence
of the curia. There were doubts about the cost of his warfare and about his
policy of granting away papal rights to vicars. Albornoz sometimes found it
necessary to ignore papal instructions. Innocent VI replaced him with the
more pacic Androin de la Roche in +,-s. Although Albornoz was then
restored to oce, from +,o, his legation was divided with de la Roche, who
was appointed legate in Lombardy, to which the Romagna was soon added.
The political legacy of Albornoz was fragile: ignis de brevi extinctus facili-
ter reaccenditur (re quickly extinguished is easily reignited), as the vicar-
general in the Papal State from +,o- to +,-+, Anglic Grimoard, wrote. He was
faced with the rebellion of Perugia and a further war with the Visconti.
Grimoard was in the tradition of papal governors interested in compiling
information about their lands. At his instance, a detailed description of the
Romagna was compiled in +,-o+. Grimoards diculties in ruling his subjects
homines . . . passionatissimi are vividly depicted in the advice he prepared for
his successor in the Romagna and the March, Cardinal Pierre dEstaing.
5
No
sooner had the papacy made peace with the Visconti (+,-) than a revolt broke
out from a more unexpected quarter Florence, traditionally a papal ally. It
spread to much of the Papal State, including Perugia and Bologna. By the time
of Gregory XIs death, many towns had come to terms, and the Florentines
were negotiating with the pope.
rri:+ios \i+n rr:cr
Few questioned the legitimacy of the Avignon popes prior to the Schism. The
pope was not obliged to live in Rome. The adage ubi est papa, ibi est Roma
acquired a new relevance in the fourteenth century. It is true that, at the time
of the struggle between the emperor Lewis of Bavaria and the papacy, there
were thorough and radical attacks on the latter (extending far beyond the place
of its residence). However, the views of Marsilius of Padua or William of
Ockham were not typical. This is not to say that the popes were exempt from
criticism. Contemporaries often attacked them virulently for, inter alia, their
failure to reside in Rome. Such critics were above all Italian, for the Italians felt
the economic loss and the loss of prestige occasioned by the absence of the
popes. The most famous and, at least as far as later generations are concerned,
the most inuential critic was Francis Petrarch. He spent long periods in
Avignon and its region and was friendly with Clement VI and with cardinals
The Avignon papacy o-
5
Theiner, Codex Diplomaticus, ii, pp. .-,,, no. .- (the quotations are on pp. ,- and ,,).
Cambridge Histories Online Cambridge University Press, 2008
and curialists; but he evidently hated Avignon. He referred to it as Babylon
and hell.
6
Even today historians, echoing the language of Petrarch and of
Luther, sometimes talk of the Babylonish captivity of the Church in this
period. It is no coincidence that the most convincing corrective to such views
has come from French historians, notably Etienne Baluze in the seventeenth
century and Guillaume Mollat in the twentieth. Indeed, historians have tended
to divide on national, rather than confessional, lines in their attitude to the
Avignon papacy, the French and Italians typically acting as the protagonists for
and against.
A constant question in the historiography has been whether the Avignon
popes were subservient to the French monarchy. In the absence of an up-to-
date general study of the relations between these two powers, it is a dicult
question to answer. It is necessary rst to remember that Avignon was situated
in the empire, not in the kingdom of France. The Avignon popes all came from
southern France, but their connections with the French crown before their
elections diered. Clement V had been in the service of both Philip the Fair
and Edward I of England. As archbishop of Bordeaux, he was the immediate
vassal of the duke of Aquitaine, that is, the king of England. Both kings
received valuable nancial concessions from him as pope. John XXII had been
chancellor of the Angevin kingdom of Sicily. Robert II of Sicily and Philip V
of France supported his election as pope. Benedict XII, Urban V and Gregory
XI had no particular association with the French crown before their elections.
Clement VI and Innocent VI, on the other hand, had both been in the royal
service. Clement VI, who made his name as a theologian in the university of
Paris, was sent by Philip VI on diplomatic missions, and he was a member of
the chambre des enqutes and presided over the chambre des comptes.
The Avignon popes were in general conciliatory in their relations with
secular powers. They favoured these powers, and the kings of France were
undoubtedly favoured the most. Only with the Angevin rulers of Naples were
relations at times as close. It is worth noting that almost all the successful pro-
cesses of canonisation in the period were promoted by these two houses.
Clement V was the most pliant of the popes towards the French monarchy,
partly because of his own weak character and partly because of the vulnerable
position in which the papacy found itself following the struggle between
Boniface VIII and Philip the Fair. In +,++ Clement succeeded in taking full
control of the posthumous process that Philip had ruthlessly instituted against
Boniface on the charge of heresy, and it was then abandoned. In return, Philip
was exculpated for the attack on Boniface at Anagni. The destruction of the
os r. . r. zt+sni
6
E.g. Petrarca, Le Familiari, ii.s: mox enim michi iterum invito babilonicus uncus iniectus est retrac-
tusque sum ad inferos. For other passages see de Sade (+-o-), i, pp. .-.
Cambridge Histories Online Cambridge University Press, 2008
wealthy Templar Order was now a higher priority for Philip, and the pope dis-
solved the order at the Council of Vienne in +,+.. The king of France received
generous nancial assistance from the papacy, much of it in the form of the
proceeds of taxes on ecclesiastical revenues. The taxes were in general
intended for the crusade, but the kings of France used them for their wars
against the kings of England or against Flanders. Clement VI lent the king of
France o.o,ooo orins, and it was hardly to be expected that this sum would be
repaid. The Avignon popes intervened in these wars (the Hundred Years War
and its precursors), attempting to establish peace. They emphasised their
impartiality, but the English suspected them of favouring the French. It is not
dicult to nd examples of this bias. In +,,s Benedict XII excommunicated
the Flemings after they had formed an alliance with Edward III. Edward
thought that he had been so poorly treated by Clement VI that he considered
appealing to a general council. Through their authority to grant marriage dis-
pensations, the popes hindered Edwards alliances and assisted those of the
kings of France. Thus Urban V refused a dispensation for the marriage
between Edwards son Edmund and Margaret, the heiress of the counties of
Flanders, Burgundy, Artois, Nevers and Rethel. This marriage would have
greatly increased English power in France. Margaret instead married Philip the
Bold, duke of Burgundy.
It should not, however, be assumed that the Avignon popes were no more
than creatures of the kings of France. The popes often rejected royal demands,
and there were major disputes between the two powers, especially over eccle-
siastical jurisdiction within the kingdom of France. If the popes in general
inclined to the French crown, this did not only reect their personal prefer-
ences and background; it was also a matter of policy. The fate of the papacy
was now bound up with that of the French monarchy. The popes looked to
the French to support their crusading plans and their Italian policy. The close
relations with France had advantages for the papacy. A substantial part of
papal income came from France, and a disproportionately large number of
provisions concerned beneces in France. Under Benedict XII the gure was
about oo per cent.
crts:rrs :r issios
If it is desirable to distinguish between the attitudes of dierent popes in con-
sidering Franco-papal relations, this applies even more to their attitudes to the
crusade. One may compare the behaviour of Benedict XII with that of his pre-
decessor and his successor. The cautious Benedict cancelled the crusading
project of Philip VI of France. John XXII also had reservations about the
involvement of the kings of France in crusading, but in other respects he was
The Avignon papacy o,
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more enthusiastic. He intervened in the aairs of the Hospitallers, and he sent
money to assist the Armenians in their resistance against the Muslims. Clement
VI gave high priority to crusading. His objectives were in general limited and
realistic. He formed a naval league against the emirates of Anatolia. In +, its
eet of twenty galleys, four of which were provided by the pope, captured
Smyrna, which remained in Christian hands until +o.. Under Urban V
another modest expedition, intended to aid the Byzantine empire and com-
manded by Amedeo, count of Savoy, was successful. It captured Gallipoli and
other towns from the Ottoman Turks in +,oo. The expedition doubtless
encouraged the emperor John Vs submission to the Roman Church in +,o,.
This did not, however, lead to the reunion with the Greek Church so much
desired by the popes. Gregory XI concentrated on making fuller use of the
resources of the Hospitallers for crusading expeditions.
In the Avignon period the crusade continued to be a papal monopoly.
Even if crusades were not invariably papal initiatives, they required papal
approval. Only the pope could grant the indulgences and other special priv-
ileges which distinguished a crusade from other military expeditions. The
popes had an active role in the promotion, organisation and direction of
crusades. Expeditions were sometimes accompanied by a papal legate; for
instance, Pierre Thomas was legate on the crusade of Peter I, king of
Cyprus, which captured (but failed to retain) Alexandria in +,o. None the
less, papal control of the crusading movement was far from complete. The
inability of the popes to prevent secular rulers from directing crusading
taxes to other purposes is notorious. Great interest in the theory and prac-
tice of crusading continued to be shown in the fourteenth century, but the
results of that interest were meagre. Most of those involved in launching
crusades against the Muslims, including the popes, had more immediately
pressing preoccupations. This can be illustrated by the fate of the small eet
assembled on the orders of John XXII for an expedition to be commanded
by Louis of Clermont. The pope lent the ten galleys in +,+, to King Robert
of Sicily to assist in his war against the Ghibellines in the gulf of Genoa,
and no more is heard of them. They may have been destroyed in a storm.
The problem is even better illustrated by Urban Vs assurance to Albornoz
in +,o, that there would be no crusade to the east until Bernab Visconti
had been dealt with.
7
The papacy declared crusades against the Moors in Spain and the pagans of
Lithuania, but crusades were not limited to expeditions against non-Christians.
In the eyes of the popes, heretics and schismatics were equally legitimate
targets. These terms were dened with latitude and included those who resisted
ooo r. . r. zt+sni
7
Housley (+,so), pp. -s, +++.
Cambridge Histories Online Cambridge University Press, 2008
the temporal authority of the papacy in Italy. In +,.. the pope condemned the
Visconti as heretics and proclaimed a crusade against them. There were later
crusades against the Visconti and against mercenary companies. A crusade
against Venice in +,os, brought the republic to terms.
The Avignon popes devoted less energy and fewer resources to the exten-
sion of Christianity by missionaries than to crusades against the indel. None
the less, the missionary work bore some fruit, even if success was conned to
territories not under the control of Muslim rulers. The missionaries were
mainly Franciscan and Dominican friars. An o-shoot of the Dominican
Order, the societas peregrinantium, was formed especially for missionary work.
The establishment of missionary sees in the Mongol empire was a particular
feature of the Avignon period. Clement V created an archbishopric at
Khanbaliq (Beijing Peking) in +,o-, and appointed the Franciscan Giovanni
da Montecorvino to it. Spectacular successes in converting the population
were reported here, but they do not seem to have been durable. In +,+s John
XXII created another missionary province, with six suragan bishops, that of
Sultaniyeh, the capital of the Mongol khans of Persia. The province was
under Dominican control and the societas peregrinantium supplied three of its
archbishops. Three metropolitan sees were created in the territory of the
Golden Horde (consisting of the area surrounding the Black Sea and of the
Caucasus), Vospro (+,,,), Matrega (+,,) and Sarai (+,o.), but none of them
lasted for long. Sarai was carved out of the province of Khanbaliq. In south-
ern India John XXII appointed an experienced Dominican missionary,
Jourdain Cathala de Svrac, as bishop of Quilon. Special circumstances
determined the course of missions in Armenia, since the Church here was, at
least nominally, subject to the papacy. Complete union with the Latin Church
was agreed at the Council of Sis (+,o-), but its precepts were not observed
outside the Cilician kingdom of Armenia (Lesser Armenia). There were con-
certed eorts to achieve a closer union, especially in the use of Latin rites, in
both Lesser and Greater Armenia. These were led by the Armenian bishop
Nerses Balientz. The Dominicans in Greater Armenia, who desired strict
adherence to Latin rites, formed a new order, the fratres unitores, approved by
Innocent VI in +,o.. They became the principal instruments of the expansion
of Latin inuence in Armenia.
The papacy furthered missions in various ways. John XXII, for instance,
in +,.s asked the Dominican chapter meeting at Toulouse to supply at least
fty friars for missionary work. There was also direct nancial support. As
we have seen, the popes created and lled missionary sees. They granted
special privileges and wide powers to missionaries, permitting missionary
archbishops to create new suragan sees, something which normally only the
pope could do.
The Avignon papacy oo+
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+nr r:r:i cotr+ :riis+r:+i\r orc:is:+io :r
c:rri:is
The papal curia at Avignon diered from the thirteenth-century curia through
its stability. It was largely free from the disruption caused in the thirteenth
century by the curias itinerant character. When the pope was absent from
Avignon, much of the administration seems to have remained there. Even
when Urban V and Gregory XI left for Rome, numerous ocials stayed
behind. The stability of the curia enabled the organs of government to
develop; and this development was also necessary, since the central and access-
ible location of the town meant an increase in the amount of business at the
curia.
The largest administrative department was probably the apostolic chancery.
Its head was the vice-chancellor, who was normally a cardinal. It was respon-
sible for producing letters issued in the name of the pope. The majority of
these were common letters, that is, responses to petitions. If someone wished
to obtain a favour from the pope, he had to submit a petition in the chancery,
and the petition was heard by the pope or, in the case of less important busi-
ness, by the vice-chancellor. The chancery was therefore in contact with peti-
tioners from all over Latin Christendom or with their agents. A petitioner
would appoint an agent (or proctor) if he did not wish to travel to the curia
himself. It was also advantageous to do so, in so far as proctors tended to have
a good knowledge of what Petrarch called the inextricabile curie labyrinthum.
8
They were active in various departments of the curia, including the chancery.
Towards the end of his ponticate, John XXII introduced reforms, notably in
the constitution Pater familias, which were probably intended to enable the
chancery to cope better with the increase in business. From now on, there was
greater dierentiation in the treatment of dierent types of letters. The
process of issuing letters of justice, which for the most part only appointed a
judge or judges to hear a particular case, continued to be rather simple. This
does not apply to letters of grace, which contained denite concessions (for
instance, they bestowed ecclesiastical beneces or spiritual favours on their
beneciaries). With these, the controls multiplied. It became normal practice,
for example, for such letters to be copied into the papal registers. Under
Benedict XII, if not earlier, ocial registers of petitions for letters of grace
were instituted. The reforms of John XXII and Benedict XII had the eect of
making the procedure by which common letters were issued more regular.
In addition to papal letters issued in response to petitions, there were those
issued on the initiative of the papal curia. These so-called curial letters concerned
oo. r. . r. zt+sni
8
Petrarca, Le Familiari, i\..
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mainly political, diplomatic and nancial matters and the government of the
Papal State. Although they were engrossed by chancery scribes, it was primarily
the apostolic chamber, which was the nancial department of the curia, not the
chancery, that was responsible for them. Under Benedict XII ocers with special
responsibility for such letters appear, the secretaries. Because their position
brought them into close contact with the pope, they were men of considerable
inuence. It is not surprising that curial letters often had to be prepared with the
greatest speed. An instruction to a scribe from the secretary Nicolaus de Auximo,
which appears on the draft of a letter in the Vatican Archives, states that the fair
copy should be ready the same evening; the scribe was being sent only a portion
of the draft (so that he could start work at once).
9
At the head of the chamber were the chamberlain and the treasurer, assisted
by three or four clerks of the chamber. They all enjoyed great powers. At
Avignon the chamber grew in sophistication. Gasbert de Laval, treasurer and
then chamberlain of John XXII, reformed the accounting procedures, and
there were further changes under Johns successors, notably those attributable
to the successive treasurers of Innocent VI. Except during Benedict XIIs
ponticate, the income of the chamber increased. Already under Clement V,
it was twice that of the chamber of Boniface VIII. The high-point was the
ponticate of Gregory XI, with on average an annual income of over oo,ooo
orins.
In order to raise these large sums, the popes mainly exploited and extended
existing sources of revenue, above all various taxes associated with beneces.
The service tax (servitia) was payable by those appointed by the pope to major
beneces (archbishops, bishops, abbots, etc.). Its main constituent, common
services, amounted to a third of the beneces gross annual income. Under
Clement V we nd some prelates in addition paying secret services to the pope,
and the sums were higher than for common services. There is no rm evidence
that secret services were exacted by Clements successors. Annates, a tax com-
parable to the servitia, were paid by clerics provided to minor beneces (beneces
not liable to servitia). John XXII rst levied annates systematically. They normally
consisted of the rst years assessed income of the benece. By the tax known
as fructus intercalares, the papacy appropriated the revenues of vacant beneces
reserved to papal provision. The tax was extended in +,-- to include major
beneces. As the number of papal reservations and provisions increased, the
number of beneces liable to servitia, annates and fructus intercalares increased too.
Among the other papal revenues were general taxes on clerical income (normally
a tenth of the assessed income), levied for the crusade and other needs.
Charitable subsidies, which in theory were voluntary payments, were also
The Avignon papacy oo,
9
Vatican Archives, Reg. Vat. .I, fos. oo-, no. +,-.
Cambridge Histories Online Cambridge University Press, 2008
exacted from the clergy for special needs. Through the ius spolii, the chamber laid
claim to control of the moveable property of the deceased clergy, typically those
who died at the papal court or intestate, or were in debt to the chamber. A more
erratic source of income was the census due from the kingdoms that were papal
efs (the kingdom of Sicily was the most heavily burdened, with s,ooo ounces
of gold per annum) and from vicars in the Papal State. Naturally, political
circumstances determined whether payment was actually made to the chamber.
The clergy paid many of the taxes locally. For this reason western Christendom
was divided into regions (collectorie), each under a resident collector. The system
was only properly established in the time of Clement VI. The collectors respon-
sibility was to gather the sums due and to transmit them to Avignon.
The examination of the expenditure of the popes provides some insight
into their priorities, although the categories under which expenditure appears
in the accounts of the chamber are not always helpful. One is surprised to nd
nearly .,-oo,ooo orins spent by John XXII on wax and certain extraordinary
matters, until one realises that most of the costs of war were included under
this heading.
10
The construction of the Palais des Papes was expensive. Nearly
+s per cent of Benedict XIIs expenditure served this purpose. The campaigns
in Italy were the greatest burden on the chamber. The costs rose greatly under
John XXII and then under Innocent VI and his successors. The military
expenditure of Albornoz in the rst seven years of his legation (+,,oo)
amounted to over +,oo,ooo orins (although less than half this gure was sent
from Avignon, the remainder being raised in Italy).
If one compares the revenue and expenditure of the papal chamber, one
nds that the rst three Avignon popes seem to have enjoyed an adequate
income: each left a surplus for his successor. The position changed with the
extravagant Clement VI, and the resources of Innocent VI and his successors,
with their more active Italian policy, were increasingly strained. Gregory XI
had for the rst time to borrow substantial sums from Italian bankers, notably
the Alberti Antichi of Florence. Another problem concerning the relation
between income and expenditure deserves mention. The popes income
derived mainly from countries north of the Alps, but the money was largely
spent in Italy. It was therefore necessary to exchange dierent currencies and
to transport large sums. For these purposes, Italian, and mainly Tuscan, com-
panies were used. They included the Acciaiuoli of Florence, the Nicolucci of
Siena and a Piedmontese company, the Malabayla. Papal policy towards the
companies was prudent and skilful. Money was not left on deposit with them,
and the chamber avoided large losses when companies went bankrupt.
Some transactions by-passed the chamber. Thus, the legates in Italy were
oo r. . r. zt+sni
10
Renouard (+,+), p. ,+: pro cera et quibusdam extraordinariis.
Cambridge Histories Online Cambridge University Press, 2008
partly nanced by sums levied on the spot. There was also the popes private
treasury, the camera secreta. There are no accounts of the camera secreta, only occa-
sional references to it. These show that large sums which the pope received as
presents or in other ways went into it. Under Innocent VI and his successors,
transfers between the apostolic chamber and the camera secreta are known to
have taken place.
The chancery and the chamber the principal departments of the papal
bureaucracy each had its own court. The audientia litterarum contradictarum in
the chancery was principally concerned with the issue of letters of justice.
When one party in a case objected to an opponents request for a letter
appointing a judge or judges delegate, the audientia heard the objection. The
auditor of the court of the chamber judged nancial cases. Innocent VI greatly
strengthened the judicial powers of the chamberlain. The latter now heard
appeals from the auditors court, and he was granted summary jurisdiction in
any case involving the rights of the chamber. It is likely that there was an
increase in the amount of litigation at the curia in the Avignon period.
Important cases, some of which had political implications, might be heard by
the pope and cardinals in consistory. Cases were also committed to individual
cardinals to judge or to report on to the pope. The audientia sacri palatii, also
known as the Rota, was a court with its own judges (auditors). Its earliest sur-
viving regulations are to be found in the constitution Ratio iuris of +,,+. The
Rota mainly dealt with cases concerning ecclesiastical beneces. The auditor
hearing a case was required to consult with other auditors before he made his
judgement. The auditors consilia were collected into books called Decisiones
Rote, the earliest known collection dating from +,,o-.
While the petitioners enthusiasm for litigation was met by the various
courts in Avignon, the penitentiary was intended to serve their spiritual needs.
It was able to provide absolution from sins and ecclesiastical censures, to grant
marriage dispensations, and to commute vows and penances. Its powers were
exercised in cases reserved to the pope. Some types of cases were the monop-
oly of the head of the penitentiary, the cardinal penitentiary, but most were
dealt with by the minor penitentiaries. The constitution In agro dominico (+,,s)
dened their powers. At any one time there were between twelve and nineteen
minor penitentiaries at Avignon, but there were also some at St Peters, Rome,
for Rome was still the destination of penitent pilgrims. Although the majority
of curialists were French, this does not apply to the minor penitentiaries, who
needed to be able to understand the petitioners confessions. It was therefore
intended that the principal linguistic areas should be represented in the peni-
tentiary. There were, for instance, always one or two English penitentiaries.
The penitentiary issued its own documents, and a special body of scribes
existed for this purpose.
The Avignon papacy oo
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The papal chapel played a leading part in the liturgy and ceremonies of the
papal court. Benedict XII founded a new chapel, the capella privata, so that there
were now two chapels. The chaplains of the capella privata were closely asso-
ciated with the pope and had purely liturgical functions. The principal ceremo-
nies remained primarily the concern of the old chapel, the capella magna, and its
members (known as capellani commensales). The ceremonies in Avignon resem-
bled those in Rome to only a limited extent. While in Rome in the thirteenth
century these took place in public in dierent parts of the city, in Avignon, after
the completion of the Palais des Papes, almost all ceremonies, even proces-
sions, were conned to the palace. Here only members of the curia and high-
ranking visitors were able to witness them properly.
The richness of the sources, and especially of the records of the papal
chamber, enables one to study the chapel and the other institutions and oces
of the Avignon popes much more closely than is possible in the case of their
predecessors. The names of men detained in the papal prisons or what sums
were paid to the poor by the almonry can be discovered. These records illus-
trate the work of those responsible for the physical well-being of the curia
the chamberlains (cubicularii), doctors, cooks, butlers, grooms and porters, the
towns garrison, the sergeants-at-arms and squires, the marshal of the papal
court (who had jurisdiction over the lay members of the curia) and so forth.
The papal library, which was one of the largest libraries in the west, deserves
special attention. The archives of the chamber contain two catalogues of
books in the papal palace, compiled in +,o, and +,-. The earlier, more com-
plete catalogue contains some .,ooo volumes. As one would expect, biblical,
patristic, theological and legal texts predominated. There were few Greek man-
uscripts, but ++o in Hebrew. Oversight of the library rested with ocials who
were variously designated. Their duties included supervising scribes who were
employed to copy manuscripts for the library. The library also contained books
bought by or given to the pope and among the latter were books dedicated to
him. Many books came to the chamber through the ius spolii, and some of these
found a home in the library.
The presence of a great library was appropriate to a city of the cultural
importance of papal Avignon. The ethos of the court, dominated as it was by
popes, cardinals and curialists who were lawyers, was doubtless conservative.
However, the very nature of the papacy made its court a meeting place for men
from all over the Christian world and a forum for the transmission of knowl-
edge and ideas. Literary interests were not excluded. Petrarch referred, albeit
in a condescending vein, to the enthusiasm for poetry at the curia.
11
Petrarchs
own career, with its long but bitter association with Avignon, reminds us that
ooo r. . r. zt+sni
11
Petrarca, Le Familiari, iii.o-.
Cambridge Histories Online Cambridge University Press, 2008
early humanists were attracted there and that he was only the most famous of
these. Among the others was the papal secretary Francesco Bruni. Just as
Petrarch tried to learn Greek at the curia from Barlaam, Bruni was taught by
Simon Atumano, archbishop of Thebes. The latter translated Plutarchs De
Cohibenda Ira from Greek into Latin at the request of Cardinal Pietro Corsini
(+,-.,).
Avignon was a university town. Boniface VIII formally established its uni-
versity in +,o,. It was almost exclusively a centre of legal studies. Through the
presence of the papal court the university prospered. Students came from a
wide area, attracted no doubt by the prospects of patronage in the curia. The
residence of the popes brought a second university to Avignon, the university
of the Roman curia. It had been founded by Innocent IV, but it has been
argued that it only became a fully edged university (a studium generale) in the
Avignon period.
12
It was one of ve universities directed by the Council of
Vienne to appoint professors of Greek and oriental languages. It was primar-
ily a school of theology with a very restricted number of students, although
canon and civil law was also taught. Its lecturer in theology, invariably a
Dominican, was known from +,, as the magister sacri palatii. In addition to his
university duties, he appears to have given more elementary instruction to the
members of the curia. The pope consulted him on theological questions. Thus,
when Thomas Waleys was incarcerated as a result of his views on the Beatic
Vision and related matters, John XXII required Armand of Belvser to give
his response to Waleyss views to Armands discomfort, since he disagreed
with the pope.
The position of the cardinals mirrored that of the pope. They had their own
courts, palaces, administrative arrangements and familiares. Chamberlains, sec-
retaries, auditors, confessors, almoners and chaplains, among others, were in
their service. Bertrand du Pouget, when he was staying as papal legate in
Bologna, was surrounded by at least fty-two familiares. In the rst pontical
year of Clement VII (+,-s,), the households of the cardinals were larger still.
For the six Limousin cardinals there were between fty-three and seventy-nine
familiares. The vast majority of cardinals were French. Clement Vs promotions
transformed a predominantly Italian college of cardinals into a predominantly
French one. When Philip VI requested John XXII to raise two Frenchmen to
the cardinalate, the pope pointed out that sixteen of the nineteen cardinals
were already French, which seemed sucient.
13
None the less, he then
appointed one of the royal candidates (+,,+). The popes tended to confer the
cardinalate on their fellow-countrymen, so that most cardinals were from the
Midi. Since there were three Limousin popes, many cardinals came from this
The Avignon papacy oo-
12
Creytens (+,.), especially p. ,+.
13
Rinaldi, Annales, a. +,,+, cap. ,,.
Cambridge Histories Online Cambridge University Press, 2008
region. Clement V appointed so many Gascons that on his death they formed
the largest group within the Sacred College; and in the ensuing conclave at
Carpentras they were at loggerheads with the Italian cardinals. On the other
hand, the conclaves at Avignon, at which the popes from Benedict XII to
Gregory XI were elected, were speedy and peaceful.
The cardinals were rich. Some papal revenues, notably the common services,
the census due from the vassal kingdoms and the net income from papal ter-
ritories, were divided equally between the pope and the college of cardinals.
An equal share of the colleges income went to each cardinal resident at the
curia, and so the small number of cardinals enhanced the income of each of
them. It became customary for the pope on his election to make a substantial
present to the cardinals; even Benedict XII gave +oo,ooo orins. The cardinals,
including those who were friars, were provided to lucrative beneces. In his
will Audoin Aubert admitted that in this respect his uncle Innocent VI had
been excessively generous to him.
14
The cardinals received pensions and pre-
sents from rulers and petitioners. It was, for instance, intended that two cardi-
nals should share ,ooo orins for their assistance in obtaining a papal
dispensation for the marriage of Louis, king of the island of Sicily, to
Constance of Aragon in +,. Contemporaries deplored the cardinals luxury
and greed, as did the popes to some extent. John XXIIs constitution Dat vivendi
normam sought to limit the size of their households and the lavishness of their
meals, and Innocent VI in Ad honoremlegislated along similar, if less strict, lines.
On his accession Innocent would accept only ten petitions from each cardinal
on behalf of the latters familiares.
The cardinals who took part in Innocent VIs election made a pact which
each of them undertook to observe if elected pope. This sought to reinforce
and extend the existing rights of the cardinals, but was declared invalid by the
new pope. He had subscribed to the pact as a cardinal, but he was one of those
who had done so with the restrictive clause si et in quantum scriptura hujus-
modi de jure procederet.
15
Despite the failure of their electoral pact, the car-
dinals had important powers. They formed a closely knit group, which
reinforced their claim to be the popes inner counsellors. The pope and cardi-
nals considered weighty questions in the consistory. The most inuential car-
dinals had close links with secular rulers and tended to pursue policies
independent of, or even antagonistic to, the popes. This applies to Napoleone
Orsini, cardinal deacon of St Adrian from +.s- to +,.. The most powerful
cardinals of their day, Elie Talleyrand de Prigord and Guy de Boulogne, by
+,o were supporting rival factions which sought to control the throne of the
Angevin kingdom of Sicily, the houses of Durazzo and Taranto. However, a
oos r. . r. zt+sni
14
Mollat (+,+), p. o,.
15
Ibid., p. +oo.
Cambridge Histories Online Cambridge University Press, 2008
cardinal of the rst rank was never elected pope before the Schism. The
opposition to such a cardinal would have been too great. Less prominent car-
dinals or men from outside the Sacred College were preferred. Some histo-
rians, perhaps inuenced by the role of the cardinals in bringing about the
Schism, see the Avignon period as one when the power of the cardinalate vis-
-vis the papacy increased;
16
but it remains very dicult to generalise about
this. The cardinals nancial position was consolidated, and the expansion of
the administration at Avignon meant that they were given greater responsibil-
ities. However, while it is clear that the cardinals as a group aspired to increase
their political power, the evidence does not suggest that they were successful
in doing so.
The population of Avignon grew enormously as a result of the popes pres-
ence. It was swelled by papal ocials, familiares, servants and soldiers, and by
the households of the cardinals. Then there were the bankers, merchants,
shopkeepers and others who were attracted to Avignon, as well as the tempo-
rary population of petitioners who had business at the curia. It has been esti-
mated that towards the end of the Avignon period the inhabitants numbered
around ,o,ooo, while before the Black Death the gure was probably higher.
17
Avignon became the largest town in France after Paris. Its inhabitants were
predominantly French, but it was a cosmopolitan place and there was a sub-
stantial Italian community.
rro\isios +o rrrricrs :r cotic:+ios
The Avignon popes established a new degree of control over the western
Church. It is symptomatic that the only general council held in this period, at
Vienne, was dominated by the pope. One area of the relations of the Avignon
papacy with the Church which deserves special attention is appointments to
ecclesiastical beneces. Although the popes made such appointments in the
twelfth and thirteenth centuries, at Avignon the role of the papacy here was
transformed.
18
It is necessary to distinguish between major beneces (bishop-
rics and monasteries) and minor beneces. The reservation of major beneces
to papal provision increased. In addition to reservations of particular sees,
there were general reservations of whole classes of sees. Clement V and espe-
cially John XXII made such reservations, for instance, of all sees vacated by
death at the curia or by the translation, promotion or removal of the existing
holder. The climax came in +,o,, when Urban V reserved all sees valued at over
.oo orins per annum and all monasteries valued at over +oo orins. Occasions
The Avignon papacy oo,
16
Cf., e.g., Ullmann (+,-.), pp. o-, +so-.
17
Guillemain (+,o.), especially pp. -..,.
18
See especially Mollat (+,.+).
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for papal intervention became more numerous because it was no longer
customary for a bishop to remain in the same see for his entire career: bishops
were translated by the pope from one see to another. The chapters and above
all secular rulers continued to inuence appointments, but even the kings of
France did not always prevail. Irrespective of who was appointed, it was the
curia which was now the focus of aspirations and intrigue.
While provisions to major beneces were made by the pope in the consis-
tory, provisions to minor beneces resulted from petitions submitted in the
papal chancery. A petitioner might request, and be granted, either a particular
vacant benece or the next benece in a specied category to fall vacant (an
expectancy). The scope for making provisions to minor beneces increased
greatly as a result of general reservations. John XXII, for instance, in his dec-
retal Execrabilis (+,+-) required the resignation of all beneces with cure of
souls held in plurality and reserved such beneces to papal disposition. The
Avignon popes issued provisions to minor beneces in huge numbers, but a
large proportion of provisions, especially of expectancies, never took eect.
Letters of provision merely instituted proceedings which might eventually lead
to the petitioner gaining possession of a benece: the implementation of the
letter was left to an executor or executors, who enjoyed considerable discre-
tion; the provisor often faced competition or opposition; and a defect might
be found in the letter which invalidated it. None the less, if one considers the
proportion of beneces lled by papal provision instead of the proportion of
provisions which were successful, a dierent picture emerges. An examination
of two collegiate churches in Zurich, the Grossmnster and Fraumnster, has
shown that, in cases when it is known how vacant beneces were lled, the
main method was papal provision: in the years +,+o+., there were +,
instances of beneces lled in this way, while only ++, were lled by ordinary
collation.
19
The proliferation of provisions to minor beneces in the fourteenth century
is largely explicable in terms of the wishes of those who petitioned for
beneces. Obtaining a benece through the pope was in general a more imper-
sonal matter than applying to a local patron and must have been attractive to
many for this reason. The papal system particularly favoured graduates. The
rolls of petitions submitted by universities were given priority over most other
petitions, and graduates had other advantages. Some types of graduates, for
instance, were exempted from the examination in litteratura that provisors nor-
mally underwent. The registers of petitions, which reproduce the popes
responses to petitions which were approved, show dierences in the attitude
of the popes. Clement VI was generous to petitioners and rarely introduced
o-o r. . r. zt+sni
19
Meyer (+,so), especially p. +,.
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modications to their requests. Innocent VI and Urban V, on the other hand,
expressed concern about churches already overburdened with provisions, and
Urban was anxious to prevent non-residence and pluralism. His reply to one
petitioner was recede de curia et resideas.
20
One type of provision requires separate mention the expectancy in forma
pauperum, that is, in favour of clerks without a benece. These poor clerks
ocked to the curia following the election of a new pope to petition for a
benece. The largest number (estimated at ,ooo,ooo) came after Clement
VIs election.
21
It is unlikely that more than a small proportion of these expec-
tancies took eect, mainly because of the large numbers that were issued and
the resulting competition among the poor clerks.
The system of provisions permeated the institutions of papal government.
Provisions involved the chancery (which issued letters of provision and other
letters concerning beneces), the chamber (to which taxes on beneces were
payable) and the Rota (where litigation over beneces took place). They are the
key to the centralising tendencies of the Avignon papacy and of the greater
inuence it exercised over the Church. The papacy itself proted greatly from
provisions nancially, through the taxes paid by provisors, and politically,
through control of the main ecclesiastical oces. Provisions were also a means
of rewarding cardinals, curialists and relatives of the pope. It is hardly surpris-
ing that the curia was seen by contemporaries as the centre of a trade in
beneces. There was opposition to provisions from those who felt that their
rights were being infringed by them, above all the ordinary collators and
secular rulers. Together with scal policy, provisions were probably the main
cause of the unpopularity of the Avignon papacy. Within the curia there was
concern about various aspects of the system, as is shown by the various
attempts at reform, notably under Benedict XII. The criticisms voiced by con-
temporaries have sometimes been echoed by more recent historians. There is,
however, a danger of attaching disproportionate importance to untypical pro-
visions, notably to cardinals and foreigners. The system, as it operated in the
majority of cases, included numerous checks. Thus both the moral and educa-
tional standing of most provisors was scrutinised before they could obtain a
benece. Regional dierences were also taken into account; for instance, under
Gregory XI a lower standard in the poor clerks examination in litteratura was
expected from Gascons and Spaniards than from others.
22
Moreover, there
was a real attack on pluralism, especially from John XXII and Urban V.
One nal aspect of the centralisation achieved at Avignon deserves to be
The Avignon papacy o-+
20
Schmidt, in Aux origines (+,,o), p. ,o, (with further examples).
21
Meyer (+,,o), pp. s,.
22
Ottenthal, ed., Regulae Cancellariae Apostolicae, p. ,, nos. a; cf. Tangl, ed., Die ppstlichen
Kanzleiordungen, p. s.
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mentioned communications, and especially the transmission of information,
between the curia and the individuals and institutions with which it was in
contact. Secular rulers and major ecclesiastical bodies might retain a resident
proctor to represent their interests. The practice was so widespread that
Clement VI in +,, complained about the failure of the king of France to
observe it.
23
Proctors also supplied their clients with news from the curia; and
where the proctors reports survive, they are a most valuable source. The nest
series are those of the proctors of the king of Aragon.
24
Louis Sanctus,
proctor of the chapter of Bruges, sent home an account of the eects of the
plague in Avignon in +,s.
25
The popes, for their part, despatched legates and
envoys as the need arose, and their nancial interests were overseen in the
localities by collectors. Papal letters were conveyed to their addressees or
beneciaries in a variety of ways. In general, common letters were handed out
in the curia to the beneciaries or their proctors. A curial letter might be deliv-
ered by someone returning home from Avignon. The popes had their own
messengers, but they were used to transmit only the most urgent and impor-
tant letters. It was found cheaper to entrust letters to the postal services oper-
ated by the Italian commercial companies. The speed with which letters were
transmitted by special couriers is remarkable. The normal time taken by those
travelling between Florence or Bologna and Avignon was eight days; and a
courier of the Malabayla reached Avignon from Paris in four and a half days.
The commercial companies also provided the popes with information.
Clement VI specically asked the Alberti Antichi to supply him with news.
26
It
was essential for the pope to be well informed and he could be ruthless in
obtaining intelligence. Gregory XI in +,- intercepted the correspondence of
Bernab and Galeazzo Visconti and of the count of Savoy with their ambas-
sadors at the curia.
27
cocitsios
This chapter has sought to describe the principal ways in which the establish-
ment of the papacy at Avignon inuenced the character of that institution. The
entry of the papacy into the cultural and political orbit of France is already
apparent under Clement V. It was, however, only with John XXII that many of
the other distinctive features of the Avignon papacy emerged. John enjoyed the
longest ponticate among the Avignon popes, and he was the most autocratic
of them in temper. He introduced reforms which enabled the bureaucracy to
o-. r. . r. zt+sni
23
Dprez, Glnisson and Mollat, Clment VI, iii, p. +s, no. .,+.
24
Finke, ed., Acta Aragonensia.
25
Welkenhuysen (+,s,).
26
Renouard (+,+), pp. ,s,, ,,-s.
27
Segre, I dispacci di Cristoforo da Piacenza, p. o.
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deal more eectively with its expanding responsibilities, and Benedict XII
continued the work of reform. Under John we also nd the papacy playing a
more decisive role in the denition of doctrine. Although Johns views on the
Beatic Vision were decisively rejected after his death, he succeeded in impos-
ing his condemnation of the doctrine of Apostolic Poverty in the face of the
opposition of the Franciscan Order. This meant the end of alliance between
the popes and the Franciscans which had been one of the great strengths of the
thirteenth-century papacy.
The behaviour of the Avignon popes towards the kings of France and other
rulers was in general conciliatory. The main exception was the prolonged
struggle with Lewis of Bavaria, which even led to the election of an anti-pope,
Nicholas V (+,.s,o). More typical was the atmosphere of compromise and
indierence under Emperor Charles IV. The papacy was amply compensated
for the concessions made to secular princes by the greater control that it was
able to exert over the Church in their territories. In this respect, the Avignon
period represents the zenith of papal power. The powers exercised from
Avignon depended on the growth of the machinery of government there.
However, this governmental system did not withstand the eects of the
Schism, when nancial and other pressures undermined the curias administra-
tive practices, and lay princes increased their control over the Church at the
expense of the papacy. It was not possible after the end of the Schism for the
Renaissance popes to re-establish the old system. Too much had changed in
the intervening period.
The Avignon papacy o-,
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cn:r+rr .o
THE GREAT SCHISM
Howard Kaminsky
+,-s :r i+s cosrtrcrs
+nr southern French popes who ruled the universal Church from Avignon
during most of the fourteenth century brought papal monarchy and the papal-
ist ecclesiology that justied it to their highest pitch. What drove them chiey
was the need for enormously higher revenues to nance the endless wars that
they fought to subdue the Papal States in Italy. For at the core of Avignons papal
monarchy was a rampant scalism in which the steady extension of papal rights
of provision to beneces steadily generated new or heightened impositions on
clerical revenues.
1
But the communes and signorie of the Papal States never
learned to accept their French overlords and in +,- they joined Florence in war
against them. The seventh Avignon pope, Gregory XI (+,-os), realising that
papal domination could not be consolidated from afar, gave ear to pious voices
urging a return to Rome and decided to make the move; he left Avignon in +,-o
along with seventeen of his twenty-three cardinals and hundreds of ocials of
the papal curia, mostly French; only six cardinals and a reduced sta were left
behind. The papal party entered Rome on +- January +,--; just over a year later
Gregory was dead.
o-
1
Thus spolia or spoils were the personal property left by a dead prelate; the papal collectors claimed
all of it except for funeral expenses and the prelates patrimonial heritage. Annates were the rst years
assessed net revenue of ordinary beneces granted by papal provision or under papal reservation;
servicia were a third of a years assessed revenue of major beneces granted by the pope in consis-
tory they were often also referred to as annates. Procurations were moneys that bishops or others
were entitled to collect to defray the costs of visitation of subject churches; the Avignon popes
claimed these for themselves. Caritative subsidies were contributions exacted at the popes will in
various amounts, from various clerics or from various regions. Tenths of clerical incomes were
exacted by the popes at will, in principle to nance crusades but in fact to meet all sorts of needs;
the revenues were normally shared, sometimes entirely assigned, to the secular princes in whose ter-
ritories they were collected. In addition there were fees paid for papal graces (like provisions to
beneces) and, in France, there were aids paid by the clergy, under papal authorisation, directly to
the secular rulers. All except the last can be understood as substitutes for the regular direct taxation
of clerical property that the papacy did not enjoy.
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What the papal party had found was a troublesome commune and a popu-
lace that, however glad to have the papacy back, was fearful of losing it, resent-
ful of the French curia, and responsive to Florentine agents inciting them to
outright mutiny.
2
The hostile magistrates and people now repeatedly told the
eleven French cardinals in the city that unless they elected a Roman or at least
an Italian, and did so quickly, their lives would not be safe.
3
Their only allies in
the city, the Roman nobility, were made to leave; the Roman populace was
aorced by contingents of armed men from the countryside; the cardinals
were not allowed to leave the city to make an election in a peaceful place.
Divided among themselves and given no time to compose their
dierences, the cardinals entered their conclave in the Vatican palace on -
April, with the Romans massed outside shouting for A Roman! A Roman!,
A Roman or at least an Italian!, some adding Or else well kill them all! The
palace was full of troops; the conclave rooms were neither quiet nor secure;
Roman ocials came and went. The circumstances did not encourage delib-
eration and the cardinals made their election the next morning, going outside
the college to choose not a Roman but at least an Italian the Neapolitan
Bartolomeo Prignano, a long-time papal ocial, now archbishop of Bari and
acting papal vice-chancellor, well known to them as a competent bureaucrat
who they supposed knew his place my very familiar friend when he was of
lesser estate, as the princely Cardinal Robert of Geneva would observe a
week later.
4
They even repeated the election that evening when things were
calmer. But fresh incursions of the Romans with new cries of Romano!
Romano! terried them into pretending to elect the old, frail, but Roman
Cardinal Pietro Tebaldeschi; they dressed him in papal robes, sat him on the
papal throne and showed him to the people as their new pope, he all the while
protesting that it was not so. This allowed the cardinals to leave the palace
and nd safe refuge, and even though they came back the next day and
conrmed their election of Prignano, the curious incident made the abnor-
mal conclave seem more so.
In the event, Prignano accepted his election and was crowned as Urban
VI on Easter Sunday, +s April +,-s. The cardinals, expecting him to carry
on the Avignon tradition of a de facto condominium with the college and in
The Great Schism o-
2
Trexler (+,o-), pp. s,o,; cf. Brandmller (+,-), p. s.
3
Of the sixteen cardinals in Rome at the time, four were Italian, six were of the southern French or
Limousin group that had dominated the papacy since Clement VI (+,..), ve were French
opposed to this group, and one, Pedro de Luna, was an Aragonese allied to the French. The French
cardinal Jean de La Grange was out of the city.
4
His letter to Emperor Charles IV of + April +,-s, reporting Urbans election, in Brandmller (+,-)
(+,,o), pp. ,,, Vocatus est Urbanus sextus, mihi, dum erat in minoribus, valde domesticus et
amicus, quamvis de gradu inmo nunc sit sublimatus ad supremum.
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due time lead them all back to Avignon, were ready to put their experience
of intimidation behind them and make things normal by behaving normally.
They treated Urban as a true pope, proclaiming his election to the princes
of Europe, attending his consistories, asking for and accepting the usual
papal favours, in what many then and since have taken as the convalidation
of an admittedly irregular election; they themselves would later claim that
they still felt menaced by the Romans.
5
But Urbans abrupt translation to the
sublimity of papal omnipotence now raised from the lowest degree to the
highest (again the words of Cardinal Robert) had made him a dierent
man, a moralist driven by the invidious passions of a servant become master.
He at once began a righteous but abusive attack on the cardinals worldli-
ness, luxury, pluralism, and neglect of their titular Roman Churches. So far
from taking up their Avignon vision he clearly intended to end the Avignon
system: the existing cardinals would be reduced from princely co-governors
of the Church to obedient courtiers; their share of papal revenues would be
reserved for the upkeep of their Roman churches; their style of life, even
their meals, would be brought down to a more humble level; and they them-
selves would soon be outnumbered by new Italian appointments. At the
same time, Urbans actions and discourse betrayed an unbalanced personal-
ity, lacking in self-control, apt to meet personal or political contradiction by
explosions of rage and invocations of absolute papal power. Obviously the
cardinals had made a mistake. Voting under duress otherwise, Coluccio
Salutati would later remark, so many French cardinals would hardly have
voted for an Italian they had also been deprived of their right to take their
time in careful deliberation and study of the candidate.
6
In any case Urban
had to go. When Cardinal Robert of Geneva realised what a prodigy of
repressed resentment had been concealed in his quondam domesticus et amicus,
he did not shrink from telling Urban the truth: Holy Father, you have not
treated the cardinals with the honour due to us and that your predecessors
used to show us, but you are diminishing our honour. I tell you in all earnest
that the cardinals will work to diminish your honour too.
7
The cardinals self-interest marched here with their conception of the
o-o no\:rr k:isk
5
Their claim is usually rejected, but cf. Baumer (+,--a), pp. +, +-+, for acceptance of it by two
modern Catholic scholars, K.A. Fink and A. Franzen.
6
Salutatis letter of .o August +,,- to Margrave Jobst of Moravia, in Martne and Durand, Thesaurus,
ii, p. ++o. The question of forced haste and its consequence is most clearly laid out by Cardinal
Pierre Flandrin in his treatise of +,-s/,, in Bliemetzrieder (+,o,a), pp. ., .-, ,+.. Cf. Prerovsky
(+,oo), pp. o,, s-, +ss; Fink (+,os), p. ,o.
7
In eectu, Pater beatissime, vos non tractastis dominos cardinales cum illo honore, quo debetis, sicut
antecessores vestri faciebant, et diminuitis honorem nostrum. Dico vobis in veritate, quod cardinales
conabuntur etiam diminuere honorem vestrum. See Ullmann (+,s), pp. s; Souchon (+s,s,),
i, pp. .
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Roman Church as the union of the pope as head with the cardinals as body;
a head who destroyed the honour welfare, rights, status of the body was
destroying the Church. And there were canonistic authorities to justify remov-
ing a pope who damaged the status ecclesie, to say nothing of a pope who gave
such clear signs of an abnormally disordered character; such texts were pre-
sumably known to the seven or so doctors of canon law among the French
cardinals. But the cardinals were ardent papalists themselves and shied away
from authorities that pointed so clearly to a limitation of papal omnipotence;
they chose instead the more discreet argument from intimidation, which
allowed them to nullify the election rather than formally depose a reigning
pope, and which rested on proof that only they could supply. So too they
rejected judgement by a general council, by this time generally recognised as
the ordinary remedy for a defect in the papacy only a pope, they said, had the
right to summon such a council, and there was no pope.
And so they acted on their own authority, the French and Limousin
parties putting aside their dierences under the leadership, respectively, of
Cardinal Jean de La Grange and the Camerary Pierre de Cros. Some of them
withdrew to Anagni in the rst part of May; others followed and so did Cros
with the papal archives and treasure (including the tiara), as well as the papal
ocials. There was still no open break but on s May Cros sent a messenger
from Anagni informing the French king Charles V of the true state of aairs.
By .+ June all the French cardinals and Pedro de Luna were there together,
and on .o July they requested their four Italian colleagues still with Urban to
join them because Urbans election had been vitiated by intimidation: Urban
was no pope. Then on . August +,-s they published a statement of their case
and demanded that Urban step down from the oce that he held de facto. On
his refusal they issued a public Declaration (, August) anathematising him
as a usurper of the papacy, and on .o September, in Fondi, they elected the
French cardinal Robert of Geneva pope, as Clement VII: the three Italian
cardinals (Tebaldeschi had died) had joined them but did not vote. Clement
was crowned on ,+ October. When the two popes anathematised each other
and their adherents the Schism in the Church was made; when the political
powers of Europe variously stayed with Urban or switched to Clement the
Schism became a political fact; when Clement, having failed to establish
himself in a secure Italian base, took his cardinals and the oo or so curial
ocials back to Avignon, in May +,-,, he set the political and geographic
parameters of the schismatic years to come. At issue henceforth was not the
privileged status of the Avignon cardinals, now secure, but rst, whether
Clement could end the Schism by way of force (via facti), and then, as he
failed, how much of the papal monarchy could survive its division into two
competing fragments.
The Great Schism o--
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Not at issue were the rights and wrongs of +,-s, which were impenetrable
at the time and have escaped the judgement of history
8
ever since continu-
ing controversy merely proves the point. That the conict moved into schism,
however, was something else here the responsibility lay with Charles V of
France and his brother Louis of Anjou, who fostered the renewal of an
Avignon papacy that would otherwise have aborted. The division of Europe,
at any rate, came down to which rulers would accept the French lead (Charles
formally recognised Clement on +o November +,-s) and which would not.
Queen Joanna of Naples had supported the cardinals all along; other powers
in the French orbit followed: Burgundy, Savoy, Scotland, later on Castile (+,so);
there were Clementists too in both Italy and the empire. Aragon, long uncom-
mitted under King Pedro the Ceremonious, joined the Avignon obedience
after his death in +,s-; Navarre followed in +,,o. The rest of Europe stuck to
Urban: England, most of the empire (Charles IV declared for Urban at the end
of September +,-s), Poland, Scandinavia, Hungary, most of Italy and Sicily.
But there were dissident pockets in both obediences as well as uctuations
Portugal switched four times and from time to time there were lapses into
neutrality. While some princes studied the evidence of +,-s, most did not; the
decisions were political,
9
as was the more fundamental decision of virtually all
to make a choice rather than refrain and work for union.
+nr crr:+ scnis i nis+or
The princes decisions determined those of their subjects we can no doubt
generalise the rst-hand observation of Simon de Cramaud, patriarch of
Alexandria: In the realms of France, Castile, Aragon, and other lands of
Clements obedience, many thought that his election had not been canonical;
but their kings laws and commands compelled them to put their minds in cap-
tivity, in obedience to Christ.
10
A few intellectuals were less exible and their
writings are often cited to show how much concern the Schism evoked, but in
fact the general attitude was rather one of indierence accompanied by a
remarkable tolerance on both sides no persecutions to speak of even though
each half of Europe was supposed to regard the other half as schismatic. What
o-s no\:rr k:isk
8
Valois (+s,o+,o.), i, p. s..
9
Swanson (+,s), pp. ,--s-, at ,s.: If it was anything, the decision of which pope to recognize was
a political decision: Europe divided not as a result of legalistic persuasion, but according to a per-
ception of political realities. Cf. also Fink (+,os), pp. ,o; Favier (+,so), pp. -+o; Bautier (+,so),
pp. ,.; Hauck (+,s), p. os.; Harvey (+,s,), pp. -s.
10
Kaminsky (+,s,), p. .-, for the Latin text (written in +o.) and references to sources; the put their
minds in captivity passage plays on .. Cor. +o:, et in captivitatem redigentes omnem intellectum
in obsequium Christi.
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one sees in any case is the irrelevance of the conict to the religious life of the
laity in general, the refusal of bankers and merchants to let the Schism in the
papacy interfere with banking and commerce, the perception that the legal
issue concerning a disputed succession to a particular oce came down to two
competing individual property rights in the papacy, and the more fundamental
perception by prelates and secular powers that as far as their respective territo-
rial churches were concerned, the papacy had become little more than an
administrative stratum whose tasks could be discharged by each pope in his
own obedience.
11
That is why virtually all clerics, however devout, could so
calmly accept their rulers choice of a pope.
It had indeed been the preceding Avignon papacys triumphant construction
of papal monarchy as governance of the Church in detail that had led to this
matter-of-fact attitude, by reifying the ecclesiastical institution into a system of
beneces apprehended as property rights, acquisition and preservation of
which were the primary objects of clerical interest. And while this interest was
ordinarily secured through the working of papal government, it could also be
secured by territorial princes working with the clergy as the clerical estate of
the polity as was already the case in France and, to varying degrees, in
England and elsewhere. The crisis of the Schism reinforced this line of devel-
opment. Avignons hypertrophy of papal monarchy was increasingly perceived
to be a burdensome superuity, while common sense made it obvious in any
case that obedience to the pope could hardly be necessary to salvation, as Unam
Sanctam had claimed, for then half of Europe would go to Hell merely for not
knowing who the pope was. There were indeed some who imagined how ne
it would be to have even more than two popes perhaps a dozen, in the fantasy
of one Florentine.
12
This is not to say that the legitimating eect of a united Church under a
single pope was not generally appreciated, only that neither a general thirst for
union nor its presumed consequences can be postulated without proof. For
the rest, talk of union appears most often as a sincere but inconsequential
clich of public discourse or as the specic reaction of university professors
to the Schisms disruption of academic universality and its prejudice to the
careers of graduates whose homes lay in the other obedience. It is no accident
that the university of Pariss most notable advocates of a solution, conciliar or
otherwise, in the early years of the Schism were two German professors,
Henry of Langenstein and Konrad of Gelnhausen. But their idea of a general
council to judge between the two sides was precisely what neither side could
The Great Schism o-,
11
Swanson (+,s), pp. ,--, ,so; cf. Kaminsky (+,s,), pp. s++, for Church oces, including the
papacy, apprehended as property; Favier (+,so), pp. -+o; Mollat (+,so), pp. .,,o,; Esch (+,oo),
pp. .--,,s. For the contrary view see Rusconi (+,-,).
12
Herde (+,-,), pp. +,o, +,.; Boockmann (+,-), pp. o.
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ever accept; the conciliar solution could become practical only later, as we shall
see, when its purpose would be not judgement between the papacies but, as in
+o, at the Council of Pisa, the coercive termination of both. Judicial concil-
iarism abided by papalist doctrine; depositionary conciliarism would proceed
from that doctrines loss of credibility.
For the crisis in the papal monarchy was also a crisis of the papalist eccle-
siology that had validated it. The extraordinary extension of papal powers of
collation and taxation by the Avignon popes had been based on the postulate
that Jesus Christ had founded the Church as an authoritative institution in the
Apostle Peter, whose powers were transmitted to his successors the popes; the
bishops, heirs of the other Apostles, received their administrative and juridical
powers by delegation from the pope, who could therefore take over or abridge
their powers as he wished. Hence the popes endless reservations of beneces
to their own provision, overriding the common law of the Church on the basis
of papal plenitude of power,
13
and their arrogation of the nances tied to col-
lationary rights. This development of papal monarchy from an idea into a
governmental system, in collaboration with the secular powers who shared in
its benets, privileged the papalist ecclesiology as quasi-orthodoxy. But when
the papal institution split in two, its papalist ideology could propose only a
solution by via facti, sharing in the disrepute entailed by that vias evident futil-
ity. The more practical ways that eventually succeeded would be justied by
alternative ecclesiologies.
The historical import of the Schism, at any rate, lies in this movement of
ideas and the experiences that were its matrix, rather than in such historically
factitious topics as who was right in +,-s, the agonies of the faithful con-
fronted by the rent in Christs Seamless Garment, or the Catholicity of the
Council of Constances constitutional conciliarism. In a period of general
reaction against centralising policies, a reaction of both lay and clerical
members of the Church against the high-pitched papal monarchy was to be
expected, and it swallowed up the issues of accidence that had triggered it. In
any case the solution of the Schism would turn out to come from exactly this
reaction. The key to a historical understanding of the Schism lies indeed in the
brutal fact that although it began as a contest over the presumably urgent issue
of which pope elected in +,-s was the true Vicar of Christ, it could endure
unresolved for three decades and then be ended when the leaders of Europe
agreed that the original issue did not matter : the competing papacies could then
be terminated without a judgement between them.
oso no\:rr k:isk
13
There were many complaints about the popes new law; see e.g. Speculum Aureum de Titulis
Beneciorum , ed. Brown, ii, p. o,, a condemnation of omnes qui a jure communi per exorbitantes
gratias, benecia ecclesiastica sunt adepti, Papae plenitudinem potestatis pertractando; below n. +-.
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:\ico :r +nr VIA FACTI r:iitrr :r rrsis
Clement VII diered from his Avignon predecessors only in his question-
able title, his sharply reduced obedience and of course his proportionally
smaller income the ,oo,ooo orins a year of papal revenue under Gregory
XI had fallen to an average of +so,ooo from +,-s to +,,s.
14
His dependence
on France for these revenues was all but total if before the Schism the
French collectories had provided per cent of the Apostolic Cameras
revenue, now they provided almost all of it (the northern ones delivering the
lions share), with Aragon contributing +o per cent after +,s-. Most of this
money had to be spent by Clement in nancing Italian military campaigns
aimed at imposing himself on the other side by conquest of his rivals adher-
ents. The via facti was Avignons only hope, the condition indeed of its
support by the Valois princes of France, some of whom hoped to secure
Italian kingdoms under papal auspices and with papal nancing. Clement
would spend a million orins of revenues extracted from the French Church
on eight years of the via facti pursued by Louis of Anjou, who got the income
of four papal collectories in +,-, and all the popes net income for three
years after +,s.. These commitments would bring Avignons nemesis, for
with Clements ordinary revenues so drastically curtailed, he had to intensify
the old impositions, invent new ones, and systematically scalise his colla-
tionary powers by selling beneces and favours. His simony was unprece-
dented and notorious; his scalism was odious to its victims, the clergy of
France, already aware of how heavy a scal burden had been laid especially
upon them by the whole line of Avignon popes. They would soon begin to
think of throwing it o.
The rst avatar of via facti appeared when Clement VII, while still in Naples,
+- April +,-,, granted much of the Papal States as a ef to Louis of Anjou a
Kingdom of Adria that he would have to conquer. Then he supported Louiss
plan to have himself adopted by Queen Joanna as her heir, which she did on .,
June +,so, with Louis to ght on her behalf after Urban VI had deposed her
(Naples was a ef held of the papacy) in favour of her cousin Charles of
Durazzo. Joanna was also defended by her husband Otto of Brunswick who
could not, however, prevent Charles from taking Naples itself in July +,s+ and
putting Joanna to death the next year. Louis invaded the realm in September
+,s. and fought there until his death in +,s; his claim would later be pursued
The Great Schism os+
14
For the data in this paragraph see Favier (+,oo), pp. -, so, os-, (after +o, the papal revenues
would fall even more, to +.,ooo orins); Kaminsky (+,s,), pp. o-. Castile had received lavish
exemptions as the price of her adherence to Avignon in +,s+ and for the rest of the +,sos got control
over local Cameral revenues to pay for her participation in the Angevin campaigns in Italy Favier
(+,oo), p. .,; Kaminsky (+,s,), p. .s; Suarez Fernandez (+,oo), pp. +,-+, .+..
Cambridge Histories Online Cambridge University Press, 2008
on behalf of (and later by) his son, Louis II (d. ++-), throughout the Schism
with important if spasmodic gains.
It was not the only case in point. There was a time in +,,o+ when Charles
VI himself planned to join Clement, Louis II and others in a great expedition
to conquer Italy and install Clement in Rome. The preparations were exten-
sive, Clement was joyous, but it fell through, chiey because the war between
the Valois and the Plantagenets did not allow Charles to turn his back to
England. Then the Kingdom of Adria was revived in +,,, in favour of
Louis of Orlans, Charles VIs younger brother and the son-in-law of
Giangaleazzo Visconti of Milan; but nothing was done because no one would
pay the costs. A more modest via facti pursued by Benedict XIII in +o
petered out, also for want of Valois support. All these initiatives can best be
appreciated in terms of what might have been: a strong French king might
have brought them o, but Charles VI, who succeeded his father as a minor in
+,so, would later enjoy only four years of direct royal power before going
insane in +,,., after which the government of his uncles of Berry and
Burgundy, neither of them interested in Italian acquisitions, would give up the
via facti and, ineluctably, the Avignon adventure itself.
ror rro r:r:i o:rcn +o i+:ii: rricir:ii+
The Roman papacy was faced with dierent imperatives. Deprived by the
French defection of virtually the whole apparatus of papal government, to say
nothing of the French and Spanish Churches, it also lacked Avignons advan-
tage of a relatively secure site convenient for trac with the whole of Europe.
In the turbulence of Italys mutually aggressive cities and principalities, both
Urban VI and his successor Boniface IX had to become Italian princes them-
selves, enjoying only such residues of papal monarchy as their adherents would
allow in England, where successive Statutes of Provisors had barred papal
provisions in principle, it was not much. Neither in any case could emulate the
sophistication of Avignons governance. Instead of the comprehensive
Avignon collectories, with their sub-collectors and dense infrastructure of
clerks and ocials, the Roman papacy could deploy only a skeleton one col-
lector for England, one for Poland, one for Portugal, and so on, with very poor
communication between them and the curia; bankers funded both payments
and collections. Crucial bureaucratic principles were violated: the collectors
had other functions as well, they were often doubled for the same collectory,
their circumscriptions were incessantly redened, they rarely rendered either
accounts or receipts, and a number of scal resources, including tenths, were
assigned for collection to local bishops or farmed to condottieri or money-
lenders. Under such conditions there could be no improvement in professional
os. no\:rr k:isk
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competence and the Roman popes income from their obedience outside Italy
reected a drastic regression from the revenues enjoyed by the papal monar-
chy before the Schism. In Italy they had to rely chiey on seigneurial revenues
from the Papal States (whose net yield was at rst negative), revenues from
churches under direct papal control, and the sums that could be charged for
papal appointments and other graces. Urban himself eschewed such simony
(although he did alienate church properties and rights to raise funds for his mil-
itary enterprises) but others did not; given the lack of an orderly nancial
system, simony became a normal modality of curial economy.
Urban VI was chiey interested in implementing papal overlordship of
Naples he stemmed from one of its noble families. While his ponticate
gured signicantly in political conicts north of the Alps, especially in the
western empire, his role there was limited to oering honours and nancial con-
cessions. Even in Italy he let the Papal States lapse into chaos as he turned to
Naples both for curial personnel to ll the hole left by the French defection and
for the territorial base without which the Italian papacy could not survive. In
October +,-s he appointed a new college of twenty-ve cardinals; all but four
were Italians and about a half-dozen were his relatives; the administration and
curia were also lled with relatives and connections. As for the kingdom of
Naples, he expected his vassal Charles of Durazzo to hold it in his interest and
make part of it an autonomous principality for his nephew Francesco Butillo.
But Charles of Durazzo had no desire to do either and the contradiction would
push Urban into the aggressive fury that had been so disastrous in +,-s, as he
broke with Charles and began a war to end only with his own death, + October
+,s,. Meanwhile he deposed his cardinals who favoured Charles and at the end
of +,s created eighteen new cardinals, of whom six were Neapolitan.
Informed in January +,s that six cardinals were conspiring to declare him unt
to rule and put him under tutelage, he had the rebels arrested, eventually tor-
tured and (except for the English Adam Easton) killed we see him at one point
reading his hours outside the torture chambers so that he could hear his victims
screams.
15
One sees what the French cardinals had perceived in +,-s; this time
however the cardinals who condemned Urban as mentally unbalanced and
incompetent (inutilis) were all of his own creation, all but one Italian.
Perhaps the only enduring result of his ponticate, besides provoking the
Schism, was to deliver the papacy to the Neapolitan nobility, especially after
+,s- when Otto of Brunswicks conquest of Naples on behalf of Louis II
of Anjou was followed by a massive migration of Neapolitan noble families
into the curia. Henceforth, the papacy would be the patria of this closely
interrelated group of families, consolidated there after Urbans death when
The Great Schism os,
15
Erler (+s,o), p. ,.
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the cardinal of Naples, Perrino Tomacelli, was elected pope as Boniface IX
(+,s,+o).
16
His papacy became a Neapolitan possession with the vast
Tomacelli clan at its heart: about fty of them are known to have ocked to
Rome along with the related clans of Brancaccio, Filimarino, Capece,
Carbone to receive high papal oces and valuable beneces. These relatives
in Rome, including his mother, the formidable Gatrimola Filimarino, rou-
tinely sold their inuence, directing a heavy ow of papal favours, privileges
and graces to those who paid them, with all impediments of age and inca-
pacity removed by dispensations a six-year-old nephew could become a
canon, a seven-year-old a prior. Boniface dealt similarly with the cardinalate:
when he died in +o the college of ten included eight from the kingdom of
Naples, ve of them his relatives.
Bonifaces scalism and simony, like Clement VIIs, were initially due to the
exigency of the Schism: enormous military expenses but sharply reduced
papal revenues. His scal expedients were even more exquisite. He began with
the residues of Avignon papal monarchy, including the extensive reservations
of beneces to papal appointment and the consequent collection of servicia
and annates, which he demanded with rigour so, for example, on .
December +,,o he excommunicated thirty bishops and sixty-ve abbots
because their servicia were in arrears. He also sold expectancies to beneces
not yet vacant, often to multiple supplicators for the same one when the time
came the one best poised to win was the one whose provision carried the most
formulas of privileged priority, each of which the chancery sold. Oces of
the papal government were also sold to the highest bidder, while indulgences
remitting the pains of Purgatory to those who made pilgrimages to Rome in
the Jubilee year of +,,o or for that matter elsewhere and afterwards were
simply sold for cash to those who wanted the indulgence but did not want to
make the pilgrimage. On .. December +o. Boniface even scalised a pro-
posed reform by cancelling all indulgences, provisions and priorities still out-
standing with, however, the proviso that their holders might buy them anew;
in any case the same practices were continued afterwards. When we add to all
this the intensive taxation of the Church and Papal States under his control,
with the collection entrusted to condottieri, and when we note that most of the
papal revenue was funded by banking houses that collected the money them-
selves, we can understand why Boniface appeared at least to his more shock-
able northern subjects as corruption incarnate. It was no accident that the
two most savage attacks on papal abuses appeared in +o, and +o the
De Praxi Curie Romane, also known as Squalores Romane Curie, and the Speculum
os no\:rr k:isk
16
The following discussion is taken chiey from Esch (+,o,); for a summary see DBI, ii. For the
Neapolitan occupation of the papacy, see Esch (+,-.).
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Aureum de Titulis BeneW ciorum nor that their authors were not Italians but
northerners respectively, two Germans (Matthew of Cracow, bishop of
Worms, and the Heidelberg protonotary Job Vener) and a Pole (the canonist
Pawel - Wl -odkowic).
17
Nor can the movement of reformist thought among the
Czech masters at the university of Prague in these years, culminating in Jan
Huss attack on simony and his associates inclination to see the pope as an
image of Antichrist, be understood without computing the loss of papal pres-
tige due to the fact of the Schism and the manifestation of the pope as an
Italian prince.
For that is what Boniface IX became, as he focused his papacy on the reduc-
tion of the Papal States to recognition of papal overlordship, of which Urban
VI had left him close to nothing: a decimated chancery, a dispersed archive, an
exhausted treasury, and the Papal States largely remote from direct papal
inuence, with Clementists in power close to Rome, whose own commune
made the city itself insecure for the curia.
18
In Naples Boniface could only
remedy Urban VIs inept policy by supporting Charles of Durazzo and, after
his death, his son Ladislas, crowned king on ., May +,,o; but Louis II of
Anjou arrived soon after and quickly won most of the realm. In the Papal
States Boniface had both to ght against virtually independent vicars and to
cope with the aggressive drive of Milan under Giangaleazzo Visconti, whose
neutrality in the Schism opened the way to French penetration. Boniface could
only struggle city by city, battle by battle, raising money by loans, ad hoc imposts
and other abnormal means, often losing, always threatened by defections to
Avignon. His eventual victory was due to this persistence, as his enemies were
removed by death or otherwise. The death especially of Giangaleazzo (,
September +o.) changed the whole north Italian picture; the papal lordships
that had been lost to him could now be recovered most notably by Cardinal
Baldassare Cossa, who became the papal lord of Bologna and by the time he
died (+ October +o) Boniface was master of the Papal States not, to be
sure, as the ruler of a centralised group of provinces, but as overlord of the
apostolic vicars (there were at least sixty-three of them, including a good
number of the popes brothers and other relatives) who actually exercised
power. His work would allow his successors eventually to reduce the vicariates
and rule more directly. That they could do so from Rome was also due to their
predecessor: With Boniface IX the free Roman commune was ended once and
for all. The popes could now become the Renaissance papacy.
The Great Schism os
17
For a discussion of the texts and authors see Heimpel (+,-); he shows inter alia that the De praxi of
Matthew of Cracow was given a canonistic apparatus by Job Vener, an ocial of the Elector Palatine
Ruprecht, then also king of the Romans.
18
DBI, ii, p. (I cite from an independently paged oprint), for this and the quotation at the end of
the paragraph.
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+nr rrrcn soit+io
If the story of the Great Schism be given only one peripety, it must come on
August +,,. when King Charles VI was rst struck by the intermittent insan-
ity that made him unable to rule and brought his uncles, John, duke of Berry,
and Philip, duke of Burgundy, back to the seats of power from which Charles
VI had removed them in +,ss. They once more began to redirect royal policy
to the benet of their purses and apanages, which they wanted above all to
enjoy in peace peace with England and peace in the Church. Ending the
Schism was essential on both counts. But for France to end the Schism was
to give up the original project of imposing Avignon on Europe and to concede
that the papacy would henceforth be Italian and Roman. Both surrenders were
acceptable but each had its sine qua non. The renewed Avignon papacy could be
given up only if everyone would agree that it had not been schismatic in the
rst place, so that the Clementists would not be branded with the infamy of
schism; this meant that both papacies had to be terminated without a judge-
ment between them, and a single papacy would have to be created anew. That
this would be an Italian papacy seated in Rome could be accepted only if it did
not enjoy the kind of monarchy over the French Church that the Avignon
popes had exercised. The dukes decision to end the Schism meant devising a
policy that would meet these conditions.
19
Already in January +,, the university of Paris had been asked by the crown
to present honourable ways to union and after polling its members and
alumni had concluded that there were three such: a general council (via concilii
generalis), arbitration (via compromissi) and a double abdication (via cessionis). A
public letter of o June resumed these ways but put cession rst chiey
because it avoided scandal and preserved intact the honour of the princes and
realms of each side. For unlike the other two ways, cession supposed that both
papacies would be terminated without judgement and was therefore the only
way the royal government could seriously consider. As the royal dukes would
put it a year later, the king and princes of France would not allow their honour
to be put in the hands of judges, and as Pedro Tenorio, archbishop of Toledo,
would put it in +,,-, Who would want to be judged to have been schismatic
for the past twenty years? This is the key to what would follow; for if the road
to union would after all turn out to be the via concilii generalis of Pisa and
Constance, these councils did not judge the issues of +,-s that vias original
project but were rather extensions of the via cessionis from abdication to dep-
osition, its coercive equivalent. For conciliarism and the via cessionis were based
on the same ecclesiological premise, the idea of the Church as the congregatio
oso no\:rr k:isk
19
For this and what follows see Kaminsky (+,s,), chs. ., s.
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W delium, the whole community of lay and clerical Christians, whose spiritual life
derived from Jesus Christ, not from the pope, and whose supreme interest in
preserving its status demanded an end to the Schism regardless of the papal
contenders respective claims to legitimacy. Whether the congregatio W delium
would be represented for purposes of political action by its secular rulers or
by a general council was merely a question of opportunity.
The second exigency, the reduction of papal monarchy, would be met by
another anti-papalist line of thought, the episcopalism that had come to the
fore at the university of Paris in the thirteenth century in opposition to the
mendicant orders whose papal privileges exempted them from episcopal
authority in the dioceses. Jesus Christ, in this view, had established the episco-
pate directly in the Apostles, not through St Peter, so that the bishops juris-
dictional and governmental powers were theirs as bishops, not by virtue of a
papal grant, and might not be infringed by the pope. In the French territorial
context and in relation to the protective function of the crown, this would
become the Gallicanism destined for much action in the post-medieval cen-
turies; meanwhile, never forgotten at the university of Paris or by the French
prelates who were its alumni, it could emerge as the ideology of an ecclesia gal-
licana whose liberties, drastically eroded by Avignons implementation of
papalism, could only be restored by the crown.
We see this pattern becoming a political fact even in the rst period of
Berrys and Burgundys control of the royal government, after the death of
Louis of Anjou in +,s and before the assumption of direct rule by Charles
VI in +,ss. In ordinances of , and o October +,s the crown made itself the
protector of the liberty and franchise of the Gallican Church against Clement
VIIs scal innovations his excessively frequent subsidies and levies of
tenths, his practice of claiming a years revenue from all vacant beneces (not
just those he himself conferred), his demands for servicia and annates on the
basis of the full assessed value of churches whose real value had mean-
while been much reduced, and his claim to the integral spolia of all prelates.
20
The result, according to Clements envoy sent to negotiate a relaxation, was the
annihilation of the rights of the Apostolic Camera, as clerics invoked the ordi-
nances to excuse themselves from paying what they owed. This would be the
paradigm for the future; the royal power that had been used to enforce
Avignons exaction of nances from the French clergy would now be used to
protect the liberties of the French Church against the papacy.
The dukes move away from the Avignon project was facilitated by
Clements death on +o September +,,; the royal council immediately wrote to
the cardinals not to elect a successor. They accepted the letter only after they
The Great Schism os-
20
Lonard (+,.,), pp. .-.so.
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had elected Cardinal Pedro de Luna on .s September, crowned as Pope
Benedict XIII on ++ October. In deference to Paris, however, each cardinal had
rst sworn an oath that if elected he would do everything to achieve union by
whatever means necessary, including abdication if a majority of the cardinals
deemed it advisable; Benedict repeated the oath after his election. He had
already as cardinal declared himself anxious to end the Schism, by abdication
if necessary, and now, announcing his election to the king, he summoned the
crown to nd appropriate ways and send an embassy to bring them to
Avignon. At the same time, however, he instructed his envoys to Paris to
explain to the dukes that cession without a determination of rights could lead
to something far worse than schism, namely to adore an idol on earth a pope
elected by pseudo-cardinals. Convinced of his own legitimacy and believing as
a matter of course in the high-papalist ecclesiology of his Avignon predeces-
sors, he neither then nor ever could accept a via cessionis in its obligatory Paris
form, predicated on ignoring the issue of justice and forcing the popes to give
up their respective claims in submission to secular policy.
21
The dukes response was worked out with their chief ecclesiastical advisers,
Burgundys chancellor Jean Canart, bishop of Arras, and Berrys client Simon
de Cramaud, once a professor of canon law, for a time Berrys chancellor, and
now both an archiepiscopal prelate (patriarch of Alexandria) and a member of
the royal government. It was to mobilise the French Church behind the gov-
ernments policy by summoning the French upper clergy to a First Paris
Council to counsel the crown and thereby impart ecclesiastical authority to
it. The key role here and henceforth was played by Cramaud, who also worked
with two luminaries of the university of Paris, the theologian Gilles
Deschamps and the canonist Pierre Leroy (the still more distinguished Pierre
dAilly and Jean Gerson preferred not to join the machine); together they
worked out the programme to secure the councils approval of the via cessionis.
The universitys spokesmen were now ready to advocate this via exclusively, as
the only way to resolve the Schism, hence obligatory, with any discussion of
rights precluded as absolutely inexpedient. Simon also indicated the corollary,
that a pope refusing to abdicate would have to be coerced. The council met,
.+s February +,,, under Simons presidency and tight management; he
reported its vote to the crown as favouring obligatory cession, eighty-seven to
twenty, with two abstentions.
The crowns decision in this sense would be brought to the pope by an
embassy headed by all three royal dukes Berry, Burgundy and the kings
brother Louis of Orlans with instructions drafted by Simon that allowed no
room for negotiation with a pope whose hard intractability he had already
oss no\:rr k:isk
21
Girgensohn (+,s,), pp. +,-.-, oers the best appreciation of Benedicts character and ideas.
Cambridge Histories Online Cambridge University Press, 2008
come to know and detest.
22
Benedicts insistence on a via iusticie, calling for a
meeting between the two popes (via convencionis), discussion of legitimacy and
then abdication of the loser, was not even considered by the dukes and the
embassy returned without an agreement. It had, however, bullied the Avignon
cardinals into support of the Paris programme the only recusant was
Benedicts fellow Spaniard, Martin de Zalba and this in eect activated the
conclave oath: Benedict was now, in his refusal to adopt the via cessionis, a per-
juror.
The next three years saw the French government working to draw other pol-
ities into support of the via cessionis: Castile followed the French lead; Richard
II of England was won over in the context of a long-term truce with a French
alliance and marriage to a French princess; Emperor Wenceslas IV, king of
Bohemia, would go along passively; Florence entered a French alliance, .,
September +,,o. While no Urbanist power or indeed Urbanist intellectual
agreed to a coerced cession, the eect of French diplomatic action was to create
a European image that turned public opinion from general acceptance of the
Schism to a sense that it had to be ended, with an eventual realisation that this
meant terminating both papacies without judgement. A major milestone on
this via was the joint embassy of France, England and Castile in +,,-, to ask
both popes to resign; neither would, but the action itself made the new image
more real.
Meanwhile, however, French policy had to deal with Benedicts recalci-
trance. The via cessionis would now be extended to subtraction of obedience,
with obedience understood primarily in its reied sense as the rights and rev-
enues that the pope enjoyed in the French Church.
23
In its original version, to
be known as partial or particular subtraction, it called for action within the
context of the via cessionis to restore the Liberties of the Gallican Church,
which meant concretely cutting back papal scal and appointive rights over the
French Church. The university sought to have this taken up as royal policy at
a Second Paris Council meeting from ., August to + September +,,o, but the
joint embassy being planned made it inappropriate. Meanwhile Benedict was
rallying support in Paris for his juridical solution that would preclude the via
cessionis in what he called its non-juridical Paris form; both dAilly and Gerson
The Great Schism os,
22
Kaminsky (+,s,), p. +o, for testimony by Martin de Alpartil that in +,,+ Simons entry into the car-
dinalate had been frustrated by Pedro de Luna one guesses because Pedro did not want yet another
Valois client in the college. Cf. the report of Benedicts envoys to Pisa in +o,, referring to their frus-
tration by Simon, de quo notum erat a diu et est adhuc quod nomen domini nostri pape Benedicti
nedum nominare, immo eciam audire horrebat (Brandmller (+,-a) (+,,o), pp. os,).
23
The term itself was canonistic: the twelfth-century Decretist Huguccio had written, in his gloss on
Si duo forte (-,. dist., c. -), that a pope causing grave scandal could be deposed by a general council,
et si permittitur depositio, permittitur eius praeambula, scilicet subtractio oboedientiae solitae
(Bliemetzrieder (+,oa), p. +,).
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were among his supporters. Cramaud took up the challenge, rst of all by
composing a questio, De substraccione obediencie, showing that cession was
at any rate canonical, also obligatory, and that a pope rejecting it was rejecting
the only way by which the Schism could be ended; such a pope was therefore
schismatic and, since schism was equivalent to heresy, also heretical, hence ipso
facto no pope at all, entitled to no obedience. On another tack, a pope who scan-
dalised the Church by refusing the only way it could be united was destroying
the status universalis ecclesie and the canons justied resisting or even removing
such a one. This was the doctrine of total subtraction, leading to the same
immediate result as partial subtraction but with the advantage that it nullied
in advance any papal reprisals. On the other hand it had the disadvantage, from
a Gallican point of view, that it restored Gallican liberty only as a side eect,
to vanish automatically with the restoration of a single pope; partial subtrac-
tion on the other hand, from a pope still recognised as such, could establish
Gallican liberty on a foundation that might endure. Simon, who had no inter-
est in Gallicanism or any other ism, would have somehow to bring the
Gallicans, who included his main collaborators Jean Canart, Gilles Deschamps,
and Pierre Leroy, into a subtractionist coalition to promote total subtraction
without precluding partial as well. Meanwhile he sent copies of his treatise all
over Europe.
Its programme would be fullled, after the triple embassy to the two popes
had run its course, at the Third Paris Council from .. May to s August +,,s.
The royal dukes and other princely personages presided, with Cramaud giving
the initial speech on behalf of the crown, and two teams of debaters arguing
for and against the question he put: given the via cessionis as royal policy, not to
be called into question, how should it be implemented? The answer that every-
one knew the government wanted was total subtraction. The subtractionist
coalition appeared with Deschamps and Leroy joining Cramaud as chief
speakers on that side, and in the university of Pariss corporate opinion which
supported total subtraction even while adding partial subtraction to it. The
vote, which was taken by having each prelate or other participant come singly
into the presence of the dukes to read out his written ballot, was an over-
whelming subtractionist victory: in the generally correct ocial count, .-
voted for immediate subtraction of total obedience until Benedict should have
accepted the via cessionis; +s.o voted for subtraction with execution deferred
until Benedict should have been summoned once more to accept cession;
+o+s voted for another summons and then, if refused, a council of the
Avignon obedience; +- votes were singular. The results were presented to the
crown on .- July, and this was the date given to the royal ordinance subtract-
ing Frances obedience from Benedict XIII.
The Third Paris Council was important in other respects too. It was for one
o,o no\:rr k:isk
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thing an unprecedentedly comprehensive confrontation between papalist and
episcopalist ecclesiology, the latter now coming into its own as Gallicanism to
validate the French territorial Church that would be constituted without a
papal head. This required the royal protection of Gallican Liberty that was in
any case implied by the crowns request, at the council, that the clergy vote
nancial aids to the crown taxes that the Avignon popes had been granting
routinely for the past thirty years but that Benedict had refused to renew after
they lapsed on + April +,,s; now, with total subtraction, the crown could ask
directly for a grant by the clerical estate of the realm. At the same time the prel-
ates provided for other functions of papal governance to be supplied either by
their own rights that Avignon had overridden or by the royal government with
clerical advice. All of which meant that the crown would now exercise lordship
over the French Church, protecting the clergys rights, privileges and estate, in
return for aid and counsel. At the Second Paris Council Elie de Lestrange,
bishop of Le Puy and a supporter of Benedict XIII, had objected that the so-
called Gallican Church was not a juridically viable corpus because it had no
head within France distinct from the common head of all Churches, which is
the Roman Church and its pope; it could not, therefore, act as a corporation.
He was now refuted in public law if not canon law by the new Gallican Church
headed by its king, with an establishment of Gallican Liberty that a number of
prelates intended to make permanent.
Another momentous novelty of the Third Paris Council was the emergence
for the rst time of the idea of a depositionary general council as the means
of implementing the via cessionis. It appeared at the point when Simon de
Cramaud, realising the inadequacy of his earlier idea of action by a concert of
kings, added the via concilii generalis to the practica cessionis in his ballot during the
voting:
I think that to have one pope a certain limited number of princes and prelates, empow-
ered by the rest, should be assembled from each realm, to determine a place to meet
with the cardinals of both colleges and with the two contenders, willing or not. Then
the whole church thus assembled by representation can make the contenders resign or
punish them as schismatics, and go on to make an uncontested legitimate pope.
24
Its function at rst limited to the sphere of public relations, the scheme would
ten years later become the programme of the Council of Pisa: the politics of
the via cessionis were in fact the medium through which the conciliar idea had to
pass before it could animate an actual council.
The pursuit of the subtractionist programme in the next few years met with
more setbacks than successes. Although virtually all the Avignon cardinals duly
The Great Schism o,+
24
The French text in Paris, AN, J +s, fol. ,oor; it is printed by Valois (+s,o+,o.), i, p. +o,; Kaminsky
(+,s,), p. .., (q.v. for background); and now by Millet and Poulle (+,ss), pp. o.
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subtracted their obedience from Benedict, the pope was able to hold out in the
papal palace with the help of forces from his native Aragon. Richard II of
England was deposed in +,,, and a similar step was taken by at least the
western electors, against Wenceslas IV of Bohemia and the empire, the other
prime hope of French policy in the Urbanist camp. In +o. the university of
Toulouse produced an anti-subtractionist Letter, taken up by Louis of
Orlans who now secured a restoration of obedience to Benedict, who even
promised, insincerely, to accept the Paris via cessionis. In any case he regained
only a fraction of the rights and revenues that had been subtracted and would
not long hold on to those.
rro r:ris +o ris:
The apparently inconclusive results of the French programme after +,,s
conceal a solid success, for it changed the climate of opinion even in the obdu-
rate Roman papacy. So it was that in +o when Boniface IX died, his cardinals
swore a conclave oath that each if elected would do everything to end the
Schism, including abdication if this should be expedient; the new pope,
Innocent VII, repeated it. The next year Cardinal Baldassare Cossa, dominant
in the college, commissioned the jurist Petrus de Anchorano to write a treatise
on union that accepted the French rejection of any discussion of legitimacy.
When Innocent died in +oo, the consequent election was preceded by a con-
clave oath in precisely this sense: each cardinal swore that if elected he would
abdicate pure, libere, ac simpliciter if the other papal contender would do the same
and if the anticardinals would join the Roman ones to make a new election.
He would also send letters within a month announcing this to the emperor, the
antipope, the king of France, and other powers, appointing envoys to agree
with the other side on the place of meeting for the double abdication; mean-
while he would create no new cardinals. The Urbanist cardinals had obviously
come to realise that the new current of unionist sentiment even in their own
obedience could not be ignored and could indeed be turned to account for
themselves, for a peaceful reunion of the Church would presumably leave
them in possession of what they had, augmented by the revenues and oppor-
tunities that the addition of the other obedience would bring. When the
Venetian Angelo Correr was elected as Gregory XII on ., November +oo by
the overwhelmingly Neapolitan college, it was in order for him to resign.
25
o,. no\:rr k:isk
25
Fuit . . . assumptus ea condicione tantummodo, ut per citam renunciacionem cupitam et populo
necessariam pacem aerret; credatque tua dileccio rmiter ipsum dominos nullatenus aliter assump-
sisse so Cardinal Antonio Caetani in a letter from Pisa to Carlo Malatesta of Rimini (Gregorys
protector after the pope had broken with his cardinals), .o November +os (Girgensohn (+,s), pp.
..,).
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He indeed repeated the oath after his election and sent out the letters, which
reached Paris during a Fourth Paris Council summoned at the urging of the
university in order to validate a new subtraction due to Benedicts failure to
keep the promises on which the restitution had been conditioned. The council
recommended partial subtraction and two royal ordinances of +s February
+o- so decreed, with a third decreeing total subtraction as a last resort. All,
however, were held in abeyance in order to respond to the new initiative.
Meanwhile Gregory had sent his envoys to Benedict, now in Marseille, who
agreed to a double abdication, with, however, the stipulation that a discussion
of rights always his sine qua non would come rst; on .+ April a meeting
between the two was set for October in Savona, at the fringe of the Avignon
obedience. A comprehensive embassy sent by the realm and Church of
France, led by Simon de Cramaud and the Orlans client Pierre Fresnel, to
obtain Benedicts nal acceptance of unconditional cession perforce accepted
the arrangement but still demanded that Benedict commit himself to abdicate
without conditions. On +s May he refused and went on to protest against
Simons previous attacks on him as a schismatic and heretic; Simons response
was not conciliatory. The next day Benedict drew up a bull excommunicating
all subtracters of obedience, no matter how high their estate, as a weapon to
be kept in reserve. The envoys then went to Genoa, where they hired two
galleys to take Gregory to Savona, and in July they went on to Rome.
There they had to deal with Gregorys change of heart: he now made
Venetian diculties about entrusting himself to Genoese galleys and began to
talk of a new meeting place in his own obedience, also of the disadvantages of
simple cession as against a discussion of rights. While his new attitude was no
doubt due to the importunities of his relatives and of Ladislas of Naples (who
feared that the reunion of the papacy under French auspices would favour
Louis II of Anjous claim to his kingdom), it also owed something to Benedict
XIIIs persistent argument that even a continued Schism would be better than
a solution in which the papal claimants were coerced into a non-juridical solu-
tion by the secular powers. Some of the French envoys, including dAilly and
Gerson, now gave up and left; Cramaud and Fresnel, however, stayed on in
order to put pressure on the pope by dealing directly with his cardinals. In the
event Gregory did move but on land: he left Rome on , August, arrived in
Siena on September and stayed there until .. January +os. Benedict, in con-
trast, sailed into Savona on . September, and when Gregory missed his dead-
line proposed an alternative: Gregory would go to Pietrasanta, Benedict to
Portovenere where he arrived on , January and stayed until + June; Gregory,
however, went only to Lucca, thirty-eight miles away, on .s January, where he
would stay until +, July. Benedict was clearly ahead on points, but behind his
readiness to keep his word there lay the same hopes he had cultivated from the
The Great Schism o,,
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rst, and only the capture of Rome by Ladislas on . April +os prevented him
from going there and consummating a via facti.
Meanwhile things had changed in Paris. The university of Paris had
suspended classes to protest over the governments failure to publish the sub-
traction ordinances of +s February +o- after the unsatisfactory talks at
Marseille. With the assassination of Louis of Orlans on ., November +o-
by agents of John the Fearless of Burgundy, Benedict lost his only Valois sym-
pathiser, and on +. January +os the government decreed that if the two popes
had not reunited the Church by Pentecost (. May) France would move to neu-
trality. On March the university was given the subtraction ordinances to
publish if the deadline were not met. Benedicts response was to send a copy
of his unpublished bull of +, May +o- as a warning, which was deliberately
taken in Paris as an actual insult to the royal majesty: the subtraction ordinances
were published on + May, Benedict was charged with lse-majest, and on .
May +os France was proclaimed neutral. Another Paris council of the clergy
was summoned for August to set up the constitution of the Gallican Church
once again subtracted from papal obedience.
Matters in Italy now came to a head. The French envoys, with Cramaud as
the driving force, kept in touch with the two papal courts, moving back and
forth several times, in order to mobilise both sets of cardinals to act even
without their popes. In early May +os Gregory broke o negotiations alto-
gether (he would formally repudiate the via cessionis on +. May), forbidding his
cardinals to confer with the French envoys, whom he ordered out of Lucca.
They went to Pisa, where most of Gregorys cardinals joined them on ++ May,
appealing from Gregory to Christ, a general council, and a future pope.
Benedict sent a group of his own cardinals to Livorno to negotiate with them,
but Cramaud was also there to frustrate Benedicts eort, and on + June
Benedict left Portovenere for safety in Perpignan under Aragonese lordship.
On ., June most of both colleges of cardinals nally joined in Livorno, in the
presence of the French envoys, to declare their intention of reuniting the
Church:
We promise each other . . . by irrevocable oath to pursue the union of the Church . . .
by the way of abdication of both papal contenders, . . . and if they refuse or are con-
tumacious we will take other measures by deliberation of a general council; we will then
provide the Church with a single, true, and indubitable pastor by a canonical election
to be made by both our colleges meeting as one.
26
They subsequently issued letters convoking a general council to Pisa on .
March +o,; nance would be provided by France but also by Cardinal
o, no\:rr k:isk
26
Martne and Durand, Veterum scriptorum, pp. -,sso,.
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Baldassare Cossa, who had banked his prots as lord of Bologna with the
Medici in Florence and who drew .,ooo orins out of his account three days
before the Council of Pisa.
rro ris: +o cos+:cr
The Councils of Pisa and Constance have their own interest but need gure
here only as the double ending of the Schism. The Council of Pisa, meeting
from . March to - August +o,, with the adherence of France, England and
a number of principalities in Italy and the empire, including King Wenceslas
of Bohemia, turned out to be a relatively simple instrument for dealing with
both papal contenders, who were duly summoned but refused to attend: each
celebrated his own council, Benedict at Perpignan (.+ November +os to +.
February +o,), Gregory at Cividale (o June to +- August +o,). At Pisa the
charges against both popes were drawn up, read out and acted upon: at the
session of June +o, Simon de Cramaud read out the councils decree depos-
ing the two an epitome of the doctrine of total subtraction that he had
worked out in +,,o:
The holy synod representing the universal Church, sitting as a tribunal in the present
case against Pedro de Luna and Angelo Correr, formerly known as Benedict XIII and
Gregory XII, decrees that all their crimes are notorious, and that they have been and
are schismatics, fosterers of schism, notorious heretics deviating from the faith,
ensnared in notorious crimes of perjury and violation of their oaths, and notorious
scandalisers of the Church: and that they have been notoriously incorrigible, contuma-
cious and stubborn in these respects. For these and other reasons they have rendered
themselves unworthy of every honour and dignity, even the papal; and the synod
decrees that they are ipso facto deposed (abjectos) and deprived of all right to rule or
preside, by God and the sacred canons. At the same time the synod, by this denitive
sentence, deprives, deposes and cuts o the aforesaid Pedro and Angelo, prohibiting
them from acting as supreme ponti. And the synod decrees that the Roman Church
is vacant.
27
In other respects too the council appears as a French production, with
Cramaud as the most important personage, presiding at key sessions, control-
ling access to Pisa itself and managing much of the proceedings, including the
decision, unpopular with others of the French delegation, to elect the new
pope by a simple fusion of the two colleges, even though the French would be
in a minority.
For the rest, the Council of Pisa deferred the work of reform that some
desired and proceeded on .o June to elect a new pope, Peter Philarges, Greek
by origin but a cardinal of the Roman obedience, backed by Cardinal
The Great Schism o,
27
Ibid., pp. +o,s; Vincke (+,,s), pp. .,.
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Baldassare Cossa; he took the name of Alexander V. When he died soon after,
he was succeeded by Cossa himself as John XXIII (+- May ++o). In as much
as both Benedict XIII and Gregory XII held on to reduced obediences, the
former recognised by Aragon, Castile, Scotland and some principalities in the
south of France, the latter recognised by Emperor Rupert and some German
principalities, Carlo Malatesta of Rimini, Ladislas of Naples and a few other
Italian powers, the Pisan solution was not denitive, although it did accomplish
the primary French purpose of joining France to almost all the polities of
Europe the Pisan papacy had or acquired recognition from England and
France; Italy except for the cases just noted; all of the empire except Emperor
Rupert (who died in ++o), the landgrave of Hesse, the archbishop of Trier
and eight other bishops. John XXIIIs inability to win the rest and continue the
work of reform was due chiey to his precarious Italian situation under con-
stant pressure from Ladislas of Naples, who was also responsible for the mis-
carriage of Johns Council of Rome (++.+,). In the end John had to turn to
the Emperor Sigismund and the two arranged for a new council, to meet not
in Italy but in Constance, in order to continue the Pisan programme, take up
reform and nally dispose of Benedict and Gregory.
As it turned out the Council of Constance, opening in November ++,
would in due course depose John XXIII as well as Benedict XIII, while
Gregory XII avoided a like sentence only by agreeing to abdicate on condition
that he rst summon the council a concession pro forma that has, however,
allowed the Italianised papacy ever since to trace itself back to the Roman line.
A single papacy was nally restored with the election of Martin V on ++
November ++-. It was not, however, the status quo ante. Martins revenues were
only a third of what the papacy had enjoyed before the Schism; his right to
spolia was ended; his rights of provision and the consequent nance were dras-
tically curtailed in the concordats that he had to negotiate with the polities of
Europe before they would recognise him. Nor could the new papacy regain
Hussite Bohemia. The Great Schism indeed marked the end of the medieval
papacy.
28
o,o no\:rr k:isk
28
Holmes (+,-), p. +-; Thomson (+,so), p. xiii; Wood (+,s,), pp. +.o+.
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PART IV
NORTHERN AND EASTERN EUROPE
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cn:r+rr .+
BALTIC EUROPE
S. C. Rowell
ir in April Chaucerian man longed to go on pilgrimage, his fellows, as
described by the poets French contemporary Eustache Deschamps, also
understood that by August fault daler en Pruce . . . / ou en Yelent, la rese
dest.
1
The crusade (reysa) to Lithuania (via Prussia and Livonia), in which the
ctional Knight of the Canterbury Tales took part, was established in the chiv-
alric calendar throughout the Catholic world by +,o. In the late Middle Ages
west European relations with the Baltic region thrived. The Bridgetine Order
leavened religious life throughout northern Europe; the mission to the Baltic
provoked questions of moral theology and recruited crusaders across the con-
tinent. These pilgrim-soldiers left monuments in Knigsberg and at home to
mark their achievement. Lithuanian motifs became fashionable in belles lettres
and to raise a pagan prince from the font was a sign of highest chic. Emperor
Charles IV maintained a convert ane, Butautas-Henry, at court in Prague and
endowed him with the imperial title of Herzog von Litauen as evidence of the
breadth of Caroline jurisdiction. By the +,,os Richard II of England was
nding it useful to conclude commercial agreements not only with
Scandinavians but also with the German Hanse and the Teutonic Order.
Prussian and Lbeck merchants trading in war goods with Scotland and France
were particularly irksome to the English, just as Rigan supplies of matriel and
food to the Lithuanians had disturbed the Knights themselves earlier in the
century.
The Baltic Sea provided a focus for several northern cultures Germanic,
Slavonic and Baltic, Catholic, Orthodox and pagan which met and occasion-
ally mixed on its southern shores. The Baltic stretches from Denmark and her
western colonies to Russia, from Sweden to Constantinople, or in the tenth-
century phrase, from the Varangians to the Greeks. By +oo, Lithuanian rulers
governed an empire which connected the Baltic world once more with the
o,,
1
Le miroir de mariage, lines .+,. composed c. +,s+/,.
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-oo s. c. ro\rii
Map ++ Baltic Europe in the fourteenth century
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Black Sea. The heart of Baltic Europe is formed by the lands of the Grand
Duchy of Lithuania (with the kingdom of Poland) and the Teutonic Order.
The Danish dominium maris baltici which characterised the thirteenth century
slowly gave way to the German-dominated Hanse and the Lithuano-Polish
joint monarchy in the fourteenth and fteenth centuries. To use a
Mediterranean metaphor, the Scandinavian peninsula played Carthage to the
southern Baltic Rome.
The fourteenth century witnessed the interaction of several pan-European
movements in the north: the expansion of mercantile contacts, migration of
artisans and other specialists, the ourishing of mendicant orders, the (re)cen-
tralisation of kingdoms, the rise of aristocratic power at the expense of kings
and the propagation of the chivalric ethic. It is within and largely due to this
welter of continental war, trade and mission that Baltic culture thrived. The
Baltic community presents a microcosm of European culture and civilisation
borrowing heavily from developments to the south and west and contributing
to continental life in its turn: the mysticism of St Bridget, the legal thought of
Paulus Vladimiri, crusades against the Turks, and on a more materialistic plane,
timber, furs and grain for the western market. Here we shall concentrate on the
emergent polities of the Grand Duchy of Lithuania and the Teutonic
Ordensstaat in Prussia and Livonia; their relations with the restored kingdom of
Poland and the Scandinavian monarchies. The Norse monarchies themselves,
their expansion into Estonia and the White Sea and conicts with Novgorod
will command less attention.
sotrcrs
What we know about the Baltic region in the fourteenth century comes from
varied sources: chronicles from the Teutonic Order, Denmark, Sweden,
Poland and northern Russia. Letters and diplomatic texts survive from
Lithuania, Poland, Scandinavia and the Teutonic Order. The endorsements of
manuscripts in the Orders Secret Archive (now in Berlin) illustrate neatly how
the Order maintained a postal service which only the Tatar iam could rival
post horses, letter boys and messengers bore letters which were endorsed as
they passed through major points in the commanderies, day and night. Thus
we see how a letter could be sent from Knigsberg at nine in the morning,
reach Brandenburg by noon, leave Balga at six p.m. and arrive at Elbing by s.oo
the following morning, a journey of around seventy kilometres.
From Novgorod we have the birchbark letters, which although runelike (in
that they rarely tell us more than we already know) indicate levels of literacy and
economic worries of a wide social span. Correspondence also survives from
the court of the pagan Grand Duke Gediminas, illustrating his diplomatic
Baltic Europe -o+
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intrigues, economic policy and not a little of his character something we lack
for Rusian rulers of the same period.
Livonian, Prussian, Polish and Rusian chronicles tell us much about the
expansion of Lithuania. Lithuanian chronicle records begin in the late four-
teenth century with accounts of the political scene after +,.. In the fteenth
century Smolensk became the chief chronicle centre of the Grand Duchy.
West Rusian was used as the main, but not sole, language of local record
although international agreements were concluded also in Latin and Low
German. During the reign of Vytautas (+,,.+,o), the Lithuanian Grand
Dukes established their rst chancery. The Lithuanian Metrica which preserve
ocial documents from the rst half of the fteenth century to +-, are a
major source for the Grand Duchys history. Danish sources are much more
sparse: the Old Sjelland Chronicle relates events up to +,o-; it is continued up
to +,o, by the author of the (probably Franciscan) New Sjelland Chronicle.
Rhymed chronicles become fashionable in Prussia and Livonia (Jeroschins
German translation of Peter of Dusburgs Latin prose chronicle, Wigand of
Marburgs Prussian Chronicle; Livlndische Reimchronik) as well as Sweden (the
chevaleresque Erikskrnikan). The Erikskrnikan (composed c. +,,+.) aims to
describe how lords and princes have lived in Sweden from the time of Eric
Ericsson to Magnus Ericsson. The style follows that of Swedish romances and
German epic. Elsewhere in the Norse world the fourteenth century also marks
a high point in saga writing.
Poetry and belles lettres abound, giving an indication of how north Europeans
regarded themselves and how they were regarded by others. We see the gradual
whittling away of space for the Amazons and dog-headed serfs which classi-
cal authors had located in central Europe and the christianised barbarians
moved from Germany to Scandinavia and nally to the territories of the Balts.
The chivalric literature of the late Middle Ages would not be complete without
references to the crusade in the north-east and even imagined marriages
between the French and Lithuanian nobility (in Jean dOutremeuses Myreur des
histoirs).
Land registers and lawbooks survive from various parts of the region.
Registers from Denmark (Jordebogel rhusbogen (+,+, ), Roskildbispens Jordebog
(+,-os)) and Sweden (Registrum Ecclesie Lincopensis (fourteenth to fteenth cen-
turies)) not only describe incomes from landed property but also give indica-
tions of buildings, landing places, bridges, sheries and the like. The Reval
rentbooks, safe-conduct records and other council documents are of prime
importance for Estonian history. Of laws we learn from Danish codices
(Thords Articles from Jutland, c. +,oo) and Swedish lawbooks (from
Sdermanland, north and south of Stockholm, Vstmanland (west of
Stockholm)) and the Landaslag of Magnus Ericsson. We learn of Prussian law
-o. s. c. ro\rii
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from the Jura Prutenorum (copied c. +,o) which is used by legal scholars to
reconstruct pagan legislation. Rigan law as used in Livonia and the cities of
Lithuania survives in several manuscripts held by the Orders archive in Berlin.
Economic life is revealed by the charters of the ocers of the Teutonic Order,
the treasury book of the Order and its customs register, the debt books of
Riga and Lbeck, the records of the Hanse collected in published form as the
Hanserecesse and the Hansisches Urkundenbuch.
+nr cr:r rtcn or ii+nt:i:
Lithuania lies to the north-east of the Nemunas (Niemen, Neman, Memel) in
the watersheds of the Nevezis and Neris rivers. The land which covers an area
roughly two-thirds the size of England was heavily aorested and remains
richly endowed with rivers and lakes. Crusade bards sing of horses standing
saddle-deep in the quagmire and the branches which slash painfully across the
knights throats as they hacked their way through the dense outback rich in
game wild horses, bears, elk, boar and bison. The human population which,
according to the Bohemian historian Dubrawius, was hardly less ferocious
than the fauna, was largely agricultural, centred on the farms and castles of a
warrior elite, the bajorai (or noble servitors whose title is borrowed from Rus
boiars) and dukes (kunigai, kunigaiksciai) cf. king/knig). By dint of a series
of military conquests in Rus, the Grand Duchy of Lithuania in +,,s had
borders close to the Crimea in the south, and to within +oo miles of Moscow
in the east, making it the largest polity in central and eastern Europe.
The Lithuanians, who are a Baltic, not a Slavonic, people, share the culture
of other Indo-Europeans. Their language, cognate with those of the Latvians
and (now extinct) Prussians, retains forms and vocabulary common to other
Indo-European tongues. Fifteenth- and sixteenth-century humanists, like the
Pole Jan Dl -ugosz (d. +so), the Sienese Pope Pius II (+so) and the
Lithuanian Michalo Lituanus (. +o), had little diculty deducing (errone-
ously) that the Lithuanians are descended from the ancient Romans and speak
a Graeco-Latinate tongue where ugnis (L: ignis: re), vanduo (L: unda: water),
dievas (L: deus: god), vyras (L: vir: man) and other words, like the pagan cult, retain
their ancient form.
2
In its peasant and warrior structure, Lithuanian society
bears comparison with that of the Merovingians or Anglo-Saxons. Their relig-
ion also has much in common with Germanic and Slavonic pagan cults. In the
thirteenth and fourteenth centuries the Lithuanians appear to have venerated
a particular group of divinities Perkunas, the Lithuanian equivalent of
thundering Thorr and Perun, Andai and the smith-god, Teliavel/Kalevelis.
Baltic Europe -o,
2
Hartknoch (+o-,), pp. ,.,.
Cambridge Histories Online Cambridge University Press, 2008
-o s. c. ro\rii
Map +. The Grand Duchy of Lithuania
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Sacred spirits lled the cosmos and communicated via sacred animals: pigs,
toads and green snakes. As bets a rural society, the sacred places of the cult
were rivers, lakes and groves. Sacred groves where the pagans cremated their
dead and worshipped feature frequently in the Teutonic Knights descriptions
of campaign routes. The fteenth-century chronicler, Jean Cabaret dOrville
mentions how the crusaders were willing to respect such holy shrines of pine
and oak. Temples, as in Scandinavia, appear to have been a late and largely irrel-
evant development. Religious celebrations often took place on the farm, min-
istered by both men and women. This utilitarian cult was open to other gods,
including Christ, fearing to oend other divinities by insisting on the jealous
uniqueness of God. When the Lithuanian Grand Duke Mindaugas converted
in +.+ to Catholicism he still retained a reverence for the old gods.
The Grand Duchy of Lithuania rst came to the attention of her neigh-
bours as a serious military and economic organisation, rather than a bolt-hole
for bandits or merely a place to pillage, in the early thirteenth century, as a
group of ve leading clans established themselves as contenders for power in
the land. In +.+,, twenty princes and dukes and one (dowager) duchess con-
cluded a treaty with the rulers of Galich (south-western Rus); in the +.os the
Lithuanian dukes, now encouraged by a more or less acknowledged overlord,
the Grand Duke, began to expand their dominion into the mercantile princi-
palities of western Rus. It is probable that the formation of the Lithuanian
state was heavily inuenced by the economic possibilities and political neces-
sities created by western and eastern expansion in the region in the late twelfth
century itself part of a general European migratory search for a better life in
the east as the Flemish song has it.
3
In the competition for supreme oce,
kinsmen of the Grand Duke turned not only to Rus for land and support but
also to the Teutonic Order in Livonia. As a result of one such manoeuvre
Grand Duke Mindaugas (Mindovg, Mendog) (c. +.,so,) was baptised a
Catholic in +.+ and crowned king, possibly in his new cathedral in Vilnius two
years later by a papal envoy. After King Mindaugass apostasy (+.o+) and
murder (+.o,) civil war ensued. By +.,o the political situation had stabilised
during the twelve-year reign of Traidenis (Trojden) (c. +.-os.) and there
emerged, under the leadership of Pukuveras (Pukuver), the dynasty which
ruled Lithuania and later Poland until its extinction in the direct line in +-.:
the Gediminids, or Jagiellonians. It is the consolidation of the pagan state in
Lithuania and Orthodox western Rus under Gediminid control in the face of
a Catholic mission to convert the heathens by force which marks the single
most important chain of events in the Baltic fourteenth century. Lithuania
turned from being a third-rank periphery to the dominant power in the region.
Baltic Europe -o
3
Naer Osstland willen wif rijden / Deer isser en betere stee.
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Grand Duke Vytenis (Viten) (c. +.,c. +,+), son of Pukuveras (c. +.,o),
established the long-term collaboration with his Rusian and Livonian neigh-
bours which marks the emergence of Lithuania as an international agent. In +.,s
he concluded a treaty with the citizens of Riga whereby a pagan garrison would
defend them, the subjects of the archbishop, from the depredations of the
Teutonic Order. The Rigans had already tried (and failed) to enlist the support
of the king of Denmark in a similar endeavour. This military contract remained
in force until +,+,, protecting and strengthening Lithuanian commercial ties with
the city. A surviving Rigan register of debts illustrates the importance of
Lithuanian trade in the city fromthe +.sos and the services rendered by Rigans
to the pagan Grand Dukes, who used Rigan messengers to communicate with
western Europe and employed a city goldsmith. At the same time Vytenis nally
annexed the west Rusian mercantile city of Polotsk (c. +,o-) by military force,
completing a process which Lithuanian princelings had begun in the +.os.
Lithuanian control of the Dvina trade route was important to the economies not
only of the Grand Duchy but also her neighbours in Livonia and Rus.
Under the guidance of Vyteniss brother and successor, Grand Duke
Gediminas (Gedimin, Giedymin) (c. +,+c. +,.), Lithuania came much closer
to general European life in diplomacy, commerce and matters of religion.
Before +,+- an Orthodox metropolitan (the Byzantine equivalent of an arch-
bishop) was appointed by the emperor of Constantinople, Andronikos II, and
Patriarch John Glykys to govern the Church in Lithuanian Rus. Although the
province of the Lithuanians was frequently left without an incumbent,
Lithuanian Grand Dukes continued to press for a metropolitan of their own,
lest a prelate resident in the principality of Moscow fall under local political
control. From now on ecclesiastical politics formed a major if eventually
impotent weapon in Lithuanian eastwards expansion, competing with the
princes of Moscow for inuence over Rusian duchies.
The Lithuanian empire in Rus was strongest in central-western, that is
Black and White, Rus. Grodno (c. +.o) was an important trading post on the
route from Prussia and Mazovia to Kiev and the Black Sea. Further east lay
Novogrudok, the patrimony of Mindaugass heir and the centre of the
Lithuanian Orthodox metropolitanate. It too ourished on Byzantine trade
and like Volkhovysk and Slonim lay in the personal gift of the Grand Duke.
Polotsk (+.o, nally +,o-) was the major Dvina (Dna, Dauguva) commercial
point and its satellite Vitebsk came into Lithuanian hands when Algirdas
(Olgerd, Olgierd) married the local heiress around +,+s. Smolensk was under
the inuence of Vilnius by the +,os although not subject to the Grand
Duchy of Moscow, the citys princes were fully aware of the Lithuanian grip
on the Dvina trade route with Polotsk, Riga and Novgorodia which was essen-
tial to Smolensks prosperity. In Gediminass day Lithuanian control extended
-oo s. c. ro\rii
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to Podlasie, the westernmost region of Rus which bordered on Poland its
chief city being the Brest which retains the sobriquet Litovsk. In the south,
Lithuanian forces stormed Galich-Volyn in the +,.os and Gediminas agreed
to the establishment of a Mazovian prince there Bolesl -aw-Yury II, who later
married Gediminass daughter Eufemia (Ofka). Liubartas (Liubart)
Gediminaitis
4
took control of Volyn after Bolesl -aw-Yury IIs murder (+,o).
Kiev, mother of Rusian cities, may have fallen to Lithuanian control in +,.,
but it was certainly in the Grand Duchy after +,o., as a result of Algirdass
victory over the Tatars at Sinie Vody. The Lithuanian presence in south-
western Rus led to vigorous conict with the Poles (who seized Galich in
+,o, establishing a Catholic ecclesiastical province centred on Lvov/Lww/
Lemberg) and the Hungarians who had been watching developments on their
own eastern border with interest since the early fourteenth century.
Alongside their practice of war and careful commercial alliance, the four-
teenth-century Grand Dukes pursued a policy of dynastic diplomacy.
Gediminas succeeded in marrying a daughter to each of his chief foreign rivals,
Casimir, heir to the kingdom of Poland (ruled +,,,-o; married to Aldona-
Anna, +,.,,), and Semn Ivanovich, prince of Moscow (+,o,; married to
Aigusta-Anastasia, +,,,). These unions settled peace for a while, but not for
long, as the Beowulf poet could have warned him. The Gediminids understood
this, arranging marriages mainly to bolster the rivals of Lithuanias main com-
petitors, the kingdom of Poland and the Grand Duchy of Moscow. Gediminas
and later his sons Algirdas and Kestutis (Keistut, Kinstut) established a network
of anti-Cracow and anti-Moscow alliances mainly with the ducal houses of
Tver and Mazovia. These unions were successful because they were born
of common need. So eective was this arrangement that the last Piast king of
Poland, Casimir the Great, had two wives of Lithuanian descent and had to seek
papal permission for the marriage of his favoured grandson and likely heir
Kazko to a Lithuanian princess because they were related too closely by blood.
Moscow was encircled by Lithuanias allies in Suzdal and Serpukhov, Novosil
and Karachev, Riazan and Tver (see map +). Semn Ivanovich of Moscow
was Algirdass brother-in-law twice once through his marriage to Algirdass
sister Aigusta and secondly through his third wife, Maria Aleksandrovna of
Tver who was the sister of Uliana, the Lithuanians second wife.
The spread of the Gediminids around the Rusian provinces of the Grand
Duchy is well attested. Lithuanian control of Vitebsk increased markedly after
Algirdas married the local heiress around +,+s and other Gediminids estab-
lished dynasties in Rus: Narimantass sons who acted as princes of Pinsk and
Baltic Europe -o-
4
The suxes -aitis and -aite / -ovich and -ovna signify son/daughter of; here Liubartas son of
Gediminas.
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military commanders of Novgorod eventually defected to Moscow, so Rusian
did they regard their interests; Dmitry Algirdaitis swore not to attack his half-
brother Jogaila-Wl -adysl -aw II (Jagiel -l -o) but remained a vassal of Dmitry
Ivanovich because that Muscovite ruler oered him greater political authority;
Jaunutiss sons settled in the region of Zaslavl. The Olelkovichi descendants
of Vladimir Algirdaitis governed Kiev. By governing far-ung provinces, the
junior Gediminids removed the need for the Grand Duke to share the
Lithuanian heartlands with them. In this way, ties were strengthened between
the Rusian acquisitions and the Grand Duke, who relied on military and silver
tribute from the provinces to maintain the war eort against the Teutonic
Order. The distant kinsmen of the Grand Duke maintained their princely rank
but gradually came to act as his namestniki in Rus, rather than as regional
princes in their own right. Vytautas (Vitovt, Witold) succeeded in taking even
their independence away from them and transformed them into grand-ducal
servitors. By contrast, Gediminid princesses were married to foreign princes
and thus the royal women contributed to the formation of a network of close
alliances in Tver and Mazovia to counter the ambitions of the rulers of
Moscow and Poland. Just as importantly, perhaps, these foreign marriages pro-
tected the ruling house from any native ducal competitors for supreme power
within Lithuania herself. When such a marriage did take place, it was unhappy
to say the least. In +,s+ Kestutis murdered the noble husband of his niece
Maria Algirdaite in order to prevent Vaidilas becoming too dangerous a player
in the Lithuanian civil war (+,so.).
In the wake of almost forty years of war and the famine decade of +,+o.o,
Gediminas sought to revive his economy through the encouragement of spe-
cialist immigration (including clerics to tend the newcomers souls), gain at
least a ceasere in the conict with the Order and ocial recognition of his
borders. To facilitate matters, Gediminas joined his voice to Rigan complaints
against the Order which had been raised during his brother Vyteniss reign,
sending his indictments and hints of a willingness to be baptised to the pope
in Avignon. Styling himself ruler of the Lithuanians and many Rusians, he
despatched letters to north German Franciscans, Dominicans (his advertising
agents) and merchants in +,.,, inviting them to come to settle in Lithuania:
we ask you to announce this to your congregations in the cities, towns and villages
where you preach. If there be any knights or noblemen who are willing to come we will
give them revenues and as much farmland as they wish; we grant free entry and exit
free from all customs and duties and encumbrance to merchants, builders, carpenters,
crossbowmen (balistariis), cobblers and craftsmen of all types with their wives and chil-
dren and livestock.
5
-os s. c. ro\rii
5
Gediminas to the Dominicans of Saxony .o May +,.,: Gedimino Laiskai, p. ,.
Cambridge Histories Online Cambridge University Press, 2008
After securing a peace treaty with the Order (October +,.,), conrmed by
Pope John XXII (in August +,.), Gediminas declared somewhat theatrically
before his courtiers and envoys sent to Vilnius by the papal legates that he had
never wished to be baptised and that the devil can christen me!. The tactic of
oering baptism for peace and then withdrawing the oer as soon as circum-
stances allowed became a feature of the Baltic crusade throughout the four-
teenth century. Gediminass sons, Algirdas and Kestutis (d. +,s.) negotiated in
a similar style with the kings of Hungary and Poland in +,+, with the Order
and Charles IV in +,s. One unsolicited outcome of the approach to Avignon
may have been the increase in west European crusaders coming to defend the
Order against its formidable and astute enemy. The crusades against Lithuania
increased sharply from the +,,os onwards.
Algirdas (+,--) came to power as a result of a palace coup in +,. His
predecessor (and brother) Jaunutis (Evnuty, Jawnuta) (c. +,.) ed to their
sister, Aigusta (or her husband, Grand Duke Semn) in Moscow. There
Jaunutis accepted Orthodoxy but failed to gain substantial support from his
new co-religionists and brother-in-law. He returned to Lithuania to accept an
apanage from his brother, the new Grand Duke. Algirdas rewarded his chief
ally, his younger brother, Kestutis, by granting him territories and authority in
the southern and western Marches of the Grand Duchy. Kestutis served his
lord well establishing a reputation for himself with the Knights and dukes of
Poland as a chivalric warrior. He did not rule jointly with Algirdas but in sub-
ordination to him. Such use of siblings in positions of power is not uncom-
mon in fourteenth-century Europe: John of Gaunt and Charles of Luxemburg
(who governed Moravia for his father, King John, in the +,,os) or Eric and
Valdemar of Sweden (below, p. -+,) come to mind. Fortunately for Algirdas
and Kestutis, their other brothers accepted the situation: Jaunutis was content
to accept land from Algirdass own patrimony in +,-. Manvydas (Montvid)
does not appear in the record after +,. and Narimantas (Narimunt) died in
battle in +,s. Liubartas was content with his lands in south-western Rus.
Karijotas (Koriat) likewise was occupied with disputes in his southern duchies.
The daughters of Gediminas, Algirdas and Kestutis were sent abroad to marry
Polish and Rusian dukes, placing considerable pressure on the rulers of
Cracow and Moscow, who also had Lithuanian spouses at one time.
Under Algirdas the Grand Duchy continued its relentless march to the east.
Algirdas married into the Tverite princely house and assumed pretensions to
the throne of All Rus, attacking Moscow three times without success (+,os,
+,-o, +,-.). He pressed for the (re)appointment of an Orthodox hierarch to
govern the Church in Lithuania (with an eye to spreading further eastwards).
His wifes Tverite kinsman Roman was metropolitan during the period
+,o.. Algirdas maintained the religious and diplomatic balance between
Baltic Europe -o,
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Constantinople and the west which had marked his fathers reign. Like
Gediminas he continued to welcome certain clergy to his lands, maintaining a
special approval for the Franciscans, as supplications to the curia make clear.
Nevertheless, clergy or lay Christians who outed his express command were
dealt with forcefully. Apparently around +,o,-o as he prepared to attack
Moscow at a time of increased Teutonic pressure on his western border,
Algirdas put to death three courtiers who refused to obey grand-ducal com-
mands concerning court life (they refused to eat meat during lent or to cut their
beards) and executed ve Franciscans who had preached publicly against the
Lithuanian cult.
After Algirdass death (+,--) the fragile alliance between Gediminid siblings
was upset by competition between Algirdass heir, Jogaila and the latters uncle
(Kestutis) and cousin (Vytautas). In +,s+ Kestutis overthrew Jogaila in a coup
dtat in Vilnius only to be imprisoned and murdered the following year.
Vytautas ed to Marienburg and became a Catholic (for the rst time) with the
support of the grand master. In +,s Jogaila and his mother considered a
Rusian wedding for the Grand Duke. Jogaila would marry the daughter of the
prince of Moscow. However, in view of the recent razing of Moscow by a
Tatar army (+,s.), a much more useful possibility lay in Poland. In +,s Jogaila,
now reconciled with Vytautas, sent a delegation of his brothers and leading
boyars to Hungary to negotiate the hand of Jadwiga of Anjou, heiress to the
crown of Poland. He promised to pay compensation on behalf of the queen
of Hungary to the Austrian father of his brides jilted anc, to make good all
Polands losses by his own labours and at his own expense; to free Polish pris-
oners of war held captive in Lithuania; to baptise as Catholics all the pagans in
his realmand to join those lands of Lithuania and Rus with the Polish crown
forever, a timespan which is remarkably short in practice. The vague, but
apparently weighty, phrase perpetuo applicare haunts Polono-Lithuanian rela-
tions and fear of revanchism still. In return, Jogaila would marry Jadwiga
and be adopted as son and heir by Jadwigas mother, Elizabeth of Hungary.
In February +,so Jogaila was elected king of Poland in Lublin, baptised
Wl -adysl -aw (to remind everyone of the restorer of the Polish crown,
Wl -adysl -aw L- okietek) in Cracow twelve days later and married to Jadwiga on
+s February. Jogaila was thus thrice king: through election, adoption and mar-
riage. In February +,s- Jogaila took a bishop, his mother-in-laws former con-
fessor, to Vilnius and began the long process of converting his pagan people
to Christianity in the Roman rite.
The union of Lithuania and Poland is the high point of fourteenth-century
international aairs. Theoretically, it put an end to pan-European crusades led
by the Teutonic Order against the Baltic pagans. In fact, the crusades
intensied after +,s-, as the Order claimed that the conversion was a sham and
-+o s. c. ro\rii
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western princes, including Henry Bolingbroke, continued to make their way to
Knigsberg. Throughout the +,,os and as late as ++o western European
knights and princes continued to come on reysa to Lithuania. In +,,, the Order
gained a temporary territorial victory over the Lithuanians when Grand Duke
Vytautas surrendered Z
vitrigaila
and Vytautass son, Z
emaitijan uprising of
+o, marked the Knights greatest, albeit unmaintainable, territorial expansion.
The joint monarchy created at Krevo has been compared with other less
successful fourteenth-century dynastic states, especially the Scandinavian king-
doms which were united ocially in +,,- at Kalmar. The geographical coinci-
dence of the two unions, the southern and eastern Baltic dominated by
Baltic Europe -++
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Lithuania-Poland, the northern and western reaches by Sweden and Denmark,
has caused much supercial comparison. The union of Kalmar was built on
inter-Scandinavian noble foundations which lacked a secure dynastic heart. It
was largely an anti-German trade and political cartel and it collapsed almost as
swiftly as it was formed. The Lithuanian union was far more than a common
alliance against the Teutonic Order. It settled important territorial squabbles
in eastern Europe, provided a common front against the Order, whose
strength was already on the wane by the late +,sos. It was a dynastic solution
to various Polish and Lithuanian diculties and established the strongest
regime, but not the strongest monarchy, in central Europe, whose members
came in time to rule in Bohemia and Hungary as well as in the joint monarchy.
The family connections made by the pagan Gediminids in Polish, Rusian and
imperial territories eased the entry of the newly converted regime into general
European culture.
+nr +rt+oic ORDENSSTAAT rrtssi: :r ii\oi:
Like the Grand Duchy of Lithuania, the monastic state (Ordensstaat) in Prussia
rose to prominence on the back of war and trade, colonisation and mission.
The Teutonic Order, or to cite its full title the Knights of the Order of the
Hospital of the Blessed Virgin Mary of the German House in Jerusalem,
which arrived in the southern Baltic in the +.,os at the invitation of a local
Polish duke, Konrad of Mazovia, was rmly established in the region by +,oo.
In +.,- the Knights subsumed the remnants of the Order of Swordbrothers,
which had been created by the bishop of Riga in +.o. to protect German mer-
chants in Livonia (and defeated by the Lithuanians at Saule in +.,o) and took
over control of large parts of Livonia.
By the +.sos the Knights had secured most of Prussia and (Polish) Pomorze
and in +,o, the grand master transferred his residence from Venice to the for-
tress monastery of Marienburg and the oce of master of Prussia ceded place
to him. Following the arrival of Grand Master Siegfried von Feuchtwangen in
Prussia, Marienburg, which had gained its charter in +.-o, served as both an
ecclesiastical and political capital, a monastery and a palace, a fortress and a
prison on the banks of the Nogat a clear symbol of the Orders majesty and
its intention to stay in Prussia (cf. above, pp. .,o).
The fourteenth century witnessed a massive programme of colonisation in
the north-east. The cycle of inclement weather and famine which aected the
whole of Europe in the second decade of the century did not spare the Baltic
region. It has been suggested that one of Gediminass reasons for improving
contacts with Catholic Christendom in the early +,.os was economic, a
response to a crisis in food production and international trade on which he
-+. s. c. ro\rii
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relied to maintain his nascent empire. A similar predicament faced the Knights
in Prussia and Livonia. The Knights concentrated on the settlement of colo-
nists in the Wildnis on the frontier with Lithuania. Westphalian immigration
into Prussia, especially to the restored Polish towns of Elbing, Chelmno and
Torun is well attested in the rst half of the century. Similar policies were
pursued in Poland and south-western Rus.
In the rst sixty years of the bellum lithuanicum (calculated by the Orders
chronicler, Peter of Dusburg, from +.s,) ve hundred or so grants of land and
legal privileges (Culm and Magdeburg law) were issued to settlers in Prussia by
the Knights. The biographies of the grand masters of the Order, in so far as
we can piece them together, bear witness to area after area being colonised with
new settlers. Master Meinhart von Querfurt (+.ss,,/+,oo) actively promoted
the colonisation of Graudenz, Christburg, Mewe and Preussisch Holland (the
latter, as the name suggests, largely with immigrants from the Low Countries).
Werner von Orseln (+,.,o) concentrated his eorts on the Vistula territo-
ries; his successor, Luder von Braunschweig (+,,+) is noted for his achieve-
ments in Pomezania. Military service or the provision of weapons, often
specied as Prussian or other Baltic designs (the brunie), was required from
many of the colonists who came from German duchies, Poland, Rus, Baltic
peoples and even Lithuania. In some cases the war against the Lithuanians was
stipulated as the reason for these requirements.
It may be helpful to divide this survey of Teutonic settlement into several
areas: the former Polish maritime provinces of Pomorze, central Prussia and
Livonia. The citizenry of Danzig rose up in arms against the pretender to the
Polish throne, Wl -adysl -aw L- okietek in +,os. In response the Polish prince
invited the Teutonic Order to restore calm to the town and this was achieved.
The Order, however, declined to leave Danzig and incorporated the territory
into the Ordensstaat. Between +,.+ (when L- okietek prosecuted the Order in the
curia) and ++o (Grunwald) the Knights issued os settlement privileges (the
majority, .s, in the thirty years period +,+so) for the area of Danzig
Pomorze. Danzig grew ten times between +,oo (population: .,ooo) and ++o
(.o,ooo inhabitants) and became signicantly Germanised .. per cent Low
Germans and Westphalians, . per cent Prussian, +o per cent from Holstein
and maritime Pomorze, .. per cent Silesian, , per cent Slav. By +,o Danzig
had a strong fortress and in +,, the town was endowed with Chelm law. In
+,-s a Gothic council chamber was erected in the Long Market (Dl -ugi Targ).
The Danzig question, opened in +,os, was settled in +,.
After +,+o colonisation eorts were concentrated on the Elbing command-
ery, Pomezania and Ermland. Around +,. attention turned to north-western
Prussia between the Vistula and the Vistula Gulf, and the Drweca and Lyna
rivers; the north-eastern commanderies of Brandenburg, Balga and
Baltic Europe -+,
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Map +, Prussia in the late fourteenth century
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Knigsberg (see map +,). From the mid-fourteenth century a slow down in
Prussian colonisation is noticeable. According to ethnicity, Polish settlers can
be found near Kujawy, Dobrzyn and Mazovia. Eighty-four (of ,o) villages
were settled with Polish law (especially in the north-western parts of Danzig
Pomorze). Poles moved from Chelmno and the Danzig region to Prussia, espe-
cially when colonisation was strong in the diocese of Pomezania. Prussians
meanwhile moved from Pomezania to Allenstein (Olsztyn) and the southern
parts of the commandery of Elbing. Prussian villages are also to be found near
Stargard in the Danzig region and Ermland. In the fourteenth century the old
Polish town of Torun which was refounded on a nearby site by the Knights
with German Law had a population which included Germans (+, per cent),
Silesians (+. per cent), Slavs and Prussians (., per cent) and incomers from
other areas of the Ordensstaat (.s per cent). Twenty new towns were built by
the Knights before +,o and by the time of the Orders defeat at Grunwald
(Tannenberg) (++o) ninety-four cities had been founded or expanded on the
basis of German Law.
At the turn of the thirteenth and fourteenth centuries the Orders colonisa-
tion in Livonia decreased. Between +,oo and +o only forty-two enfeoments
were made. Many Baltic peasants took German names and fade away into the
record. The Order, proting from its nancial resources, also added to its ter-
ritorial holdings by accepting land in mortgage from indigent dukes the so-
called Pfandvertrge or pledge treaties. In this way the Knights consolidated their
hold on borderlands, especially in the south and west. Michal -owo was mort-
gaged by the duke of Kujawy in +,o and sold to the Order outright in +,+-.
Between +,., and +,+ the grand masters bought up the Pomeranian town and
district of Stolp from the local Piast dukes. The dukes of Mazovia likewise
pledged Wisna and even the king of Poland mortgaged Dobrzyn (+,./,
+,o,/) for o,ooo gulden. Perhaps the most spectacular purchase made by the
Order was the +o,ooo marks it gave the king of Denmark, Valdemar Atterdag
in +,o in exchange for the Danish colony of Estonia.
The grand masters of the fourteenth century were appointed from German
princely families, such as Luder von Braunschweig, the higher nobility
(Dietrich von Altenburg, +,,+), the lower nobility (Werner von Orseln) and
urban patriciate such as Karl von Trier (+,++.). The grand master was
obliged by the statutes to consult the brethren in all important matters such as
those involving property and recruitment and to take counsel with his chapter.
The day-to-day government of the monastery that is, of Prussia was over-
seen by a council of ve major ocers who retained their ancient titles, if not
those precise functions: grand commander, marshal (the chief military ocer,
especially responsible for the Knigsberg commandery), master draper (i.e. the
commander of Christburg), senior hospitaller (the commander of Elbing) and
Baltic Europe -+
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treasurer (in Marienburg Castle). The commandery of which there were ten in
Prussia was the chief administrative unit of the Orders realm. Sometimes it
was subdivided into Waldmter or Pegermter which were centred on a fortied
place. The advocates (Vogt) presided over native courts and militias in the out-
lying districts.
In Livonia brethren were often of burgher origin and thus ineligible as com-
manders or masters of a house in Livonia or Prussia but they could be so in
Germany. The greymantles were sergeants who wore grey coats and per-
formed subsidiary duties. Priests lived as brothers of the Order and it was not
unusual for them to be of burgher origin, although Prussian and Livonian
recruits were rarer. In the thirteenth century recruits to the Order came largely
from eastern and central Germany (especially Thuringia). However, in the
fourteenth century the pool of new members was particularly deep in
Rhineland-Westphalia (supplying o per cent of known brethren between +,o,
and ++o). Of all commanders, marshals and masters, o per cent came from
these western provinces of the empire. During this later period it became tra-
ditional to elect a master for a longer period than previously. If a Low German
noble decided to join the Livonian Order he did so now for life rather than as
a step to a career in Prussia. The Livonian Order was dominated by the Low
German petty nobility in contrast with the case in Prussia. German-speak-
ing Livonian nobles tended not to join the Order despite their having come
originally from Low Germany themselves and retained family ties in the
empire.
The Teutonic Order was not the only social organisation in Livonia. The
archbishopric of Riga, an institution which predates the military orders, con-
trolled most of the land in Livonia. In the fourteenth century the Order sought
to incorporate the archbishopric into its territorial holdings. This caused con-
siderable conict, as the clergy and citizenry of Riga strove to maintain their
independence especially when the Knights bought up property belonging to
other religious, such as the Cistercians of Dnamnde, which gave them
eective control of the river access to Riga from the sea. Archbishops tended
to be drawn from across the region (John III (+.,+,oo) was count of
Schwerin; the former archbishop of Lund, Jens Grand, in dispute with the
Danish king, refused to transfer to Riga in +,o) and occasionally from further
aeld in the hope of nding a neutral candidate. The Bohemian nobleman
Frederick von Pernstein (+,oo) resided in his metropolis for barely two out
of his thirty-ve years. From his exile in Avignon he sought to place a
Bohemian bishop in Prussia (Hermann of Ermland) and prosecute the Order
for irregularities. The court cases continued throughout the century in +,,
Innocent VI sent papal commissioners to Riga to govern the province in the
name of the Holy See. In +,- the pope was still nding it necessary to urge
-+o s. c. ro\rii
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Baltic Europe -+-
Map + Livonia in the fourteenth century
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the Knights not to molest the bishop of sel but the curia was far from
Livonia.
Unlike the other people of the southern Baltic the Estonians are neither Slavs
nor Balts but a people closely connected by language and culture to the Finns
and Hungarians. As a result of Danish and German expansion in the region, in
the early thirteenth century Estonian lands were captured by the Sword
Brethren, and by the Treaty of Stensby, Harrien (Harjumaa) and Wirland
(Virumaa) were handed over to the Danish crown in +.,s. The Danes held these
territories until +,o. The south-western parts of Estonia formed the bishopric
of Dorpat; the western lands and islands were controlled by the bishops of sel
and Leal.
The duke of Estonia rarely resided in the province itself. In his place govern-
ment was in the hands of the bishop and lieutenant (capitaneus) of Reval (in
Estonian Tallinn: city of the Danes). The lieutenant was appointed by the king
in council with potiores nostri. The number of royal counsellors varied, from a
dozen in +.s. to fteen in +,, and perhaps seventeen in +,o. The vassals of
the king formed their own corporation: universitas vasallorum. From cases
involving the infrastructure of Reval and mercantile losses it is clear that the
local counsellors and vassals worked in consort with the crown in making or
conrming decisions.
6
Free transit to Novgorod was safeguarded on royal
command by the lieutenant of Reval, the sworn counsellors of the king and
the universitas vasallorum in +,o-. Collaboration between the archbishopric of
Riga, the other Livonian bishops, the Order in Prussia and Livonia and the rep-
resentatives of Estonia and the king of Denmark is a frequent occurrence in
peace negotiations in +,o,, +,+,, +,., and in commercial accords. A particu-
larly apposite example is the Treaty of Vilnius (. October +,.,) which made
peace in the region for four years between the Livonian Order, the Danes of
Estonia, the archbishopric of Riga and the Grand Duchy of Lithuania.
Gediminas sent representatives to Denmark to treat with the king, as the Rigan
debt register illustrates.
Danish rule in Estonia during the interregnum in Denmark appears to have
been so oppressive towards the native population that on St Georges Day +,,
the natives of Harrien rose up against the Danish and German colonists. In
the diocese of Reval peasants cast o the mantle of Christianity and massa-
cred German colonists, burning homes and churches. The Cistercian monas-
tery at Pades was razed and twenty-eight monks put to the sword. It seems that
the rebels contemplated surrendering to the Swedes (sending embassies to the
bishops of bo and Vyborg). On . July the natives of sel rose up and
attacked the bishop and clergy in Hapsal. The grand master is reported by the
-+s s. c. ro\rii
6
Riis (+,--), p. ,.,.
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chronicler Hermann von Wartberge as having despatched o,o troops to settle
the war in Harrien and Reval. The following year the grand master sent another
army, this time to sel. On +- February +, the Order defeated the selians
and hanged their leader Vesse upside-down in quadam machina (a punishment
for those who by treason had sought to turn the world upside-down) as an
example to his fellows. The Lithuanians used the troubles in Estonia as an
excuse to attack the Knights in Livonia (.o February +,). A local Liv leader
attempted to form an anti-Teutonic alliance with the Lithuanian prince but this
failed: Algirdas beheaded the Liv for his presumption of royalty.
s\rrr
Thirteenth-century Sweden saw its last powerful monarch, Magnus Laduslas
(d. +.,o), who attempted to restrict noble privileges and is remembered chiey
for having introduced the criminal oence of lse-majest into Swedish law. His
reign saw the adoption of continental cultural fashions; the dubbing of knights
and the practice of chivalry. However, his attempts at consolidating royal
power met with considerable opposition and he found it necessary to create a
royal council which clearly delineated the extent of royal and noble privilege.
After his death his eldest son, Birger (eleven years old), was elected king and a
regency council of magnates was formed. The election of a minor as king was
a favourite ploy of the magnates who could then dominate a regency council.
In +,o. Birger was crowned but extensive lands were granted to his brothers
Dukes Eric and Valdemar. The marshal of the kingdom, Torgil Knutsson
invaded western Karelia, taking land from Novgorod and building the border
fortress of Vyborg (Viipuri). The dukes and noblemen forced the king to
execute Knutsson and then turned on Birger himself. The king arrested his
brothers and starved them to death in jail. Birger ed to Denmark to be
replaced on the Swedish throne by his nephew, Duke Erics son Magnus, a
three-year-old infant who was already king of Norway. This coup dtat strength-
ened the principle of elective monarchy and united the Scandinavian peninsula
under the rule of one king, albeit an infant. According to the +,+, Freedom
Letter, a royal council (rikis radh) of between sixteen and thirty-ve members,
drawn from the aristocracy, episcopate and representatives of the various dis-
tricts, was supposed to be appointed after the kings coronation. The radh was
to swear allegiance to the king and the kingdom, giving good counsel and
showing no favour to friends or kin. The king in his turn was to love justice,
protect the people, maintain royal castles, respect charters given to the Church,
nobility and knights. He was not to admit foreigners to his council nor grant
them land, castles or crown property.
During King Magnuss minority the eastern border with the Rusian
Baltic Europe -+,
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archiepiscopal republic of Novgorod was established at Noteborg
(Orekhov) (+,.,). Between +,++ and +,.o Swedish and Novgorodian
armies had fought one another ve times, according to the Rusian chron-
icle, mainly in Ladoga and Karelia near the Swedish fortress of Vyborg. In
+,.o Novgorodian pirates attacked northern Norway. The Novgorodians
aided by the Muscovite Grand Duke, Yury Danilovich, attempted to resist
Swedish pretensions. In +,., Yury sent an army to ravage Norwegian
Haalgoland and set about establishing control of the Neva. In +,., he
founded the fortress of Orekhov where the Neva ows into Lake Ladoga.
On +. August the Swedes and Novgorodians concluded a peace treaty
establishing their common border in Finnish territory. Having settled this
dispute temporarily with the Swedes, the Novgorodians made an alliance
with the Livonian Knights against Lithuania and Novgorods former
dependency and Lithuanias frequent satellite, Pskov. The anti-Lithuanian
alliance would be overturned only when a new Grand Duke and new arch-
bishop were willing to make peace with Gediminas in +,.o. On , June +,.o
a similar treaty was made with Magnuss other kingdom, Norway. In +,,, a
Lithuanian princeling, Gediminass son, Narimantas, was christened Gleb
in order to command garrisons in several Novgorodian border forts,
including Orekhov. The interlocking of Teutonic, Scandinavian, Lithuanian
and north-west Rusian interests and competition most perfectly summar-
ises the complexity and occasionally apparently self-contradictory nature of
the Baltic world: territorial expansion for economic needs combined with
religious zeal (and pragmatism).
In +,,. Magnus seized the island of Skne from the Danes, thereby gaining
control of the major herring market. He held Skne for nearly thirty years. To
pay for his military adventures in Scandinavia and his +,s crusade to
Novgorod (below p. -.s), Magnus attempted to raise his revenues through tax-
ation, thereby stirring up discontent throughout Swedish society which was
still recovering from the eects of the Black Death. He contravened the con-
ditions of the +,+, charter by granting royal castles to a foreigner, in this case
to his brother-in-law, Albert of Mecklenburg.
The province of Finland was a pawn in the conict between the nobility and
the Swedish crown. Magnus Ericsson enjoyed personal inuence in the prov-
ince and strengthened Swedish law there. Finland had traditionally been
granted to nobles of the blood royal. In +,, Magnus granted the province to
a non-royal noble, a faithful servant. The nobility rebelled and forced the king
to share power with two of his sons. In +,o. Haakon Magnusson was elected
king of Finland and the province sent representatives to the royal council for
the rst time. The bishop of Turku represented the voice of the clergy.
Haakon was removed in +,o, and replaced by Albert of Mecklenburg.
-.o s. c. ro\rii
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rr:rk
Denmark was the most advanced of the Norse kingdoms, which in the thir-
teenth century had dominated the Baltic sea from Jutland to Estonia. The mon-
archy was weak and unable to counter the ambitions of nobles and prelates.
Archbishop Jens of Lund (+.s,+,o.), whose successor was transferred by
Boniface VIII from Riga, preserved ecclesiastical immunities against the inter-
ference of the crown. The king, Eric VI Menved (+.so+,+,), was allowed to
collect the leidang or tax in lieu of military service in ecclesiastical lands but the
clergy maintained control of their peasants. The secular nobility managed to
strengthen its position against royal authority. Attempts by Eric to take control
of Mecklenburg and Pomerania weakened the crowns nancial resources. Eric
was forced to recognise the autonomy of his kinsman, the duke of Schleswig,
and pawned large domains to the German counts of Holstein. A similar
response to a chronic shortage of income was made by the restored kings of
Poland who pawned northern territories to the Teutonic Order. Among the
noblemen arrayed against the king was his brother Christopher who was elected
king in +,.o after Eric died. In order to receive the crown, Christopher (II) was
compelled by the communitas regni to swear a capitulation according to whose
several clauses the king acknowledged his subordination to an annual parlia-
ment of nobles, ecclesiastical and secular. He was unable to make laws, conduct
wars or levy taxes without consent. Meanwhile the nobles were granted rights
to ne their own peasants. In Jutland three royal castles remained and all new
castles were destroyed immediately. As elsewhere in the Baltic region the royal
council sought to forbid the election of German members. In +,. Christopher
married his daughter, Margaret, to Emperor Lewis IVs son, Lewis, against the
wishes of John XXII. The kings inability to pay his daughters father-in-law the
required +o,ooo marks dowry led his son Valdemar to pay o the debt by
handing over Estonia to the Teutonic Order in +,o in return for the necessary
cash. When Christopher attempted to levy a tax, he caused a civil war as a result
of which he was compelled to ee from Denmark, leaving the throne vacant
for the election of Valdemar of Schleswig (+,.o,o) under the regency of the
German Gerhard of Holstein. Christopher II returned in +,,o but without
further success in the competition with the aristocracy. Eight years of govern-
ment by Gerhard resulted in his murder in +,o. When Christophers son
Valdemar returned to Denmark as king in +,o, he found the royal demesne in
pawn and the treasury empty. Valdemar IV Atterdag enjoyed the support of the
Church and established himself in Copenhagen, which had previously
belonged to the bishops of Sjelland. He married the sister of the duke of
Schleswig, Valdemar, who had ruled Denmark in the late +,.os. He ceded Skne
to Magnus of Sweden (who had already taken the region by force) and sold o
Baltic Europe -.+
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his Estonian lands to the Teutonic Order, using the +o,ooo marks to purchase
Sjelland and Funen from the counts of Holstein three years later. The king suc-
ceeded in imposing taxation and gaining the support of his subjects. The par-
liament of +,oo was not hostile to his interests. He thus embarked on a policy
of expansion, recovering Skne from the Swedes and gaining control of the
mercantile island of Gotland.
The weakness of the Danish crown is reected in the decline in minting in
Denmark. We know that Atterdag levied a tax of o gros (tournois) per head of
cattle in Sjelland in +, in order to mint coins, but it is doubtful whether the
whole of this revenue was used for its stated purpose. Foreign specie was
widely used in Denmark, especially the English sterling, French gros tournois
and the Lbeck mark. Bar silver also played an important role in exchange in
Denmark as it did elsewhere in the region, including the Grand Duchy of
Lithuania and Rus (known for their grivny).
tio or k:i:r +,,-
Valdemar IV died in +,- to be succeeded by his grandson Olaf, son of
Margaret (the Danish princess) and Haakon VI of Norway, who had lost the
Swedish throne to Albert in +,o,. During Alberts reign the Swedish nobility
had strengthened their political power. The Swedish magnate Bo Jonsson (the
Grin) is a typical example of one who had gained control of several royal
castles. When he died in +,s- he bequeathed his holdings to Margaret. Olaf
succeeded to the Norwegian crown in +,so and pretensions to the throne of
Sweden were also made. Discontented with Alberts rule, the Swedes, includ-
ing the executors of Jonssons wife, now courted Margarets favour. Following
her sons untimely death in +,s- Margaret, now regent of Denmark and
Norway, was recognised as fuldmaetige frue og rette husbond, the almighty lady and
rightful lord, of Sweden. The kings mother was invited to lead a revolt of
Swedish aristocrats against their German king in +,s-. In +,s, her army
defeated the forces of Albert of Mecklenburg. In +,s, Margarets nephew,
Eric, was elected king of Norway and seven years later he was recognised at
Kalmar as having been crowned king of all three Scandinavian kingdoms. On
+- June nobles and prelates from all three realms, including the archbishops of
Lund and Uppsala, witnessed his coronation. It was agreed a few days later that
Erics heir should succeed him and if no heir should be born, then all three
kingdoms would elect a common monarch. Each kingdom would defend its
fellows and the king should control foreign policy with the advice of council-
lors from the kingdom where he was resident at the time of any negotiations.
Erics seal, like that of Jogaila-Wl -adysl -aw II of Lithuania-Poland, reects the
joint monarchy, displaying the crowns of Sweden and the leopards of
-.. s. c. ro\rii
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Denmark, the Norwegian lion and the grin of Pomerania, the lion of Birger
Jarl. However, unlike the Jagiellonian federation, the Union established at
Kalmar did not survive the fteenth century.
soci:i s+rtc+trr
Lithuania can be best summarised as a barbarian kingdom focused in the four-
teenth century on the members of one dynasty. The expansion of Lithuania
into Rus provided lands for the superuous members of the ruling house, thus
relieving pressure on the Gediminid Grand Duke to partition the original
Lithuanian patrimony. In Rus the Lithuanian dukes were content to maintain
the structures they found there (if they worked). Local boyars and especially the
bishops served as respected counsellors to the local ruler. The bishops of
Polotsk were so faithful to the Grand Dukes that Vytautas (illegally) granted the
ordinary there archiepiscopal status before +oo. The north-western territories
of Lithuania proper, Z
ech.
15
In February +,.-, ve
principalities were carved out of Oppeln (present-day Opole): Falkenberg,
Teschen, Ratibor, Kosel-Beuthen and Auschwitz-Zator (now Niemodlin,
Cieszyn, Racibrz, Kozle-Bytom and Oswiecim-Zator); in April the duchies of
Oppeln and Breslau (Wrocl -aw) paid homage to John of Luxemburg. In
AprilMay +,.,, it was the turn of Steingau, ls, Sagan, Liegnitz-Brieg and
Jauer (Scinawa Nyska, Olesnica, Z
emaitija was generally independent until the early +oos); the so-called Black
(Chernaia) Rus, south of Kaunas and Vilnius, an area of mixed Baltic and East
Slavic settlement with centres at Novogrudok, Grodno and Slonim. In the rst
third of the fourteenth century contiguous lands were added: the Brest-
Drogichin area south-west of Black Rus; the Turov-Pinsk principality, south-
east of Black Rus; the Minsk principality, north-east of Black Rus, and
assorted small principalities. Outside this core acquired territories on vulner-
able borders received charters of autonomy guaranteeing that the Grand
Dukes will not introduce new, nor destroy the old.
12
Polotsk (+,o-) and
Vitebsk (+,+s.o) were the earliest to be so incorporated. The dynasty estab-
The principalities of Rusin the fourteenth century -o,
10
Rowell (+,,) and Ochmanski (+,o-) for Lithuanias early history.
11
Rowell (+,,), pp. ,-,, .,+; Kollmann (+,,o).
12
Quoted from a fteenth-century charter: Akty, otn. k istori Zapadnoi Rossii, i, no. +.-, p. ++.
Cambridge Histories Online Cambridge University Press, 2008
lished a tradition of shared rule whereby a senior prince, who ruled from
Vilnius, shared duties and authority with an almost equally important kinsman,
one of whom defended the west against the Teutonic Order and the other
expanded east and south into the Rus lands. Gediminass sons Algirdas (ruled
+,--; the senior prince, who covered the eastern lands) and Kestutis (ruled
+,.s.; western border) in the +,os-os represent an excellent example, as
does the more stormy relationship of Jogaila (ruled +,--+,; senior prince)
and his cousin Vytautas (ruled +,s.+,o) from the +,sos on.
In the +,.os Gediminid expansion turned to the Galician-Volhynian princi-
pality, perhaps the most direct heir to the Kiev Rus legacy. Galicia stretched
from the Carpathians to Volhynia, encompassing the headwaters of the
Dniester and Prut rivers and eastwest trade routes through Halyc and
Peremysl. Volhynia stretched from Galicia to the Kiev principality; its major
city, Volodymyr, sat near the western Bug river, a tributary of the Vistula
leading to the Baltic, and also on an eastwest trade route linking Kiev to Polish
centres at Lublin, Cracow and points west.
Part of the grand principality of Kiev Rus from the late tenth century,
Galicia and Volhynia by the mid-twelfth century were independent of it, and
by ++,, they had been politically united by Prince Roman Mstyslavych of
Volhynia (d. +.o). Despite titular Mongol suzerainty and constant struggles
with Poland and Hungary, the Romanovychi in the thirteenth century presided
over great economic and political achievements. Roman Mstyslavych was
oered a kings crown by the pope and his son, Danylo Romanovych
(+.oo), actually received one between +. and +.o, but did not convert
from Orthodoxy to Catholicism in the process. The step reects both Galicia-
Volhynias immersion in central European political relations and symbolism,
and its princes stubborn independence. Prince Danylo sponsored urban set-
tlement, founding the town of Lww in +.o, inviting artisans from Germany
and Poland and welcoming Armenian and Jewish settlement. Cultural activity
continued apace, symbolised by the Galician-Volhynian chronicle, which con-
tinues the Kievan Primary Chronicle to +.s,. Around +,o, Galicia had won a
separate Orthodox metropolitanate in Halyc (which lasted briey until +,os).
With the demise of the Romanovych dynasty in +,.,, Gediminas conquered
Volhynia but Polish opposition prevented him from consolidating power
immediately. With the assassination of the Polish-supported Volhynian ruler,
Prince Iurii (Bol -eslaw) of Mazovia in +,o, Galicia-Volhynia unravelled. The
Grand Duchy sparred with the kingdom of Poland through the +,os and
when the conicts were settled by +,. (and ratied in +,s-), Galicia and
western parts of Volhynia (Kholm, Belz) were annexed to Poland; the rest of
Volhynia was claimed by the Grand Duchy.
Straddling the Baltic and Volga-Caspian trade arenas was north-east Rus, a
--o :c snirirs koii:
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rich mesopotamia in the upper Volga and Oka river basins, bounded in the
north and north-west by Novgorod, on the west by the Grand Duchy, to the
south by the steppe and to the east at the Sura and Vetluga rivers by the Volga
Bulgars (nomads of the Black Sea steppe who had settled the middle Volga and
controlled its trade since at least the tenth century). Furs gathered here as
Mongol tribute or shipped by merchants from Moscow, Tver and other
centres joined those shipped by the Bulgars; at Sarai they joined the legendary
silk road, moving east across the Caspian to Urgench at the foot of the Aral
Sea and on to central Asia and India, or south to Iraq, Syria and Egypt, or west
across the Black Sea steppe, or over the Black Sea to Caa (ruled by the
Genoese since +.oo) or Sudak (Soldaia, Surozh) and on to Europe. The
Dnieper, the regions quintessential trade route until late in the eleventh
century, remained in recession. The north-east had ourished politically since
the twelfth century, when Princes Iurii Dolgorukii (++,-) and his son
Andrei Bogoliubskii (++--) declared the area independent of Kiev and
Prince Vsevolod Bolshoe Gnezdo (Big Nest) (++-o+.+.) declared it the
grand principality of Vladimir. Here too in the fourteenth century a process
of sweeping weak principalities into a few dominant centres was taking place.
Three or four centres Moscow, Tver and Riazan (joined by Suzdal-Nizhnii
Novgorod in +,+) styled themselves grand principalities and vied for the
symbolic role of grand prince of Vladimir, which by then had no indigenous
dynasty but boasted lucrative lands.
Ambitious principalities in north-east Rus concentrated on expanding their
territory and maintaining good relations with the Kipchak khanate in the four-
teenth century. Moscow was most aggressive, taking over weak principalities
on key river routes and junctions by negotiation, inheritance, purchase or con-
quest. Its dynasty was founded by Prince Daniil Aleksandrovich (d. +,o,),
youngest son of Alexander Nevskii (+..o,). He was followed by his sons
Iurii (d. +,.) and Ivan I Kalita (Moneybag) (d. +,o). Historians have argued
that Moscows geographical position, within reach of river routes to the Black,
Caspian and Baltic Seas, was fundamental to its historic rise.
13
But Moscow was
not endowed with that geographical exibility by birthright; its grand princes
and boyars won it by concerted territorial expansion. Thus, V.O. Kliuchevskiis
famous dictum that Moscows early rulers were nonentities, as alike as two
drops of water, should be discounted.
14
If the geographical factor played a
crucial role in the rise of a north-east Rus principality to prominence, it should
have aided Tver. This latters position on the upper Volga was superb: at the
intersection of land and water routes to Novgorod and the Grand Duchy and
thus to the Baltic, Tver was dominant in north-east Rus by the end of the
The principalities of Rusin the fourteenth century --+
13
Kliuchevskii (+,o-), ii, lect. .+; Tikhomirov (+,.).
14
Kliuchevskii (+,o-), ii, lect. .., p. ,.
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thirteenth century. Ruled from mid century by the dynasty of Prince Iaroslav
Iaroslavich (grand prince of Vladimir +.o,-+), younger brother of Alexander
Nevskii, it quickly grew into a ourishing trade and cultural centre. Prince
Iaroslavs sons Sviatoslav (+.-+s) and Mikhail (+.s+,+s) succeeded him in
Tver; Mikhail became grand prince of Vladimir in +,o. From then to +,+s
and from +,.. to +,.- Tver princes held the title. Although it did not expand
signicantly, Tver consistently worked to subordinate Novgorod to its
authority and curtail Moscows ambitions.
But the success of Tver was also its downfall; the Sarai khans, wary of its
potential to ally against it with the Teutonic Order or the Grand Duchy, three
times executed princes of Tver at their court in Sarai, in +,+s (Mikhail
Iaroslavich), +,. (his son Dmitrii) and +,,, (Aleksandr Mikhailovich and his
son Fedor). The Kipchak khanate eventually shifted its preference towards
Moscow, awarding it exclusively the grand princes title in +,,+, after Moscow
had aided the Tatars in sacking Tver, hindering but not destroying the
ambitious principalitys aspirations for regional power. The Moscow
Daniilovich dynasty faced persistent challenges for the title not only from
Tver but also from Suzdal-Nizhnii Novgorod. Under Grand Prince Dmitrii
Konstantinovich (ruled +,os,) and Archbishop Dionisii of Suzdal
(+,-s), this ambitious principality ourished culturally and politically; it
won the title of grand prince of Vladimir briey in the early +,oos, but in the
face of internal dissension was forced to yield to Muscovite pressure. Thus,
once winning it, Moscow never signicantly lost the title of grand prince of
Vladimir.
It is often said that ecclesiastical politics aided Moscows rise,
15
in as much
as metropolitans were resident in Moscow by the late +,.os. But as a rule four-
teenth-century metropolitans, like the patriarchs of Constantinople who
appointed them, were guided by a vision of the Rus lands as a single united
spiritual ock, and tried not to favour one political contender over another in
the power struggles of the century.
16
Thus the metropolitans resident in
Moscow did not necessarily support Moscows interests, as later hagiography
and chronicles suggest. The see of the metropolitan of Kiev and all-Rus had
moved from Kiev to Vladimir only in +.,,; in +,. Metropolitan Peter
(+,os.o) took up residence in Moscow where he died in the following year.
He did not ocially transfer the see to Moscow, because, by Orthodox tradi-
tion, sees were located in the political centres of a realm, which in +,. was
either Vladimir or Tver. But Moscow became the see as it took over the
grand-princely status, and in the second half of the century Moscow pro-
ceeded to embellish the cult of Peter accordingly. Meanwhile the Grand
--. :c snirirs koii:
15
Ibid., lect. .+.
16
Meyendor (+,so); Borisov (+,so); Rowell (+,,), ch. o.
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Duchy actively campaigned throughout the century for its own metropolitan
see as a legitimising symbol. Galicias see in the lands of the Catholic kingdom
of Poland was renewed in +,-+, while the Grand Duchy received a metropo-
litanate of Lithuania in Novogrudok in +,+-. But with Constantinople endea-
vouring to restore the unity of the Kiev and all-Rus see whenever possible,
this see waxed and waned, despite repeated, and sometimes briey successful,
requests from the Grand Dukes for its renewal. Not until the mid-fteenth
century did the Grand Duchy receive a permanent see, in response to
Moscows break with the Orthodox Church over the proposed union of
FlorenceFerrara (+,s,).
Beginning in +,, the patterns of trade and geo-politics described above
were shaken by bitter struggles for succession in the Kipchak khanate. By the
rst third of the fteenth century the struggles had splintered the Kipchak
realm into khanates at Kazan, the Crimea, on the lower Volga (called the
Great Horde) and in western Siberia. Stepping into the vacuum of power were
Novgorod, Moscow, the Grand Duchy, Tver, Riazan, and Suzdal-Nizhnii
Novgorod, as well as ambitious Tatar leaders, some of whom (Mamai, Timur
or Tamerlane) lacked the Chingisid legitimacy to become khans. In the +,oos
and +,-os Mamai acquired signicant power from his base on the right bank
of the Volga, even while rival claimants battled in Sarai.
Each of the major contenders turned the Kipchak khanates disarray to
political and territorial advantage. Novgorod was particularly active. Its arch-
bishop won judicial autonomy from the metropolitan despite bitter opposition
by the metropolitans and grand princes of Moscow. Novgorod also embarked
from the +,oos to +o, on a campaign of armed raids on upper and middle
Volga trading towns. These raids were intended to discourage towns in the
upper Volga, Dvina and Kama river basins, such as Kostroma and Viatka, from
yielding to Muscovite political pressure.
17
Taking advantage of disarray in the
Bulgar as well as in the Kipchak khanates, they also aimed to win for Novgorod
the right to trade in Nizhnii Novgorod, Bulgar, Sarai, Astrakhan and other
Volga ports. The raids failed in the latter goal but had some success in the
former: Moscow was forced to relinquish control in the Dvina lands after an
abortive take over in the late +,,os. But Moscow made other territorial gains
in the north: it had collected taxes from Ustiug and Vychegda Perm since +,,,;
by +,o- Moscow had won from Novgorod the right to collect tax in Perm
Velikaia on the upper Kama as well as in the Pechora and Mezen river areas
(although that right remained an object of contention with Novgorod into the
fteenth century).
18
It should be understood that what was at stake was tax-
collecting authority, not political incorporation; both the Novgorodian and
The principalities of Rusin the fourteenth century --,
17
Martin (+,-).
18
Martin (+,s,).
Cambridge Histories Online Cambridge University Press, 2008
Muscovite presence here remained supercial until the end of the fteenth
century. In +,-, the subsequently venerated St Stefan of Perm converted the
Vychegda Permians to Christianity; monastic colonisation into the Vologda
area intensied from the +,,os. Moscow also humbled the Suzdal-Nizhnii
Novgorod grand principality, rst forging an alliance in +,o-, binding it with
the marriage of Grand Prince Dmitrii Donskoi of Moscow (+,,s,) to
Prince Dmitrii Konstantinovichs daughter Evdokiia, and ultimately subordi-
nating Nizhnii Novgorod in +,,..
Meanwhile, as the Kipchak khanate fell into disarray, the Grand Duchy was
also enjoying a spectacular rise to regional power. After a brief era in which the
realm was divided among Gediminass seven sons (+,.), two of the most
forceful seized power to rule jointly: Algirdas (+,--) taking the east and
Kestutis (+,s.) the west. In addition to Volhynia, by +,o, Algirdas won the
Kiev and Pereiaslav principalities and Podilia (south of Galicia and Volhynia;
it was taken over by Poland by +,o) and in the +,-os several small principal-
ities of the Chernihiv lands (but not the upper Oka area hotly contested with
Moscow and Riazan). To the north-east of Polotsk, Algirdas won Toropets by
+,. From the +,oos to +,so the Grand Duchy allied with the grand principal-
ity of Tver to counter Moscows rising strength; this coalition laid siege to
Moscow three times to no avail from +,os to +,-.. At Algirdass death in
+,--, quarrels over succession set in motion momentous events. Algirdass son
and successor, Jogaila, was initially opposed by his uncle Kestutis (d. +,s.) and
subsequently by Kestutiss son Vytautas, and also by his own half-brother,
Andrei of Polotsk. Andrei turned to Moscow for aid. Jogaila responded by
mounting an anti-Moscow coalition including Riazan, the Tatar leader Mamai,
Tver and the Livonian Order; at the time, Mamai regarded Moscow as an
obstacle in his designs to re-establish Mongol authority in north-east Rus
(starting in the late fourteenth century, for example, Moscow frequently took
advantage of Sarais disarray to withhold tribute). Moscow, aided by local prin-
cipalities including Suzdal-Nizhnii Novgorod, Iaroslavl, Kostroma and
Beloozero, defeated Mamai and his coalition at the battle of Kulikovo Field in
+,so. In the next year Mamai was crushed by Tokhtamysh, a Chingisid prince
patronised by the upstart non-Chingisid ruler of central Asia, Timur. For a
decade thereafter Tokhtamysh managed to exert some control over north-east
Rus; he sacked Moscow and Riazan in +,s., setting back temporarily
Moscows rise to regional power. Meanwhile, Jogaila in the Grand Duchy, polit-
ically isolated by the +,so defeat and beleaguered by domestic opposition, con-
sidered a marriage and rapprochement with Moscow, but ultimately turned to
Poland. In +,s in the Union of Krevo he accepted the crown of Poland,
married Jadwiga, heiress to the throne, and promised to christianise his realm
and unite it with Poland dynastically. Although the step denitively set the
-- :c snirirs koii:
Cambridge Histories Online Cambridge University Press, 2008
Grand Duchy on a path of cultural and political integration with Catholic
Poland, the road started out rocky. Jogaila faced the opposition both of Andrei
of Polotsk (who was quickly defeated), and of Kestutis and Vytautas, who
fought tenaciously and successfully for maximum Lithuanian autonomy in its
relationship with Poland.
In +,,+ Vytautas neutralised Moscow by marrying his daughter Soia to
Grand Prince Vasilii I Dmitrievich of Moscow (+,s,+.). This gave him
breathing space to vie with Jogaila; several times he allied with the Teutonic
and Livonian Orders to force concessions, by +,,, winning from Jogaila the
concession of the title of Grand Duke of Lithuania (even while Jogaila
reserved for himself the senior Grand Dukes dignity).
19
Meanwhile Vytautas
tried to take over Timurs role as regional kingmaker. Allying with Tokhtamysh,
who had fallen out with Timur, Vytautas mounted a campaign against
Tokhtamyshs rivals in the Great Horde on the lower Volga. But, defeated on
the Vorskla river in +,,,, Vytautas was forced to rein in his ambitions in the
east but continued to contest the terms of union with Poland. He nevertheless
succeeded in consolidating authority over the principality of Smolensk by
+o, which had been de facto subordinate to the Grand Duchy since the early
+,os. Vytautas also made war on Novgorod and Pskov. After he and Jogaila
defeated the Orders at Grunwald in ++o, Vytautas negotiated the ++, Union
of Horodl -o, in which Jogaila and the Polish nobility recognised the Grand
Duchys right to have its own ruler and the necessity of both sides consulting
in the selection of new kings and Grand Dukes. This was a clear victory for
Vytautas. But the union was also armed by provisions that more broadly dis-
tributed Polish noble privileges among the Catholic Lithuanian elite. Until his
death in +,o Vytautas was undisputedly the major player in east European pol-
itics; he was even oered a kings crown by the Holy Roman Emperor
(although was prevented from receiving it by opposition from Poland and the
Teutonic Order).
The denouement of the disarray in the Kipchak khanate worked to
Moscows favour as well as that of the Grand Duchy by the turn of the
fteenth century. Tokhtamyshs erstwhile patron, Timur, defeated him after
Vytautass failure to do so in +,,,; Timur destroyed Sarai and any possibility of
restoring the Kipchak khanates unity and strength. Timur redirected trade
away from the VolgaCaspian nexus to the Black Sea, opening up opportunity
for Moscow and the Grand Duchy directly to trade with the Italian colonies
(Sudak was in Genoese control from +,o). Although Timurs appointee in the
lower Volga, Edigei, claimed authority over the north-east, and even sacked
Moscow in +os, and although in the subsequent century the lower Volga
The principalities of Rusin the fourteenth century --
19
Presniakov (+,,s,), ii, fasc. +, ch. ,; Kolankowski (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
Great Horde frequently claimed authority over north-east Rus, the scal and
political power of the Mongols in the Rus lands was broken by the turn of the
century. Moscow was poised to take regional authority in the east. A new polit-
ical equilibrium balanced between Vilnius and Moscow had replaced the
nominal sovereignty of the Kipchak khanate.
socir+irs nrir +o kir\ rts
Because the harsh climate of the Rus lands limited productivity and popula-
tion growth, climate is an important factor in assessing administration, society
and economy. Three fundamental features shaped the physical environment.
The rst is northern latitude. Kiev lies just above o
o
north and Moscow close
to o
o
, farther north than London (at +
o
,o) and all major American and
Canadian cities save those of Alaska. Among major cities in the British Isles,
Edinburgh and Glasgow are marginally more northern than Moscow, but their
climates are moderated by ocean currents. Cold Arctic air sweeps down from
the north unobstructed by any natural barriers in these essentially at lands,
which are part of the European plain extending to the Urals. The third forma-
tive feature is lakes and rivers that, with portages, form an intricate transpor-
tation network from the Baltic to the Black and Caspian Seas. Major north or
south-owing rivers are the Dniester, Bug, Dnieper, Don, middle and lower
Volga, northern Dvina and Kama rivers; east- or west-owing waterways
include the Niemen and western Dvina, upper Volga and Oka rivers. Soils and
vegetation proceed in horizontal bands of increasing fertility from north to
south. Novgorod and its lands include some Arctic tundra but by and large lie
in the taiga, or coniferous forest. Spruce, pine and birch predominate. Soils here
are podzolic, rich in humus but leached of their iron and minerals and poorly
drained. Peat bogs and marshes are common. In the area of Belarus and
Muscovy and north almost to Novgorod lies the zone of mixed evergreen and
deciduous vegetation where white oaks and spruce predominate. South of
Moscow starts a narrow belt of broad-leaf deciduous trees. Soils range from
podzolic to grey-brown forest earths, more fertile and less acidic than the taiga,
but still marshy. Farther south, covering the modern Ukrainian lands, begin the
wooded steppe and then the steppe, with strips of successively richer black
earth soil. Vegetation ranges from deciduous trees to grassland, easily cleared
for farming.
Marginal dierences in climate and precipitation historically created
signicant divergences in agricultural potential between the Kievan heartland
and north-east Rus. Moscows climate is damper, cooler and more cloudy than
Kievs; snow remains on the ground ve months here to Kievs two and a half,
yielding boggy and leached-out soil and a brief growing season (ve months
--o :c snirirs koii:
Cambridge Histories Online Cambridge University Press, 2008
to Kievs six or more and to western Europes eight or nine). While most
European grains, vegetables and animals can be cultivated in Kiev, the north-
east Rus lands are limited to hardy crops of rye, barley, oats and ax.
From the mid-nineteenth century scholars and publicists in Russia began to
oer an alternate vision to the theory of an unbroken and exclusive historical
continuity from Kiev to Moscow espoused by Muscovite ideologues from at
least the sixteenth century and adopted by most Russian historians. Pointing
to Kiev Rus active international trade and cultural contacts and to its pluralis-
tic political system of prince, retinue and urban communes, scholars have pos-
tulated that these various traditions descended separately to various heirs of
Kiev. N. I. Kostomarov postulated that Kiev Rus bequeathed two heritages
democratic, embodied in the Ukrainian path of development and autocratic,
embodied by Great Russia (Muscovy). Historians and publicists, notably
Alexander Herzen, meanwhile depicted Novgorod as heir to Kievs commu-
nal republican tradition.
20
By the modern day a threefold clich has become
current: that from Kiev Rus descended three traditions autocracy (Russia),
aristocracy (Galicia-Volhynia, Ukraine) and democracy (Novgorod). But one
should use such terms warily; in no case did the medieval versions of these tra-
ditions replicate their modern embodiments.
c:iici: :r \oini:
The principalities of Galicia and Volhynia did nurture a strong aristocracy and
monarchy, stemming from their frequent interaction with the Polish and
Hungarian kingdoms, the papacy and the Holy Roman Empire (as noted
above, Prince Roman Mstyslavych was oered a crown and Prince Danylo
received one). Galicias boyars, inspired by their heritage (they were purported
to have descended not, as was usual in the Kiev Rus lands, from the princes
retinue, but from the indigenous elite) and by their wealth from Galicias salt
trade, exercised real power. Numerous times the ++sos,os, +.o,s, the
+,os Galicias boyars took power into their own hands, even electing one of
their own as ruler in +.+, and +,o. But strong Romanovychi by and large
maintained political equilibrium in the realm, and the aristocratic element of
this part of the Kievan triad did not blossom into full parliamentary govern-
ment until after Galicia, and later Volhynia, were acculturated into the kingdom
of Poland.
In Galicia aristocratic development was accelerated under Polish rule after
The principalities of Rusin the fourteenth century ---
20
Kliuchevskii (+,o-), iii; Solovev (+,,o.), iii; Kostomarov (+,o,o),i, \; Herzen is cited by
Birnbaum (+,s+), p. o. Historiography on Novgorod: Ianin (+,o.), pp. ,+,.
Cambridge Histories Online Cambridge University Press, 2008
+,o, even though Galicia was initially allowed autonomy in Poland as the
kingdom of Rus. The rst Catholic archdiocese was founded in Lviv in +,-,
followed by active monastic colonisation; Polish kings granted land to Catholic
noblemen from Poland, the Germanies, the Czech lands and Hungary and wel-
comed large numbers of German townsmen. Urban privileges (under
Magdeburg law) for the Catholic urban populations were introduced in Lviv in
+,o, in Kamianets-Podilskyi in +,-, and gradually spread through Galicia.
Many Galician boyars adopted Catholicism. By the mid-fteenth century
Galicia was reorganised as a province in the Polish kingdom, and Latin
replaced East Slavic as the ocial language. Galicia developed into a dynamic
amalgam of Orthodox culture and European traditions of political pluralism,
and later provided intellectual leadership for the emergence of Ukrainian
national consciousness from the late sixteenth century onwards.
o\coror :r rsko\
Modern Russian social and political thought accords Novgorod a special place.
It is held up as a bastion of urban democracy, as proof that Russians possess
the innate ability to govern themselves and thus as demonstration that autoc-
racy is not inevitable in Russian history.
21
Clearly tendentious, this scheme has
inspired historians to look carefully at Novgorod; their work is aided by a
remarkable array of extant records. Sources already mentioned are Novgorods
chronicles, treaties with Baltic trading partners and with grand princes of Tver
or Moscow, the Novgorod Judicial Charter and Hansa records. Sources are
sparse on the citys vast rural hinterland, but peasant obligations have been
extrapolated from Muscovite cadastral books of the late fteenth century.
Most unusual are the ndings of archaeology: several hundred birchbark doc-
uments that reveal day-to-day activities; seals that trace the evolution of polit-
ical oces; excavations that expose settlement patterns and the residue of
production and consumption.
22
Socially, Novgorods populace was divided into four or ve distinct
groups.
23
The elite was the boyar families about fty by the fteenth century
who were large landholders, nanciers and holders of an almost exclusive
monopoly on the citys oces. Unlike their eponymous Moscow counterparts,
Novgorods boyars played no military role. Below them in social status,
although often equal in wealth, were the zhit i liudi, also wealthy landholders.
Below them were the merchants, who probably did not have guild associations
--s :c snirirs koii:
21
Debates on Novgorod as a democracy or oligarchy: Ianin (+,o.); Birnbaum (+,s+); Langer (+,-).
22
Thompson (+,o-); Novgorodskie gramoty na bereste, ed. Artsikhovskii; Ianin (+,-o).
23
Kliuchevskii (+,o-), ii, lects. .,; Bernadskii (+,o+), ch. .
Cambridge Histories Online Cambridge University Press, 2008
like their western counterparts. The rest of the urban populace artisans and
workers paid taxes; in that role they were paralleled by the peasants of the
hinterland.
The principle of assembly structured Novgorodian politics, exemplied not
only in the town assembly (veche) but in successive layers of lesser assemblies
that oversaw daily governance. The Volkhov river divided the town between
the Sophia side (home of the archbishop) and the market side (place of
wharves and the veche meeting house), but its political division was more
complex. On the Sophia Cathedral side were three boroughs (kontsy): the
Zagorodskii and Liudin, or Goncharskii, and Nerevskii boroughs; on the
market side, the Plotnitskii and Slavenskii boroughs. Within a borough, each
major street constituted a political entity, with its own assembly of freemen
that selected a local boyar as its representative to the veche.
By the fourteenth century the town assembly may have been limited to the
elite landholding strata and merchants, excluding the commoners. It chose the
mayor (posadnik) for an annual term. The defeated borough representatives, as
well as the thousandman (tysiatskii) and past mayors and thousandmen, enjoyed
lifetime rights to sit on the council of lords (sovet gospod), thereby assuring that
boyar interests dominated the citys administration and the town assembly.
This latter met on an irregular basis and had nominal authority to legislate,
declare war and settle peace, choose and dismiss the prince who ran the citys
military defences, and authorise similar important tasks.
Having rejected direct rule by Kievan grand princes in ++,o, Novgorod by
the early fourteenth century acknowledged the titular sovereignty of one of
the grand princes of north-east Rus, generally favouring Tver over Moscow.
The grand prince was represented only by his lieutenant (namestnik), who col-
lected carefully limited judicial and customs fees and taxes in the city and
selected environs and rendered justice in the criminal court, under the over-
sight of the mayor. By treaty the grand prince could not live in the city, nor
acquire Novgorodian land for himself, his family or retinue, nor could he dis-
tribute the citys land without the mayors permission, participate in domestic
municipal politics or replace city ocials at will. The relationship was less one
of sovereign and vassal than one of equal foreign powers.
24
At the same time,
the city contracted with hired princes to provide military defence with their ret-
inues and to lead the urban militia. In the fourteenth century the city frequently
chose such princes from the Gediminid dynasty to counterbalance Moscow.
With the grand prince held at bay and the hired prince similarly estranged
from political life, other institutions took over governing roles. The oce of
mayor began as a princely appointment, but by the fourteenth century it had
The principalities of Rusin the fourteenth century --,
24
Bernadskii (+,o+), pp. +,.
Cambridge Histories Online Cambridge University Press, 2008
power to share criminal court with the grand princes lieutenant and to ride
herd over him as well as to oversee the town assembly. The thousandman also
grew out of the princely administration; originally the military commander of
the citys ten hundred units, by the fourteenth century the thousandman had
become the chief judicial authority for the merchants, head of the Merchants
Hundred (Ivanovskoe sto) at St Johns Church and overseer of trade and police
aairs in the town. A third political authority was the archbishop, elected by
the town council; his see at Holy Sophia Cathedral stood as the political symbol
of the city. He represented the city in foreign aairs; ran a court for church
aairs, church people, and property disputes; oversaw the regulation of
weights and measures; armed all deeds of land transfer and chaired the
council of lords. By the fourteenth century the archbishop was becoming the
greatest landholder in the Novgorod territories, head of a secular administra-
tion of majordomos, bailis and retinues of ghting men. As the archbishops
wealth and power grew, the citys boyar families counterbalanced him by culti-
vating urban monasteries. Each borough had a agship monastery, from
among the ve hegumens of which a Novgorod archimandrite was selected,
signicantly, by the town assembly, not the archbishop.
Novgorod politics in the fourteenth century were as stormy as they had
been in previous centuries. The citys geographical divisions tended to channel
class tensions into factional strife; streets and boroughs banded together in alli-
ances that cut across class lines. Violent conicts grew out of rivalries between
boyar families or popular protests over high taxes and economic hardship.
Quiescent in normal times, in times of conict the town council became the
vehicle for constitutionally sanctioned change. Over the fourteenth century
the city government evolved in the direction of oligarchy: at mid century the
council of lords instituted a collective mayoralty, with six mayors (two from the
Slavenskii borough and one from each of the others, thus balancing represen-
tation from each side of the river).
25
But at least in the fourteenth century the
citys political system remained suciently responsive to popular needs to
avoid the extreme of oligarchy and to govern eectively.
Novgorod in the fourteenth century ruled over a hinterland whose basic
outlines had been established by the mid-thirteenth century. Most of the
region was ruled by the ve urban boroughs and thus were called in later
Muscovite sources the fths (piatiny). Some of the hinterland was adminis-
tered directly by the city as commune (volost ) lands; these included the Dvina
lands, the Ter Littoral of the Kola peninsula, and several key border towns.
Novgorods hinterland was sparsely populated by East Slavs, Finno-Ugrians
and Siberian natives; the East Slavs established some farming, but all depended
-so :c snirirs koii:
25
Ianin (+,o.), chs. o.
Cambridge Histories Online Cambridge University Press, 2008
primarily on forest exploitation and hunting, or reindeer herding in the very far
north. In the fourteenth century peasants paid taxes to the city (dan) and to
Novgorods grand prince (chernyi bor) and performed various services for city
and princely ocials. Landlords also demanded services and taxes, rarely
assessed in money or labour, more often in furs, foods or grain, or in natural
resources such as iron or wax where available. Much of the land was privately
owned, by the archbishop or other religious establishments, by the city itself,
or by secular landholders. Generally landlords acted as absentee owners;
demesne land was rare, as was slavery. Peasants were free to move, although
several categories of debt dependence are cited.
The Baltic trade made Novgorod wealthy: the city exported fur (squirrel,
beaver, rabbit, luxury furs), wax, honey, leather and pig iron; it was constrained
by the Hansa and Livonian towns from exporting nished goods. It imported
textiles, generally Flemish in this century, ranging from the very best quality to
cloth aordable to urban artisans; also salt, precious metals, wines, weapons,
even salted herring and grain in famine years. While the travelling
Novgorodian merchant was the stu of legends beloved by the city, by the
fourteenth century Novgorodian merchants generally did not venture abroad.
The Hansa handled foreign trade almost exclusively. Novgorod was one of
four Kontore, or depot points, in the Hansa;
26
the group of German merchants
who constituted the Kontor lived in a self-governing neighbourhood called
Peterhof on the market side. The volume of trade was large. In +,++, for
example, Pskov seized o,ooo furs of German merchants; in +,,o-, +oo mer-
chants were recorded in Novgorod; three ships sailing from Riga in +o
carried o,ooo pelts, +,, pounds of wax and over +,ooo pounds of linen,
most from the Novgorod trade. In sum, Novgorod in the fourteenth century
was a thriving urban republic similar in political structure and economic activ-
ity to its counterparts in northern Europe and Italy. Neither a full-blown oli-
garchy nor a popular democracy, Novgorod was unprecedented in the Rus
lands for its cultural diversity, active economy and relative personal freedom.
Virtually politically independent of Novgorod by the second half of the
thirteenth century, Pskov struggled in the fourteenth and into the fteenth
century to gain ecclesiastical autonomy from Novgorod, and relied heavily on
the Grand Duchy for political protection against Novgorod and the Teutonic
Order. Its government mirrored Novgorods: six boroughs, each with an
assembly, elected elite men for a council of lords and a collective mayoralty of
one or two mayors. Its hired princes came almost exclusively from the Grand
Duchy from the late thirteenth century onwards. Pskov diered from
Novgorod chiey in its seeming tranquillity; far fewer urban uprisings are
The principalities of Rusin the fourteenth century -s+
26
Dollinger (+,-o).
Cambridge Histories Online Cambridge University Press, 2008
recorded for Pskov than for turbulent Novgorod, perhaps because the citys
smaller scale made consensus more achievable among the boyar factions.
Because of its proximity to the Livonian Order, Pskov gave greater authority
to its hired prince, mandating that he live in the city and granting him broader
administrative and judicial authority than his Novgorod counterpart enjoyed,
although here too he was overseen by the mayor and other city ocials. Like
Novgorod, Pskov in the fourteenth century developed a thriving cultural life,
architectural style and vibrant school of icon painting.
+nr cr:r rtcn or ii+nt:i:
One might argue that the Grand Duchys political customs were a more faith-
ful continuation of Kiev Rus traditions, even though it had never been a part
of the Rus state. But the clans of Lithuania demonstrated similar political tra-
ditions to those of the rulers of Kiev, as suggested above. These were loosely,
centrally ruled patrimonial principalities, based on clan organisation and the
integration of landed and urban elites into consultative governance.
27
The
Lithuanian Grand Duke ruled with the advice of a council of the leading clans
of the realm (consiliarii), analogous to Kievan princes retinues or the Moscow
grand princes boyars. The scale of government was personal and face-to-face;
Gediminas had twenty such advisers in +,., for example.
28
Not until the
fteenth century with growth and Polish inuence did the Grand Dukes coun-
sellors become a more formalised institution with constitutional rights (guar-
anteed by charter from +,. to +.,). The Grand Dukes also, far more than
Muscovite princes, tolerated local elites and local autonomies, much as medie-
val European kings made their peace with privileged groups, towns and cor-
porations. Territories outside the core lands of the Grand Duchy were virtually
independent principalities: generally the dynasty placed one of its members in
an occupied principality and allowed him to found a hereditary dynasty. Such
local princes were obliged to render taxes and military service and to consult
with the Grand Duke, but otherwise they respected local traditions. Local elites
were not dispossessed, local ocials were appointed from among them and
they were included in the princes councils. The East Slavic language and legal
traditions were maintained, as were Kievan-era administrative divisions. Even
when, in the +,,os, most princely dynasties were replaced with centrally
appointed governors from ethnic Lithuanian families, regional autonomies
were not fully abolished. Fifteenth-century political tensions (in the +,os,
+-, +,.) yielded armations of local autonomies and noble privileges.
-s. :c snirirs koii:
27
On political traditions and governance, Rowell (+,,), p. .,; Kolankowski (+,,o); Khoroshkevich
(+,s.); Bardach (+,-o).
28
Rowell (+,,), pp. .o., o+..
Cambridge Histories Online Cambridge University Press, 2008
Thus the Grand Duchy featured a balance between ruling dynasty and social
interest groups.
Its elite was composed of landholders who rendered service to the Grand
Duke, ranging from princes, mainly of the Gediminid dynasty and a few
Riurikides, to two landed ranks, the boyars and the zemiane, distinguished pri-
marily by degree of landed wealth. Some members of these groups served as
vassals of leading princes and other magnates, receiving land for service on
conditional tenure. The urban populace, like the landed elites, performed mil-
itary service, paid taxes and could own land outside their cities; their primary
occupations, however, were trade and artisan work. Urban freedoms spread to
towns in the Grand Duchy after the Union of Krevo Vilnius (+,s-), Brest
(+,,o), Grodno (+,,+), Drogichin (+.,), Belsk (+,o), Lutsk (+,.) and Kiev,
Volodymyr in Volhynia, Polotsk and Minsk (second half of the fteenth
century). Rural life continued the structures and occupations of the Kiev Rus
period. Agriculture continued to be the basis of the economy, augmented by
apiculture, animal husbandry, hunting, shing and forest exploitation. By the
middle of the fourteenth century, expansion of cultivated land is evident, sug-
gesting economic regeneration and population expansion. Peasants were
obliged to pay tax (dan) to the Grand Duke (assessed according to unit of land
cultivated, and paid in cash, fur or honey), upkeep for his administrators, and
labour services such as cartage and construction. They also paid taxes to land-
lords but were not subject to labour obligations (barshchina). Peasants were not
limited in their mobility in the fourteenth century, but judging by the persis-
tence of judicial regulations borrowed from the Russian law in Grand Duchy
law codes, slavery continued to be a source of labour for landlords.
or+n-r:s+ rts
North-east Rus best preserved the Kievan principle of strong central, dynas-
tic princely rule; its grand princes claimed all power and faced few corporate
entities, such as urban or landed elites, which they had to accommodate (in
contrast to the Grand Dukes of Lithuania). Thus it is often called an autoc-
racy, and indeed the claim became part of Moscows ocial title, in the late six-
teenth century. But the term should be used with caution: Muscovite
autocracy by no means connoted power as total or absolute as modern usages
imply. Muscovite rulers were constrained by many factors: custom, ideology
and political realities, the most signicant circumstances of the latter being the
paucity of population and the exactions of the Kipchak khanate. The major-
ity of the population consisted of free peasants, living in hamlets of two to
three households of generally two or three adult males, plus women and chil-
dren. They farmed with techniques that varied with local conditions:
The principalities of Rusin the fourteenth century -s,
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slash/burn where land was plentiful or newly cleared, enclosed elds where
settlement was denser and more established. Peasants sowed winter rye or
barley and spring oats, supplementing their diet with sh, some meat (game,
pigs, chickens, cattle), honey, berries, nuts, mushrooms, peas, turnips and other
root vegetables. Peasants belonged to communes that joined together numer-
ous villages and hamlets. Peasants farmed their elds and household gardens
as individual families but yielded to communal authority over such resources
as meadows, forest, ponds, rivers and the settling of abandoned land; commu-
nal ocers also liaised with princely ocials. There were very few towns, most
of which were small fortied princely encampments; since most artisan work
was done in villages, towns trade signicance was limited. The taxpaying res-
idents of towns formed a commune ( posad ) analogous to that of the country-
side.
In the realm of governance princes carved out a modest sphere: exploita-
tion of resources, execution of high justice, and military expansion and
defence.
29
They accomplished these goals through circuit ocials such as
danshchiki, who collected the Mongol tribute (vykhod ) and the princely tax
(dan), or rendered justice. Other men managed monopolies ( puti ) on princely
privileges such as forests, horse trading, falconry, trapping, brewing and vict-
ualing. Taxpayers were also responsible for other princely exactions, paid in
grain or occasionally cash, such as the provision (korm) of the resident and
circuit ocials, their stas and horses; provision of grain and riders for the
postal system (iam); provision of men for militia service ( pososhnaia sluzhba);
miscellaneous cartage, eld and artisan services; fortications work and build-
ing projects; customs levies on the transport and sale of goods (myt, tamga).
Communes and private holdings could arrange to pay a lump sum (obrok) for
all these fees.
In the late fourteenth century, Moscow (evidence is lacking for other prin-
cipalities) created a settled system of tax collection, plus judiciary and military
and civil administration, through vicegerents and district administrators
(namestniki and volosteli), one-year administrative appointees. Vicegerents were
resident in towns, while district administrators were subordinate to them in the
rural hinterland. At the end of the fourteenth century only fteen vicegerents
and about a hundred district administrators existed; appointees were compen-
sated by upkeep provided by the community (the feeding, or kormlenie,
system). The power of all these ocials, and hence of the prince, however, was
limited by the parcelling of authority in fourteenth-century north-east Rus.
-s :c snirirs koii:
29
On governance, landlords and dependent relations, see Howes (+,o-); Veselovskii (+,.o), (+,,o) and
(+,-); Kashtanov (+,s.) and (+,ss); Eck (+,,,); Pavlov-Silvanskii (+,ss); Gorskii (+,s.); Blum
(+,o+).
Cambridge Histories Online Cambridge University Press, 2008
Immunities from princely administration were widely distributed, even in
towns. North-east Rus towns were not of the European type oases of
municipal sovereignty, citizenship and personal freedom. Rather they were
oriental, proprietary conglomerates of merchant and artisan neighbourhoods
that each paid taxes and services to its owner. The countryside was the same.
Princes used immunities decentralisation of sovereignty, in essence to
maintain local stability, maximise the exploitation of resources and, most
importantly, to support and attract a landed elite who rendered military service.
As a rule, then, private land was immune from the princes administration
and most taxation. Landlords regarded their property as a form of feeding,
taking little direct role in its exploitation unless poverty drove them to it.
30
What small demesne they carved out was farmed and administered by slave
labour. Landlords let out the rest of their holdings on terms ranging from
rental to sharecropping to indentured servitude and slavery. They demanded
taxes in cash or kind, labour services and customs tolls analogous to the
burden exacted by princes; their peasants did not, however, participate in the
militia levy. Landlords exactions were constrained only by the willingness of
the free peasantry to accept their terms no small constraint, given the scar-
city of manpower and the willingness of other landlords (and free communes
also) to oer advantageous terms, such as exemptions from payments for
several years and loans of equipment, money or seed.
Thus, there was a tension between peasants freedom of mobility and their
likely dependency on a lord. The causes of personal dependence are many: for
some, it was advantageous terms; for others, dependency resulted when
princes awarded their communes to a landlord; for yet others, a landlord could
oer emergency protection if they had suered natural disaster. The same goes
for slaves, clients and indentured servants: some were renters who failed to
full their obligations, others were prisoners of war and still others sold them-
selves voluntarily into slavery in desperate search for economic stability. Bonds
of personal dependency also structured society above the landlordpeasant
relationship. Landholders faced with the task of administering and working
their lands, and often of maintaining military retinues, found the manpower
for these needs not only by renting land or bestowing it on slaves, but also by
giving it to retainers, sometimes outright in allodial tenure (votchina), but often
conditionally (as sluznie lands). Recipients ranged from free men to clients to
slaves, and are accordingly referred to variously as a lords people (liudi ), ser-
vants (slugi ), clients (zakladniki ), domestics (cheliad) and so on. Such men
served variously as cavalrymen and equerries in the lords retinue, his counsel-
lors, majordomos and bailis, judges and tax collectors on his lands, leaders of
The principalities of Rusin the fourteenth century -s
30
Veselovskii (+,,o), p. +..
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the hunt, blacksmiths and other specialised craftsmen. Often monasteries,
receiving land as a gift, returned it to the original owners under conditional
tenure. Lay lords who received large grants replicated the process: they rented
some out and bestowed some on estate managers, artisans and cavalrymen.
Governance was essentially carried out through such bonds of dependency.
The administrative network of vicegerents, district administrators and putnye
boyars, for example, was structured by personal dependency to the prince.
Similarly, the army was an occasional assemblage of the personal retinues of
princes and their men. The grand prince mustered a retinue of courtiers (dvor-
iane) and free landed cavalrymen called boyars sons (deti boiarskie); his boyars
contributed their own retinues, as did his kinsmen and allies and their boyars.
The hierarchs of the Church, metropolitans and bishops also sent their troops.
It was primarily a cavalry army, although regional militias mustered from
among the taxable peasants and city people provided infantry and siege
defence forces.
The relations of princes and their most eminent advisers and servitors, their
boyars, sharply illustrate the privatisation of political relations in north-east
Rus. Elites were small: in Moscow about ten boyar clans served at any one
time and the number of boyars uctuated from six to eleven depending on
family mortality and political circumstances.
31
They, the grand-princely family,
the metropolitan and other Church hierarchs, some merchants, all lived in a
Kremlin fortication only two-thirds its present size. Military servitors joined
a prince or left his service by free choice; princely treaties specically protected
their mobility: And our servitors and boyars have free choice between us.
32
They were free to acquire land in various principalities, being required only to
pay taxes and render emergency military service to the local prince, but not to
serve him personally. Similarly, they did not suer conscation of lands located
in their lords principality should they transfer loyalty to another prince.
Narrative sources describing rulers and their boyars also depict a personalised
politics. Such texts drew on the standard topoi of Christian rulership from
Byzantium and Kiev Rus: rulers were placed on the earth by God, authority
was God-given and the proper exercise of authority was governed by Gods
rules. Rather than imbuing the prince with quasi-divine status, as later
Muscovite texts did, chronicles put forward an image of a human, humble and
pious ruler. His task was primarily moral: to lead his people to salvation by
pious example, to give charity to the poor, benecence to the Church, loyalty
to his men. The +,, will of Grand Prince Semn Ivanovich of Moscow
instructed his heirs as follows: and you should not heed evil men and if anyone
tries to breed discord among you, you should heed our father, Bishop Aleksii,
-so :c snirirs koii:
31
Kollmann (+,s-), chs. +, and tables +, o.
32
DDG, no. ., p. +, (+,-).
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as well as the old boyars who wished our father and us well. Dmitrii Donskoi
wrote in +,s,: And, my sons, those of my boyars who take to serving my prin-
cess, care for them as one man.
33
Politics turned on personal, family and moral
relationships.
34
Within this framework, Moscows grand princes played out their political
strategies. Their treaties with Tver, Moscow and their apanage kinsmen used
the language of kinship to characterise political relations: we will hold our
elder brother in the fathers place and respect him as a father; I, the grand
prince, will treat you as a brother in all things without insult.
35
They arm the
right of servitors to depart freely to another lord, but they often stipulate that
each party will not accept in service men from the others retinue. They often
impose a similar prohibition against accepting rural and urban workers as
clients (zakladniki). They demand apanage princes, subordination to them in
foreign policy and scal aairs. Thus did hierarchy and dierentiation of power
among the north-east Rus principalities develop, but they did not undermine
the fundamentally patrimonial nature of politics.
Many scholars have exaggerated the power of Moscows rulers and attrib-
uted their autocracy to Mongol inuence, but such a claim is by and large
untenable, particularly for the fourteenth century when Muscovite central
government was so weakly developed.
36
Borrowing from the Mongols in the
fourteenth century was strongest in areas of direct contact between the Sarai
khans and north-east Rus princes: fourteenth-century Rus princes travelled
frequently to Sarai; often their sons were left there for years as sureties. Mongol
structures and terminology appear in north-east Rus military organisation,
scal administration and some political institutions.
37
But to attribute
Moscows later centralised autocracy as a Mongol-based form of oriental
Despotism is unwarranted, since politics in the Kipchak khanate was actually
quite decentralised. As for cultural life, contact with the Kipchak khanate had
little impact, since the East Slavs were Orthodox and the Tatars polytheistic
until their conversion to Islam in +,+.; similarly for society and economy, since
the East Slavs were forest-dwelling farmers and the Tatars nomads of the
steppe.
Much ink has also been spilled debating whether the society and politics of
personal dependency described here was feudal. From the nineteenth century
on, this question has been used to compare Russia with the west, because
European political philosophy since the early modern period considered a
feudal stage an essential step in the development towards liberal democracy
The principalities of Rusin the fourteenth century -s-
33
Ibid., no. ,, p. +.
34
Kollmann (+,s-), ch. ; Valdenberg (+,+o); Diakonov (+ss,). The themes remain the same in later
texts: Rowland (+,-,).
35
DDG, nos. ., .
36
Halperin (+,s); Vernadsky (+,,), ch. .
37
Ostrowski (+,,o).
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(the argument is that the reciprocal obligations between lord and vassal or lord
and peasant forged legal precedent and cultural aspirations for political plural-
ism).
38
Russian historians and publicists tried to make the best of the generally
accepted conclusion that Russia had no feudal stage. Some, such as S.M.
Solovev, depicted Slavic, Russian development as separate but parallel to
Germanic European development; others, of a Slavophile bent, exalted
Russias non-western communal past; still others, such as B.N. Chicherin,
stressed the negative aspects of Russias non-feudal, patrimonial autocracy.
Only N.P. Pavlov-Silvanskii, writing from the late +s,os, and a few who
accepted his viewpoint, have seen fourteenth- and fteenth-century north-east
Rus as parallel to western feudalism, while Soviet Marxist historians see Russia
as feudal from Kiev Rus to +so+.
39
But the problem of feudalism is really a
discourse about modern Russias future. Only a loose and non-evolutionary
denition of the term akin to Marc Blochs dictum that feudal society was
based on ties of dependence
40
applies well to fourteenth-century north-east
Rus. The problem of feudalism is more a historiographical construction than
a useful category of analysis.
In assessing the changes we have detailed here, a Great Russian historiograph-
ical interpretation has dominated. Based on claims made in Moscow in the
fteenth and sixteenth centuries (in such sources as the tales associated with
the +,, Florence/Ferrara Church union, the Tale of the Princes of Vladimir and
the Book of Degrees) that Moscow was the heir of Kiev,
41
modern scholarship
has tended to assume such continuity regardless of the social and political
diversity these lands developed from the twelfth century on. To explain the
evident discontinuities between Kiev and Moscow in political practice, urban
development, economy and social structure, some resort to a deus ex machina
the Mongol invaders. Those who prefer indigenous factors as driving forces in
history cite geography, national character or other issues.
42
The eect of this
presumption has been to obscure the varieties of historical development in the
future Ukrainian and Belarus lands and to cast the Grand Duchy in the role
either as passive vehicle for the continued expression of Rus culture or as
spoiler of Moscows role in gathering the Rus lands. A few historians have
-ss :c snirirs koii:
38
Poe (+,,,), ch. ,; Brown (+,-). Pipes (+,-), pp. s-, is a good statement of this point of view.
39
Solovev + (+,,o.), i; Kireevskii (+,oo); Pavlov-Silvanskii (+,ss) and Eck (+,,,). See also modern
Soviet and western debates on feudalism in Russian history: Baron (+,--); Crummey (+,s); Szeftel
(+,o); Vernadsky (+,,,).
40
Bloch (+,-o).
41
Zimin (+,-.); Miller (+,-,); Pelenski (+,--) and (+,s,); Goldberg (+,-).
42
The argument that opposing the Mongols made Russia autocratic: Karamzin (+s.,), bk i, vol. iii,
pp. +,-., +oo-; Cherepnin (+,oo). Indigenous factors: Solovev (+,,o.), i, ch. +, - \ii, ch. +;
Kliuchevskii (+,os), i, lects. +o+-, ii, lect. ...
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argued that the Grand Duchy played as positive a role as did the grand princi-
pality of Moscow in rescuing the Rus lands from foreign oppressors,
43
but
most have condemned it for inhibiting Moscows foreordained responsibility
for that task. One can argue less anachronistically that the political expansion
and territorial aggrandisement of Lithuanian and Muscovite fourteenth-
century princes was aimed at capturing lucrative trade routes, trading centres
and natural resources, not at reuniting a putative nation. Indeed, scholars such
as Mykhailo Hrushevsky, A.E. Presniakov and P.N. Miliukov have argued that
Russian history begins only in the fourteenth-century with the rise of
Moscow.
44
There has also been a tendency to read back into fourteenth-
century political events and texts nationalist sentiments that were not present
with anything like the fervour and exclusivity of modern nationalism for
example, the historiography that co-opts the role of the Church in the four-
teenth century to serve Moscows rise. Similarly, if we look at cultural expres-
sion and also at the eorts of fourteenth-century ideologues and rulers in the
Grand Duchy, Moscow, Novgorod and elsewhere to create legitimising con-
structs, we see that their visions were generally regional or dynastic in focus,
were expressed in religious idiom and often inchoate and only nascently
national. Novgorod in the fourteenth century, for example, developed an
integrated local culture that stood as a symbol of its wealth, energy and polit-
ical power. Unlike the fteenth century, when pressures from outside stimu-
lated Novgorod to produce politicised works of art and literature, the
fourteenth century exhibits stability and self-condence. The citys strong
chronicle tradition continued unabated, producing after the +,,os the oldest
surviving redaction of the Novgorod First Chronicle, which brought the Kiev
Primary Chronicle up to that date with local Novgorodian and some north-
east Rus items. At the same time, by contrast, the less secure republic of Pskov
was taking steps to bolster its independence; by +,-, Prince Dovmont, a
revered thirteenth-century defender of Pskov, was canonised as a local saint.
Novgorods fourteenth-century cultural life marks the apogee of its develop-
ment. Like many European urban republics, Novgorod reected its cultural
diversity in free thinking. In the late fourteenth century it witnessed the
strigol nik heresy, supported by cloth cutters and resembling the later Hussites
in its rejection of Church hierarchy and demands for social justice. It is in the
elaboration and glorication of Orthodox belief in icon painting, frescoes and
architecture, however, that the citys greatest achievements lie. Small, square,
single-domed churches with graceful trefoil-gable roofs became the architec-
tural standard: the Church of the Saviour on Ilin Street (+,-), for example,
has unusually lavish external decoration and exquisite interior frescoes by
The principalities of Rusin the fourteenth century -s,
43
Khoroshkevich (+,s.).
44
Miliukov (+,,oo); Presniakov (+,+sb); Hrushevsky (+,.).
Cambridge Histories Online Cambridge University Press, 2008
Feofan the Greek (its trefoil roof line is now concealed under a superimposed
eight-sloped pitched roof). Having worked in Constantinople and Black Sea lit-
toral cities, Feofan brought to Novgorod the emotionalism and humanity asso-
ciated with Hesychasm and South Slavic inuence then penetrating the Rus
lands. His painting, in a new monochromatic palette with dramatic highlights,
was intense, subjective and emotional. Icon painting reached similar heights,
exhibiting a serene, almost naive simplicity. Line and silhouette dene the
subject two-dimensionally; the painting style is straightforward, using a bright
palette of reds, yellows, blues and greens. Locally favoured saints Elijah,
Blaise, George, Paraskeva, Florus and Laurus were frequently depicted, often
with small representations of the patrons added.
The Grand Duchys cultural and ideological activity in the fourteenth
century was less cohesive than Novgorods, betting its regional diversity and
relative youth as a state. The Grand Dukes were nevertheless assiduous in cul-
tivating their political status by skilful use of titles, ceremony and diplomatic
language in the idiom of the European powers with which they corresponded.
Local chronicles were probably being compiled in Smolensk, Polotsk, Slutsk,
Pinsk, Novogrudok, Kiev and other centres in this century, and by the death
of Vytautas in +,o a large chronicle codex of Lithuanian history was being
assembled at the bishops court at Smolensk to legitimise Gediminid power.
Thereafter followed numerous chronicle and genealogical compositions to
ground the dynasty in ancient heritage and to celebrate its achievements.
45
Meanwhile cultural endeavours followed Rus Orthodox traditions in most
parts of the Grand Duchy. The local dialect of East Slavic remained the ocial
language of the Grand Duchy until it was displaced by Polish in the seven-
teenth and eighteenth centuries; legal traditions were maintained, as evidenced
by the copying and transmission of Kievan and Byzantine ecclesiastical and
civil law codes. Religious cultural expression is represented by an illustrated
psalter executed in Kiev for the bishop of Smolensk in +,,- and the copying
of homiletic compositions and hagiographical compendia such as the Kievan
Paterikon. It discounts the achievement of the Lithuanian Grand Dukes to
portray this cultural toleration as the passive reception by pagans of a more
superior culture. The Gediminids could as easily have patronised a European-
based political discourse or cultural idiom, given their international contacts,
but chose the strategy of maintaining the Rus tradition to maintain stability
and to counterbalance the lure of Polish and Catholic inuences. At the same
time the Rus tradition grew and changed in the rich cultural atmosphere of
the Grand Duchy, with Lithuanian and Polish political, social and cultural
inuences. Separate Belarus and Ukrainian languages developed by the four-
-,o :c snirirs koii:
45
Priselkov (+,oa); Khoroshkevich (+,s.); Ulashchik (+,s); Rowell (+,,), ch. ..
Cambridge Histories Online Cambridge University Press, 2008
teenth or fteenth century (dates are disputed), reecting the separate histor-
ical experiences of these lands within the Grand Duchy and kingdom of
Poland. New political and social structures developed, particularly after the
dynastic Union of Krevo with crown Poland (+,s).
In the north-east, cultural developments followed patterns similar to those
of Novgorod. South Slavic inuence penetrated, exemplied by icons, fres-
coes and literature, especially the works of Epifanii the Wise, a widely trav-
elled and cultured Russian monk of the Trinity-St Sergii monastery who lived
at the turn of the century. He exemplied an ornate word-weaving style and
emotional expressiveness in his Lives of Sergii and Stefan of Perm. Contacts
with Byzantium, Bulgaria and Serbia were frequent in the exchange of travel-
lers, artists, icons and especially books. From Serbia and Bulgaria, translated
Byzantine works of hagiography, liturgy, homiletics, history a major missing
category was theology were brought to Novgorod and north-east Rus. The
second half of the century in north-east Rus was an era of spiritual
eorescence, epitomised by Sergii of Radonezh. Founder of the Trinity mon-
astery in the +,,os or +,os, Sergii until his death in +,,. inspired followers
with an asceticism, mysticism and ethereal spirituality characteristic of
Hesychasm. His model was enshrined in the monasteries founded by students
or admirers: the Saviour monastery founded by Dmitrii Prilutskii in +,-+, those
founded by Kirill and Ferapont in the Beloozero area in +,,- and +,,s, and
numerous others, as Moscow-based monks both followed and led Muscovite
expansion to the north and east.
Building projects provided the arena for much cultural activity. New
churches were constructed in stone, not to speak of wood, at a blistering pace
in the fourteenth century: the Kremlin ensemble saw the construction of over
ten stone buildings or fortications from +,.o to +,,-. New monasteries were
founded: the Miracles monastery in the Kremlin in +,os, the Saviour-
Andronikov about +,oo, the Simonov in +,-o, and the Kremlin Ascension
convent in +,so. The apanage prince of Galich ornamented his capital at
Zvenigorod with a stone Dormition Cathedral in +,,, and a stone Church of
the Nativity of the Virgin in the new (+,,s) Savva-Storozhevskii monastery in
+o. The founding of the Saviour-Evmii monastery in Suzdal in +,. and
a stone kremlin in Nizhnii Novgorod in +,-. similarly reect the ambitions of
local princes. In Tver from the +,,os to +o,, Bishop Arsenii founded mon-
asteries and sponsored book production, commissioning a copy of the Kiev
Paterikon. In the +,os Metropolitan Feognost invited a group of Greek paint-
ers to Moscow to decorate new churches in the Kremlin and elsewhere, Greeks
who in turn spread their ideas to native painters. Feofan the Greek painted in
virtually all the Kremlin churches in the +,,os; a brilliant Russian painter,
Andrei Rublev, in the early decades of the fteenth century painted in the
The principalities of Rusin the fourteenth century -,+
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Kremlin churches, in the Vladimir Dormition Cathedral, in Zvenigorod (an
exquisite Deesis tier) and at the Saviour-Andronikov monastery. Rublev pro-
duced his masterpiece Old Testament Trinity as the patron icon for the cathe-
dral of the Trinity-St Sergii monastery.
Political aspirations were often expressed in the medium of art, architecture
and literature. The building projects of the Kremlin, Nizhnii Novgorod and
Zvenigorod, cited above, promoted their princes status, as did the much
earlier +.s construction of a stone cathedral in Tver. The Tver princes
indeed were active in turning cultural life to political use. Regular compilation
of historical materials was started there by +.s, culminating possibly in a
codex of +,o (some attribute this codex to Vladimir and date it +,oo/-) and
certainly in the codex of +,.-. Tver put hagiography to political use; immedi-
ately after the murder (by a Moscow prince in Sarai) of Grand Prince Mikhail
Iaroslavich in +,+s, he became locally venerated as a saint and his life was eulo-
gised in a tale that was reworked in the fteenth century into a hagiography.
Further grand-princely chronicle codices trace the aspirations of other politi-
cal centres in north-east Rus. After the +,.- Tver codex, Moscow, its succes-
sor to the title of grand prince of Vladimir, produced major codices in +,o
and +, or +,,. The ambitious grand princes of Suzdal-Nizhnii Novgorod
did likewise in +,s,. But these chronicles were still regional in focus; only in
Moscow in the +,,os, and even more fully in the Trinity Chronicle (+os), com-
piled at the metropolitans court, were assembled annals that aspired to be all-
Rus that is, that included materials from many Rus lands and thus
expressed a broader political self-conception than had been previously dis-
played.
46
Pride of place clearly goes to Moscow in wielding the tools of art and liter-
ature to enhance political status. As suggested, the cult of Metropolitan Peter
is exemplary. Peter held to a broad vision of Orthodoxy in his long career and
was justly venerated by many political centres in the north-east after his death.
His miracles were recorded and his Life was written (most attribute it to Bishop
Prokhor of Rostov); he was ocially canonised in Constantinople in +,,,, a
rapid step in the Orthodox tradition which tended not to canonise as formally
as did the Catholic Church. In the late fourteenth or early fteenth century
Metropolitan Kiprian rewrote in the new style and expanded Metropolitan
Peters Life, turning the events of Peters life into an apologia for his own trials
and tribulations in trying to steer a course between Moscow, Tver, the Grand
Duchy and the patriarch. Metropolitan Peter was depicted on a sakkos of
Metropolitan Fotii (+os,+); churches and icons were dedicated to him in the
rst half of the fteenth century in Tver and Novgorod. But Moscow was
-,. :c snirirs koii:
46
Nasonov (+,,o); Lure (+,-o); Muraveva (+,s,).
Cambridge Histories Online Cambridge University Press, 2008
fast co-opting the cult of Peter for its own purposes. Peter was depicted in
icons, his grave was embellished and venerated, and he became revered as a
Moscow miracle worker,
47
one of a group of four metropolitans closely asso-
ciated with the Moscow grand-princely dynasty.
The beginnings of eorts to depict Moscow as the symbolic and religious
heir to the grand principality of Vladimir began in this century as well.
Evidence includes the dedication of Moscows principal cathedral to the same
theme as the Dormition Cathedral in Vladimir, seat of the grand princes and
metropolitan in the twelfth and thirteenth centuries; the temporary transfer in
+,, from Vladimir to Moscow of the revered Vladimir Mother of God icon
(a twelfth-century Byzantine work brought to Kiev in ++. and to Vladimir in
++); the restoration of eleventh- and twelfth-century churches in Vladimir
and Pereiaslavl-Zalesskii, including Rublevs repainting of the frescoes in the
Vladimir Dormition Cathedral in +os. All these eorts were sponsored by the
grand princes of Moscow.
More problematic is the issue of Moscows claim to be heir to the Kiev
grand principality. The assertion that Moscow claimed this legacy as self-con-
scious representative of the Russian people is associated in part with a cycle of
tales concerning the +,so Kulikovo battle, tales which some have dated to the
+,,os, others to the mid- and late fteenth century.
48
Those tales that can most
readily be dated to the late fourteenth century indeed make analogies between
Muscovite rulers (Dmitrii Donskoi in particular) and counterparts from Kiev
Rus, and they do use the term the Russian land (Russkaia zemlia) to refer to
the Moscow principality (in Kievan sources the term was used for the heart-
land around Kiev and/or all the territory ruled by the Riurikide dynasty). In
addition, since the time of Ivan I Kalita (+,.o) Muscovite grand princes
had been adding the phrase of all-Rus to their titles, emulating the metropol-
itans.
49
But these were tentative beginnings: the reality of power, and most
ideological statements concerning the authenticity of Moscows power, had to
do with the grand principality of Vladimir. Moscows claim to the Kievan
inheritance belongs to the next century, and its signicant achievements
in establishing regional political power were not merely the predeter-
mined fullment of national destiny pace Kliuchevskii, who argued that the
Great Russian people rallied around Moscow because they realised they
needed a strong ruler
50
but rather products of specic historical tensions and
conjunctures.
In sum, by the end of the fourteenth century the Rus principalities were
The principalities of Rusin the fourteenth century -,,
47
Stkl (+,s+).
48
Likhachev (+,-,), ch. .; Pelenski (+,--) and (+,s,); Salmina (+,oo), (+,-o), (+,-) and (+,--).
49
Szeftel (+,-,).
50
Kliuchevskii (+,os), ii, pp. o-.
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being forged into larger and dierent cultural entities: the empires of Lithuania
and Muscovy, the colonial republic of Novgorod, the ambitious Tver. Rich
possibilities for change were nurtured by the dynamic economy and interna-
tional contacts of the region; for the Grand Duchy and its subordinate lands,
interactions with the Teutonic Order, Baltic trading partners and particularly
the kingdom of Poland brought potent cultural paradigms to mix with
Lithuanian and Rus traditions. For Muscovy Rus and Orthodox traditions
adapted to a markedly dierent political, social and economic constellation
than Kiev Rus had faced. The fourteenth century was the era in which the
putative unity of the Rus heritage was destroyed and these lands were set on
new and vibrant political and cultural directions.
-, :c snirirs koii:
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cn:r+rr .
THE BYZANTINE EMPIRE IN THE
FOURTEENTH CENTURY
Angeliki E. Laiou
i the course of the fourteenth century, Byzantine society underwent a series
of major changes, in some ways similar to those in western Europe, in other
ways quite dierent, and complicated by the presence of external threats that
progressively led to the dissolution of the state and the conquest of its terri-
tory. While economic, social and cultural developments show considerable
vitality, the weakness of the state, radically reducing its ability to provide order
and security for its subjects, could not but inuence the dynamic of other
developments. Innovation, in practice more often than in theory, was not
lacking; on the contrary, the responses to new conditions often present inter-
esting if contradictory aspects.
For political history, a new era begins not with the start of the century but
rather with the recovery of Constantinople from the Latins by a small expe-
ditionary force of Michael VIII Palaeologus, emperor of Nicaea since +.s.
This event, which occurred on . July +.o+, had been long desired by the
leaders of the major Greek splinter states, the emperors of Nicaea and the
despots of Epirus, and it had certainly been prepared by Michael VIII.
1
The
restoration of a Byzantine emperor in the old capital of the empire had
certain important consequences. For one thing, it displaced the focus of
interest of the rulers from Asia to Europe, as they had to deal with western
claims. The papacy, Charles of Anjou, the house of Valois and the Venetians
all became engaged in various eorts to retake Constantinople, so that there
was hostility between Byzantium and at least one western power at almost
any time between +.o+ and +,+; in +.s+, as in +,os, powerful coalitions
were aligned against Byzantium. These were deected, in Michaels day, by
masterful diplomacy as well as by a major concession on his part. This was
the acceptance, by the Byzantine emperor, of ecclesiastical union with the
Church of Rome. The Union of Lyon (+.-) was undertaken in order to
-,
1
Geanakoplos (+,,), pp. -, for the recovery of Constantinople.
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defuse the imminent danger of an attack by Charles of Anjou and his Balkan
allies, and it succeeded, since the papacy forced Charles to abandon his plans
for a time. When, in +.s+, Martin IV decided that Michael VIII had not really
implemented the union and gave full support to Charles of Anjou, Michaels
diplomacy again came into play; he negotiated with the king of Aragon and
others, contributing signicantly to the attack of Aragon on Sicily, occa-
sioned by the Sicilian Vespers. Diplomacy as well as good luck allowed his
immediate successors also to survive the western threat. But, even as con-
tacts between Byzantines and westerners became closer, through the mar-
riage alliances of the imperial house, through diplomatic negotiations and
because of the presence of Italian merchants, the threat of a western
oensive kept the emperor occupied in Europe. So also did the eort to
create a compact state by recovering the European territories which had
been lost at the time of the Fourth Crusade. The results for Asia Minor were
disastrous. The most thoughtful historian of the times, George Pachymeres,
had this situation in mind when he reported the words of the protasekretis
Kakos Senachereim who, upon learning of the reconquest of
Constantinople, pulled at his beard in dismay and cried, Oh, what things I
hear! . . . What sins have we committed, that we should live to see such mis-
fortunes? Let no one harbour any hopes, since the Romans hold the City
again.
2
This, then, is a rst contradiction of the Palaeologan state, from the begin-
ning of the dynasty until about +,+. The recovery of Constantinople, con-
sidered a divine gift by Michael VIII,
3
forced the empire into political,
diplomatic and ideological positions which were often untenable.
Anachronistic voices spoke of the universal emperor, and the rst three
Palaeologi tried to restore the unity of the geographic space, by restoring at
least the European frontiers of the Byzantine empire. But no shadow of uni-
versality remained, and geographic integration ran counter to long-term
decentralising tendencies, evident in the late twelfth century and exacerbated
by the Fourth Crusade. The westerners kept part of their possessions in the
principality of Achaia and the islands, while the Greek splinter states of the
despotate of Epirus and Thessaly still retained their independence. The
empire of Trebizond was the other Greek splinter state, although its geo-
graphic remoteness did not involve it in the power struggles for the recovery
of the old Byzantine empire. Non-Greek states, Serbia and Bulgaria, had also
become independent, and Serbia in particular was to witness a great expansion
-,o :criiki r. i:iot
2
GP, ed. Failler, p. .o Bk. ii, .s,; cf. ibid., pp. . Bk i, +..
3
Grgoire, Imperatoris Michaelis Palaeologi De Vita Sua, especially p. -; cf. GP, ed. Failler, Bk
i, +.
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in the course of the late thirteenth and the rst half of the fourteenth century,
aided by nancial resources which became available through exploitation of
the silver mines at Novo Brdo and elsewhere. Michael VIII tried to make
reality conform to ideological imperatives. He fought against the principality
of Achaia, rather successfully, and against the Venetians in the Aegean, and
tried to reduce the independence of the despotate of Epirus. In Bulgaria, he
scored successes with the recovery of some of the Greek-speaking cities of
the Black Sea coast, important outlets for the grain which was necessary for
the provisioning of Constantinople. At the same time, Michael VIII contin-
ued the policy of alliance with the Mongols, rst begun by the emperors of
Nicaea. The alliance with the Ilkhanids of Persia, especially Hulagu, was a
defence against the Turks, and was continued by Andronikos II, who tried to
seal it with a marriage alliance. Michael VIII also made a marriage alliance with
the Mongols of the Golden Horde, in the person of Nogai, as a defence
against Bulgaria. This, coupled with an alliance between Michael and the
sultan of Egypt (Baybars), opened lines of communication between Egypt
and the Crimea, from which the Egyptian sultans got their Cuman slave
troops. A remote eect, intended or not, was to facilitate the Egyptian con-
quest of the last crusader outposts in the Holy Land.
4
The successes of Michael VIII have given him a rather good press, as a con-
summate diplomat who was able to retain Constantinople against multiple
threats, and to enlarge the possessions of his state. At the same time, the cost
was heavy and long term. The policy of union was bitterly contested at home,
and was soon repudiated by his successor. Worst of all was the disaection of
Asia Minor. Michael had reached the throne through deposing and blinding
young John IV Laskaris, ospring of a dynasty which had been based in Asia
Minor, and grandson of John III Vatatzes (+...), a much loved emperor,
whom the people of Asia Minor considered a saint. The Laskarid dynasty had
followers in Asia Minor who were dicult to conciliate; so did the patriarch
Arsenios, deposed in +.o for having excommunicated Michael after the blind-
ing of John Laskaris. The policies of the Laskarids, focused on the defence of
Asia Minor, were not continued by Michael VIII; indeed forces were with-
drawn from there to ght wars on European soil.
5
The emperor did not even
visit the province until the end of his reign. Asia Minor was neglected, heavily
taxed and suered from Turkish attacks. By the end of Michaels reign, the
sources speak of depopulation and impoverishment, calling the area beyond
the Sangarios river a Scythian desert. The situation was to deteriorate rapidly
after +.s..
6
The Byzantine empire in the fourteenth century -,-
4
GP, ed. Failler, Bk iii, ,; Bk iii, ; GP, ed. Bekkerus, ii, pp. so- Bk i, ,..
5
GP, ed. Failler, p. ,, Bk i, o.
6
Ibid., Bk iii, ..; p. o,, Bk \i, .,.
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stccrssrs :r coriic+s ( +.s.+,+)
Political aairs
Despite these problems, the immediate heirs of Michael VIII had some suc-
cesses. This is a time of signicant contradictions: between the ideology of
government and actual government, between a progressive impoverishment
of the state and the wealth in some segments of society, in the ambivalent rela-
tions between Byzantium and the west. Many of these contradictions exploded
in the great civil war of +,+, which left Byzantium a greatly altered state
in a changed world.
Andronikos II (+.s.+,.s) and his successor, Andronikos III (+,.s+),
shifted once again the centre of their interest, from western Europe to Asia
Minor and the Balkans. Yet they had to retain close diplomatic relations with
western Europe, primarily to ward o an attack and secondarily to seek aid
against the Turks. On the whole, there is a shrinkage of the areas of interest
and involvement in terms of foreign policy. Here the major successes of
Byzantine policy were with regard to the splinter states of Greece: Thessaly,
which was acquired piecemeal in +,,,, and Epirus, where the city of Ioannina
accepted Byzantine overlordship in +,+s, and the rest of the despotate in +,o.
In the Peloponnese, the process of reconquest proceeded throughout this
period; after +,,, the Byzantine possessions, organised as the despotate of the
Morea, became one of the most vital parts of the state.
Relations with western Europe were successful as far as the rst objective is
concerned: there was, in fact, no major expedition against the Byzantine
empire. The reduced Byantine diplomatic activities centred around eorts to
thwart any coalition of forces that might attack the empire; that is, to make alli-
ances with Ghibelline forces. Matrimonial policy served this purpose, as
Andronikos II took as his second wife Yolanda/Irene of Montferrat, whose
father was allied to Castile, and Andronikos III married Anne of Savoy, daugh-
ter of Count Amedeo V. For the rest, Andronikos III had even less close rela-
tions with the west than did his grandfather Andronikos II, although the
penetration of individual westerners, of western customs and of Venetians
and Genoese into the empire continued apace. The second aim, an alliance
against the Turks, was not successful, for it hinged upon the union of the
Churches, discussions on which took place under Andronikos II, after +,.,
Andronikos III and John VI Kantakouzenos (+,-), but foundered upon
the divergent interests of the papacy and the Byzantine emperors.
The situation in Asia Minor became the nemesis of the Byzantines. The area
rapidly fell into the hands of the Turks, especially after the Byzantine defeat at
the battle of Bapheus, near Nicomedeia (+,o.). Andronikos II made a number
-,s :criiki r. i:iot
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of eorts to remedy the situation, and for a short time, in +.,, the campaigns
of the great general Alexios Philanthropenos raised hopes. But he was
opposed by powerful landlords in the area, was pushed into an unsuccessful
rebellion, and his successes were short-lived. The countryside was rapidly
brought under Turkish control, and one by one the cities were starved into sub-
mission. The Ottomans took Brusa (Bursa) in +,.o, Nicaea in +,,+ and
Nicomedeia in +,,-. Further south, Ephesos, Smyrna, Miletos, Sardeis and
Tralleis fell to the Seljuk emirates in the rst decade of the century.
Philadelphia and its immediate region remained as the sole Byzantine posses-
sion, until +,,o.
7
Andronikos III waged several campaigns in Asia Minor, to no
avail. More importantly, after +,.,, Andronikos III and, later, John
Kantakouzenos had close relations of friendship and alliance with the emir of
Sarukhan and with Umur, emir of Aydn. Directed originally against the
Genoese lords of Phocaea and Lesbos, this became a more general alliance, in
the course of which the Byzantines recognised the Seljuk conquests in Asia
Minor.
The realities of government
Despite ideologically driven claims of an all-powerful emperor, in reality
government became increasingly weak, and its authority and prerogatives frag-
mented. In the fourteenth century, the business of government was primarily
connected with the collection of taxes, the army and justice. State nances
were being eroded by the high cost of pervasive warfare and dwindling
resources. For one thing, imperial territories were much more restricted than
during the twelfth century, and Asia Minor was lost during this period, so rev-
enues from the land tax were commensurately reduced. War, invasions and
inclement weather sometimes made it impossible to collect taxes. Secondly,
this was a state and a society administered by privilege. The privileges granted
to the aristocracy further eroded the tax base, while treaties with Italian city-
states incorporated commercial privileges to their merchants that considerably
reduced the benets accruing to the state from the very active commercial
exchanges in this part of the Mediterranean. Some Byzantine merchants,
namely those of Ioannina and Monemvasia were successful in obtaining
similar privileges, which, although they worked to their benet, had a detri-
mental eect on the state treasury.
8
The government made some eort to over-
come these scal diculties: after +.s,, a series of new and extraordinary taxes
The Byzantine empire in the fourteenth century -,,
7
Ahrweiler (+,s,), pp. +-,-, on Philadelphia.
8
Miklosich and Mller, Acta et Diplomata, \, pp. --s, on the privileges of Ioannina issued in +,+,;
for those of Monemvasia, Schreiner (+,-s), pp. .o,.s, and (+,s+.), pp. +ooo; Laiou (+,so+),
pp. .oo-; Kalligas (+,,o), pp. +o+,.
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I
4
A N G E L I K I E. L I OU The Byzantine empire in the fourteenth century
B L A C K SEA
Ankara
Cephalonia f
Countyof Cephalonia
(from1357undBt
the Tocchi)
I I Byzantine territory c 1340
Byzantine territory c 1350
Byzantine territory c 1402
l\\
x
^1 Duan conquests after 1340
'II III Bulgarian conquests in 1344
Turkish territory c 1350
Turkish conquests 1354-1402
Venetian possessions
Venetian fiefs
Genoese possessions
Angevin possessions
Catalan possessions
' Cengo N
\ (Ven1363l \
MEDITERRANEAN \ *>Ceigmo \
I i Possessions of the duchy of
Naxos (archipelago)
Fiefs of NaxoslAmorgos,
Thermia)
Possessions of the
Hospitallers (Corinth14004)|
(j) 100 miles
Map 17 The Byzantine empire in the 1340s
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was introduced, although the hard-pressed peasantry was not always able to
pay them. Excise taxes on salt and iron were also levied, in the early fourteenth
century, and were much resented. Heavy taxation resulted in annual revenues
of +,ooo,ooo gold coins by +,.+; a small sum (Michael VIII had seven times
that much), and also a deceptive one, since a civil war, which started in +,.+,
made the collection of taxes problematic indeed. Other measures were also
taken: in order to help pay the high fees of Catalan mercenaries, Andronikos
II temporarily stopped the payment of palace ocials and soldiers, while in
+,,, during the rst stages of the great civil war, the empress and regent Anne
of Savoy mortgaged the crown jewels to Venice for a loan of ,o,ooo ducats.
The jewels then became a pawn in diplomatic games, as the Venetians tried to
negotiate their return against political concessions of some magnitude.
9
The devaluation of the coinage was in part the result of the same scal
problems, and also a short-term remedy for the emptiness of imperial coers.
The successive deterioration of the gold coin (from +- carats in +.,ooo to
less than ++ carats by the middle of the fourteenth century) has been linked to
specic scal crises, occasioned in turn by military problems.
10
Sometimes,
indeed, the emperors could not meet their military expenses in coin and had
to use unminted gold.
11
The issue of gold coins stopped for good at some
point between +, and +,oo, partly, perhaps, because of a general movement
of gold toward western Europe, but undoubtedly also because the state could
not sustain a gold coinage any more. Venetian ducats as well as silver coins
appear frequently in Byzantine documents of the late Palaeologan period; it is
likely that people preferred them to Byzantine issues.
The Palaeologan armed forces, especially native troops, were quite small. In
+.s, the navy was dismantled, since it was expensive, and the death of Charles
of Anjou seemed to reduce the threat from the sea. This was a disastrous
measure, much deplored by perceptive contemporaries and by people writing
in the middle of the century.
12
While small eets were built again in the +,,os
and +,os, the fact remains that for all intents and purposes the Byzantines had
abandoned the eet, and with it the possibility of guaranteeing the security of
the seas in the Aegean and even around Constantinople itself; as for the Black
Sea, for centuries a closed preserve of the Byzantines, it was dominated by the
Italians. Their eets sailed freely in all these waters. By +,s the city of
Constantinople itself was wide open to attack by the Genoese, and it took a
special levy to create a eet for its defence; not a very successful defence either.
so. :criiki r. i:iot
9
Laiou (+,-.), pp. +so-, on Andronikos II; for the crown jewels, Bertel (+,o.), ii, pp. s-+ss.
10
Morrisson (+,,+), ii, pp. ,os, for the monetary system of the Palaeologan period.
11
E.g. Laiou (+,-.), p. +s,.
12
GP, ed. Bekkerus, ii, pp. o,-+ Bk i, .o; ,.. Bk i\, .,; ,o, Bk \i, .o; Gregoras, i,
pp. +-o Bk \i, ,; .os, Bk \i, ++; ii, pp. soo- Bk \ii, -.
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Piracy also went unchecked. The piratical expeditions of the Seljuk maritime
emirates could not be countered by the Byzantines, nor could the detrimental
eects on the islands of the Aegean.
13
When, in the +,,os, the Byzantines dis-
cussed with western powers a response to these raids in the guise of a crusade,
the Byzantines took a good deal of time to arm twenty ships which, however,
never participated in the enterprise, for reasons that are not known.
14
As for the army, native forces were small, while recourse to other expedients
was very expensive. The native forces were in part composed of pronoia-
holders. The pronoia is an institution which goes back to the eleventh century,
and consists of the grant of land and its revenues in return for service, espe-
cially military service since the time of the Komnenoi. Michael VIII, in his
eorts to gather support for himself, allowed some pronoia lands to become
hereditary, and also gave such lands to members of the senate. By the four-
teenth century, one can nd military pronoia-lands in the hands of two quite
distinct groups: the aristocracy, who might have some of their holdings in
pronoia-land, and soldiers of a lower social and economic level, who, at the
lowest strata, might even hold these revenues collectively.
15
The civil wars of
the +,.os and the +,,os increased the number of pronoia grants, since rival
emperors were engaged in a competition for supporters; the emperors also
increasingly gave these lands, or part of them, in hereditary possession which
undermined the military eectiveness of the restitution.
Other troops were paid in cash. These can no longer be considered as con-
stituting a standing army, since they served occasionally, and on particular
campaigns. There may have been an unsuccessful eort to create a standing
army in +,.+, to be composed of +,ooo horse in Bithynia and .,ooo in
Macedonia and Thrace; the small numbers are noteworthy.
16
For the rest, the
soldiers paid in cash were mostly mercenaries.
17
Occasionally, they were Greek
speakers, such as the Cretan mercenaries in Asia Minor in the late thirteenth
century. Much more frequently they were foreign troops, sometimes pre-
formed. The use of foreign mercenaries, known since the eleventh century,
became more frequent in the Palaeologan period. Italians, Alans, Catalans and
others served in the Byzantine army. The dangers inherent in the use of such
foreign mercenary troops were realised in Byzantium no less than in four-
teenth-century western Europe. What did not frequently occur was an eort
on the part of leaders of mercenaries to take over the government, as was to
happen in Italian cities. Only once did a comparable situation develop. To deal
with the disastrous situation in Asia Minor, Andronikos II called in a group
The Byzantine empire in the fourteenth century so,
13
Zachariadou (+,s,b), pp. .+...
14
Laiou (+,-o), pp. ,-,..
15
Oikonomids (+,s+), pp. ,o--+.
16
Gregoras, i, pp. ,+-s Bk \iii, o; .., Bk \ii, ,.
17
Bartusis (+,,.) and Oikonomids (+,s+), pp. ,,-+, for the army.
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of Catalan mercenaries, under Roger de Flor, to ght against the Turks. Soon,
the Catalans developed an interest in acquiring territory, and formed ties with
the kings of Sicily and Aragon, and later with Charles of Valois. They were a
great threat to the state, but eventually they moved on, conquered Thebes and
Athens (in +,++), and set up a Catalan duchy, which lasted until +,ss.
When all else failed, and when stakes were high, the emperors had recourse
to a much more dangerous expedient: the use not of mercenaries, but of the
troops of allied foreign rulers. The rst half of the fourteenth century saw two
civil wars, which involved a contest for power between two rival emperors: one
from +,.+ to +,.s and the other from +,+ to +,. Both sides appealed to
foreign troops: Serbs and Bulgarians on the rst occasion, Serbs and Turks on
the second. The results were catastrophic.
The administration of justice had always been an imperial prerogative in
Byzantium. Unlike medieval western Europe, where judicial authority had
been fragmented and passed, variously, to the Church, to seigneurial lords or
to the towns, in Byzantium until the Fourth Crusade, justice was in the hands
of the state, and was administered in imperial courts. The emperor functioned
not only as the legislator but also as the ultimate judicial authority, guarantee-
ing good justice and acting as a judge, both on appeal and sometimes in the
rst instance. True, Alexios I Komnenos (+os++++s) had given ecclesiastical
courts the right to judge all matters involving marriage.
18
True, also, the prin-
ciples of imperial justice were eroded in the late twelfth century, because of
privileges granted to western merchants. Still, the real changes came after the
Fourth Crusade, in the despotate of Epirus, and in the Palaeologan period.
The emperor retained his legislative role, although occasionally we nd synod-
ical or patriarchal decisions being issued as imperial legislation.
19
Justice,
however, although ostensibly in imperial hands, became considerably frag-
mented and decentralised in the course of the fourteenth century. The Italian
city-states, primarily Venice and Genoa, sought and received extra-territorial
privileges which gave them the right to be judged by their own courts, even in
cases involving Byzantine subjects, if the defendants were Italian.
20
In another
development, patriarchal courts judged all manner of cases involving laymen,
especially before +,,o and after +,,, when imperial tribunals malfunctioned;
by the end of the century, it was quite common for the patriarchal tribunal to
judge even cases involving commercial law. No wonder that, along with a
manual of civil law, compiled by a learned jurist in Thessaloniki in the +,os
(the Hexabiblos, of Constantine Harmenopoulos), we also have a compendium
of civil and canon law together (the Syntagma of Vlastares, compiled in
so :criiki r. i:iot
18
JG, i, p. ,+..
19
Ibid., ,,.
20
Miklosich and Mller, Acta et Diplomata, iii, pp. s+, ,.; DVL, i, Venice, no. so.
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Thessaloniki in +,,). The role of ecclesiastics in the judicial system is
indicated also by their participation in the highest tribunal of the Palaeologan
period, that of the general judges of the Romans. Established by Andronikos
III in +,.,, it was an imperial court, originally consisting of three laymen and
a bishop, and was invested with its authority in a solemn ceremony in the great
church of Haghia Sophia. Characteristically, although originally the tribunal sat
in Constantinople and its authority extended throughout the empire, soon
there were general judges of the Romans in the provinces; in Thessaloniki as
early as the +,os, perhaps in Lemnos in +,,, certainly in Serres during the
Serbian occupation, in the Morea, as well as in the empire of Trebizond.
21
Developments in nances, justice and the army show a dynamic between the
state, in the traditional Byzantine sense of a central government, and regional
forces or particular groups which were agents of decentralisation. The central
government retained the formal right to levy taxes, to appoint army command-
ers, to reform justice and appoint judges. At the same time, taxes tended to dis-
appear into the hands of regional governors, while army commanders often
acted on their own, easily sliding into open rebellion; the pronoia-holders,
although they held their privileges from the emperor, were not easy to control,
and their very privileges resulted from and fostered a particularisation of
nances and of military power. As for justice, that too was in some ways decen-
tralised. If one is to compare the situation to western Europe, it is much closer
to the eleventh or twelfth centuries, not to the fourteenth when states were
engaged in the process of recovering a control long lost over nances, the
army, justice. In important ways, then, the government in the Byzantine empire
was undergoing a transformation quite dierent from that of parts at least of
western Europe. It was not necessarily negative, but for the force of external
circumstances.
Social groups and social relations
Palaeologan society was more structured than at any other time in the history
of the Byzantine empire. The aristocracy emerges as a group with consider-
able power and a high degree of consciousness of its social position, while at
the same time, and continuing until the end of the formal existence of the
state, merchants hold an important economic position and, for a moment, lay
claim to political power. These groups prospered economically, certainly until
the +,os.
22
The Byzantine empire in the fourteenth century so
21
Lemerle (+,s), (+,,), (+,o) and (+,o) on the judicial institutions of the Palaeologan period.
22
Laiou (+,-,) and (+,,+) on the aristocracy; on Palaeologan society, see also Maksimovic (+,s+) and
Matschke (+,s+) and (+,,+).
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The development of the Byzantine aristocracy has a long history, in some
ways continuous since the tenth century. When the throne was captured by two
of the most powerful families (the Komnenoi and the Doukai) in +os+, some
important features were consolidated, and continued into the fourteenth
century. By then, this was an aristocracy dominated by a few families, linked by
intermarriage: their numbers were fewer than in the twelfth century, but most
of them could claim descent from the twelfth-century aristocracy, and those
in the highest ranks could name at least one ancestor of imperial stock. Many
aristocrats (and the wealthy generally) had ed Constantinople at the time of
its capture in +.o to go to Nicaea. There, their power and inuence had been
somewhat challenged by the policies of John III Vatatzes and Theodore II
Laskaris (+.s). The rst had initiated a policy which made some of the
army independent of imperial (mostly aristocratic) commanders, and even
issued sumptuary laws directed against the aristocracy,
23
while the second had
appointed as regent for his young son George Mouzalon, who, with his broth-
ers, can appropriately be termed the kings men: men from a relatively humble
background, who owed their power and loyalty only to the dynasty.
24
The
power of kings men was brought to a bloody end when a conspiracy of aris-
tocrats, led by Michael Palaeologus, murdered them. In the fourteenth century,
men who did not initially belong to the highest aristocracy but became power-
ful through oce, civil or military, tended to acquire social prestige by marry-
ing high, and only the most status-conscious person, such as the empress
Yolanda/Irene of Montferrat could nd fault with their social origins.
25
The
most important exception to this statement is Alexios Apokaukos, who pro-
gressed from tax collector to megas doux (commander of the eet). A kings man
in some respects, he followed a policy which pitted him against the most vocal
representative of the aristocratic class, John Kantakouzenos, and was never
considered by that class to be anything but a parvenu.
26
One signicant dierence between this high aristocracy and that of western
Europe was that the Byzantines did not have a nobility. There were no ocial
prerogatives, no ocial rights and derogations, no privileges legally guaranteed
to a specic class and passed from one generation to the next. Undoubtedly, there
were attitudes which could eventually have led to the creation of a nobility. High
soo :criiki r. i:iot
23
Gregoras, i, pp. . Bk ii, o.
24
It should be noted, however, that George Mouzalon married a Kantakouzene, who, after his death,
remarried, and is well known as the protovestiarissa Theodora Palaeologina Kantakouzene Raoulaina:
Nicol (+,os).
25
Reference is to Nikephoros Choumnos, whose daughter Irene married John Palaeologus, and to
Theodore Metochites, whose daughter married a nephew of the reigning emperor, Andronikos II.
It was to the marriage of Irene Choumnaina with her son that the empress Yolanda western-born
and not of the highest ancestry herself objected: GP, ed. Bekkerus, ii, pp. .s,,o Bk i\, -.
26
See below p. s+,, and IC, Hist., i, pp. ++-+s Bk i, .,; ii, p. s, Bk iii, +; ii, p. .-s Bk iii, o.
Cambridge Histories Online Cambridge University Press, 2008
birth counted for a great deal: in the twelfth century, the Emperor Manuel I
Komnenos had legislated against msalliance;
27
and while in the fourteenth century
there was no such state control of marriages, nevertheless matrimonial alliances
were very carefully arranged. So much was intermarriage regarded as a feature of
the aristocracy, that one text dedicated to social reform, the Dialogue between the
Rich and the Poor of Alexios Makremvolites, proposed marriages between poor
and rich as a remedy for the ills and inequalities of society.
28
This suggestion also
indicates a certain opposition to the stratication of society and to the place of
the high aristocracy in it.
Aristocratic women played an important role in politics and society. They
were the medium through which alliances between aristocratic families were
made and, since they had property of their own, in the form both of dowry
and patrimonial property, they had considerable economic power. Names,
lineage, property and family connections were transmitted along the female as
well as the male line; and aristocratic women were as acutely conscious and
proud of their lineage as their male relatives. As in the twelfth century, the
administration of the family property seems to have been in the hands of
women; and although literacy may not have reached very low in the social scale,
some women of the high aristocracy were learned indeed, and patrons of lit-
erary men, scholars, theologians and artists. A number of women, mostly those
close to the imperial family, such as Theodora Raoulaina or the sister of
Michael VIII, or Theodora and Irene Kantakouzene (respectively, the mother
and wife of John Kantakouzenos), or Irene Choumnaina Palaeologina,
became actively involved in the political and religious controversies of the
period.
29
The aristocracy, both in its highest echelons and at lower levels, was less of
a Constantinopolitan group than it had been in the twelfth century. This was
partly the result of the rise of regional aristocratic foci of power. Thus the
KomnenoiDoukai in Epirus and Thessaly had formed independent states, as
did the Grand Komnenoi in Trebizond. There were other important regional
magnates, such as the Maliasenoi, the Gavrielopouloi, the Raoul in Epiros and
Thessaly, and a number of families in the Morea; many frequently opposed the
authority of the central government. Furthermore, with the reconquest of the
European provinces, the great families of the reconstituted Byzantine empire
acquired lands in Macedonia and Thrace. Typically, members of these families
might also be appointed governors of one of the areas in which they held their
properties, so that regional economic power and political authority were often
The Byzantine empire in the fourteenth century so-
27
Laiou (+,,.b), p. .
28
S
evcenko, Alexios Makrembolites, pp. .oo-. The author himself was of humble social origins:
S
evcenko (+,s).
Cambridge Histories Online Cambridge University Press, 2008
voluminous epistolography of the period shows, were teachers of the next gen-
eration (as was the case, for example, for Theodore Metochites and Nikephoros
Gregoras). Most, though by no means all, of the intellectuals came from the ranks
of the clergy, the aristocracy, the ocialdom as, more predictably, did their
patrons. These were people with a rst-rate classical education in Greek; some,
like the monk Maximos Planoudes and Demetrios Kydones, also knew and trans-
lated Latin. They were polymaths, who wrote on a large number of subjects,
including theology, mathematics, astronomy, geography. The latter was of partic-
ular importance in the late thirteenth and early fourteenth centuries: Planoudes
is responsible for commissioning the rst extant Ptolemaic Geography with the full
twenty-seven maps.
57
They were also editors and commentators of texts. Finally,
the period has considerable literary production, both in high Greek and in the
popular language. The great centres of intellectual life were Constantinople (until
the +,,os), Thessaloniki and Mystra. But smaller cities could also boast of intel-
lectuals, and artistic production of high quality may be found in the provinces.
The causes of this revival are multiple. The recovery of Constantinople was in
itself a stimulus, although there were highly educated people in the empire of
Nicaea.
58
Political vicissitudes also inuenced attitudes. The profound interest in
antiquity, responsible for classicising styles both in writing and in art, may well be
connected to new concepts of self-identication which included identication
with the Ancient Greeks, the Hellenes; this was already clearly evident in the late
twelfth century, when intellectuals posited a cultural identication with ancient
Greece, to contrast themselves to the westerners.
59
Patronage played an impor-
tant role. Emperor Andronikos II was deeply interested in intellectual matters,
and his most important ocials (Nikephoros Choumnos and Theodore
Metochites) were among the major scholars of the day. There was, also, still
sucient money to permit intellectual and artistic production.
Until the end of the reign of Andronikos II the imperial court functioned
as an important patron. Michael VIII called himself a new Constantine, and
he was the rst to invest in the rebuilding not only of the walls but of the city
which had greatly suered during the Fourth Crusade and the Latin occupa-
tion. The Deesis mosaic in Haghia Sophia is thought to have been made just
after the reconquest.
60
Members of the highest aristocracy, relatives of this
emperor and his successor, participated in the rebuilding, primarily through
the restoration and expansion of monasteries and churches; women were
s+s :criiki r. i:iot
57
This is the Cod. Urbinas Gr. s., lavishly illustrated, perhaps for Andronikos II. The other two oldest
such manuscripts, Seragliensis - and Fragmentum Fabricianum Graecum .,, are also attributed to
Planoudess activities: Harley and Woodward (+,s-), i, pp. +,+., .o,-o.
58
E.g. George Pachymeres was educated both in Nicaea and in Constantinople, under George
Akropolites who was educated in Nicaea.
59
Laiou (+,,+b), esp. pp. --s+.
60
On building activities in the early Palaeologan period, see Talbot (+,,,) and Ousterhout (+,,+).
Cambridge Histories Online Cambridge University Press, 2008
important patrons. The mosaics and frescoes of the period, both in
Constantinople and in Thessaloniki, were of the highest quality. Perhaps the
best among them are the mosaics and frescoes in the church of the Chora
monastery (Kariye Djami), the result of the patronage of Theodore
Metochites. It seems that building churches and palaces was considered an
important attribute of the aristocracy. The production of manuscripts also
ourished, again with some women as patrons.
Aristocratic patronage was also important in other parts of the fourteenth-
century Greek world, for example in Thessaly. By contrast, it has recently been
pointed out that in Thessaloniki and Macedonia much of the building was due
to ecclesiastical, especially episcopal, patronage.
61
The church of the Holy
Apostles in Thessaloniki was built by the Patriarch Niphon, while the monas-
teries of Mount Athos were also important centres of artistic activity.
Ecclesiastical patronage reects the increasing economic and political power
of the Church.
The period of the civil war and the crises of the mid-fourteenth century
brought about changes and a signicant reduction of activity, especially in the
production of art. Characteristically, when the great eastern arch and part of
the dome of Haghia Sophia collapsed (+,o), the impoverished John VI sought
money for its restoration from the Russians and from the inhabitants of the
city.
62
In the despotate of the Morea, the patronage of the court of the despot
was very active, and the superb frescoes of the Peribleptos date from the
second half of the century. Monumental mosaics, a much more expensive
medium, were not produced after the +,.os; the mosaics in the great eastern
arch, the two eastern pendentives and the dome of Haghia Sophia, completed
c. +,, constitute an exception.
The cultural and artistic developments of the fourteenth century also serve as
reminders of the fact that Byzantium of this period had an inuence that far
exceeded its political boundaries. Byzantine culture radiated both in the
Orthodox world (the Slavs, the Georgians, the former Byzantine possessions
under Italian occupation) and in the west, carried by artists (among them
Theophanes the Greek) who worked in other Orthodox states and by intellectu-
als who began the migration to Italy that was to intensify in the fteenth century.
+nr coii:rsr or +nr s+:+r :r +nr rrris+rirt+io
or :t+nori+ ( +,+o.)
In the second half of the fourteenth century, Byzantium was a tiny and dis-
jointed state in a Mediterranean world that was undergoing its own crisis.
The Byzantine empire in the fourteenth century s+,
61
Rautman (+,,+).
62
Mango (+,o.), pp. oo.
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Reduced economic circumstances exacerbated the antagonism of Venice and
Genoa, which became involved in and fostered the virtually endemic
Byzantine dynastic wars, while they also fought for possession of territory,
such as the island of Tenedos, which eventually led to the War of Tenedos, oth-
erwise known as the War of Chioggia (+,-ss+), in which the Byzantines
became involved. After +,, the Byzantine empire consisted of
Constantinople, Thrace, Thessaloniki (which by now could only be reached by
sea) and its immediate hinterland, the islands of the northern Aegean and the
despotate of the Morea in the Peloponnese. Even those possessions were inse-
cure, since Thrace was being subjected by the Ottomans. Raids were soon fol-
lowed by the conquest of cities, Didymoteichon falling in +,o+, Philippopolis
in +,o, and Adrianople in +,o,. With the fall of the latter, the road to
Macedonia and Bulgaria was open. In +,-+ the Ottoman victory at the battle
of the Maritsa destroyed the Serbian state of Serres; the city passed into
Byzantine hands, but only until +,s,. At the same time, the Byzantine and
Serbian rulers became tributary to the Ottoman sultan; the emperor John V
and later his son, Manuel II, were forced to follow the sultan on campaign.
63
After +,-+, the Byzantine emperors could rule only with the help or the for-
bearance of the Venetians, the Genoese and the Ottomans. The struggles for
the throne among members of the imperial family only exacerbated their
dependence, as each sought the help of one or another of these powers. True,
there were some eorts to resist these trends. Thus Manuel Palaeologus, later
emperor, at a time when he was at odds with his father, went secretly to
Thessaloniki, where he established what Demetrios Kydones called a new
authority. For a short time he was able to launch expeditions against the Turks;
but his successes, though heartening to Byzantines and western Europeans
alike,
64
were short-lived, as may be seen by the fall of Serres to the Ottomans
in +,s,, and of Thessaloniki, after a four-year siege, in +,s-. The city, cut o
from its hinterland, suered from lack of food, and its population was rent by
social tensions and factional disagreements. Even its archbishop abandoned it
in +,so-, along with some of the clergy. Manuel, too, was forced to leave
Thessaloniki. He eventually returned to Constantinople, where, in +,,+, he
succeeded his father on the throne (+,,++.). The rst Turkish conquest of
Thessaloniki lasted until +o,.
The other avenue of resistance that some Byzantines could contemplate was
co-operation with and help from western Europe. There were sucient eco-
nomic and political ties to make such hopes possible, and furthermore by now
s.o :criiki r. i:iot
63
In +,,o+, Manuel, who fought with the Ottomans in Asia Minor against the other Turkish emirates
and the last Byzantine city, Philadelphia, gave, in his letters, a moving account of the decline of the
former Byzantine possessions and the plight of the population: Dennis, Letters, nos. +o, +s.
64
Barker (+,o,), pp. -; Dmtrius Cydons correspondance, ed. Loenertz, .os, letter .o.so.
Cambridge Histories Online Cambridge University Press, 2008
some of the leaders of western Europe, especially including the papacy, were
considering the Ottoman advance a threat to Christendom. But Venice and
Genoa, weakened by the crises of the mid century, were pursuing their own
interests; France and England were engaged in the Hundred Years War, and
the papacy made its help contingent upon a union of the Churches, on its own
terms. But, although there were, in Byzantium, people who worked actively for
the union, the Church generally and a large part of the population opposed it.
Successive Byzantine emperors (John V, John VII, Manuel II) went to the west
in search of aid, but in vain. John V even made a personal conversion to
Catholicism; an ocial union was not proclaimed until the Council of Ferrara-
Florence (+,,) but by then it was much too late. Expeditions such as that of
Count Amedeo VI of Savoy were mere palliatives, and the crusade of
Nicopolis (+,,o) was a disaster.
The political crisis was attended by a general economic crisis, as well as a
redistribution of dwindling resources and of political power. As in western
Europe, there is a general reduction of the population, both in the countryside
and in the cities. The picture of the countryside of Thrace and Macedonia is
one of devastation and depopulation. The contribution of the Black Death
remains an unknown factor. While there is evidence of plague in
Constantinople, Macedonia, the Morea, the islands of the Aegean and Mount
Athos, there are no particulars that might permit a study of its eects on
various segments of the population. In +,s, the patriarch Neilos spoke of the
ight of peasants from Church lands, attributing it to the invasions.
65
The aristocracy as a group underwent signicant changes in this period. The
civil war had impoverished many among them, while the successive conquests
of Macedonia by Serbs and Ottomans resulted in a redistribution of property
into the hands either of the conquerors, or of those members of the aristoc-
racy who were favourable to them, or of the Church. When Byzantine power
was temporarily restored in such areas, there were long disputes for the recov-
ery of lands lost by particular families or individuals.
66
Secondly, the aristoc-
racy now became much more involved in trade than it had ever been before, a
trend that was to continue into the fteenth century.
67
Powerful men who bore
aristocratic names invested in commercial and banking activities, closely tied
to those of Genoese and Venetian merchants. Emperor John VII seems to
have exported grain to Genoa in the +,sos, through his agents. Indeed, despite
the great political uncertainty, and periodic acute crises in foodstus, the grain
trade was an active one; some Greeks even brought grain to Caa in +,so.
The Byzantine empire in the fourteenth century s.+
65
Miklosich and Mller, Acta et Diplomata, ii, pp. o+..
66
See Oikonomids (+,so); Laiou (+,s). John V issued an edict, probably in +,-,, which declared that
all lands illegally taken from their owners should be restored; but it did not have much eect.
67
Oikonomids (+,-,a), pp. +.o.; Laiou (+,s.b), pp. +o,.
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Moved by hardship, and also by the possibilities trade oered, aristocratic
Constantinopolitan ladies invested in commerce with funds from dowry prop-
erty, despite legal strictures on the use of dowry goods in risky ventures.
A third characteristic of the aristocracy is an increase in the importance of
the local aristocracy or gentlefolk, the or , of
the Greek sources, the gentilhomeni picioli of the Venetian sources.
68
In Serres,
they formed part of the ecclesiastical and civil administration of the city under
Serbian rule, and some reappear during the rst stages of Ottoman rule; so
also in Thessaloniki during the rst Ottoman occupation. In Ioannina in +++,
they, along with the higher aristocracy, decide on the fate of the city. The emer-
gence of the gentlefolk may be connected with the nal stages of decentral-
isation, which, by cutting the cities o from the capital, placed more decisions
in the hands of their population;
69
it is also a further sign of the redistribution
of power among the upper class. While the enhanced role of the gentlefolk is
probably a long-term development (these are families with signicant continu-
ity, at least during the fourteenth century), the increased independence of the
city populations took place in conditions of crisis, and was typically exercised
in decisions to surrender the city to various conquerors.
The most enduring transfer of power of all kinds was to the Church collec-
tively, and the monasteries of Mount Athos in particular. Long circumscribed
by the existence of a strong central imperial power, the Church now expanded
its authority and activities and in some ways supplanted the state. The resolu-
tion of the Hesychast controversy gave the conservative and ercely Orthodox
part of the Church spiritual and moral power. The weakness in imperial
government can be seen in the increase of the Churchs role in judicial matters
and also in what may be termed relief functions, such as caring for the poor,
the refugees or the inhabitants of cities in distress. As for economic resources,
the monasteries of Mount Athos proted from donations by the Serbian kings
and from privileges granted by the Ottomans; in return, Mount Athos
accepted Ottoman overlordship early, perhaps before the conquest of
Macedonia.
70
The monasteries also proted from transfers of landed property
on the part of aristocratic lay landowners, who could no longer exploit their
lands successfully. The state was well aware of the fact that the Church was
now the only institution which had resources capable of being tapped. Several
times in the course of the century, emperors tried to persuade either the patri-
arch or other churchmen to give or rent to them Church lands, so that soldiers
could be compensated from the revenues. But this was usually refused, and
Manuel Palaeologuss eorts to conscate Church property in the rst phases
s.. :criiki r. i:iot
68
Mertzios (+,-), p. ,. The document distinguishes three categories: gentilhomeni e gentilhomeni picioli e
stratioti. Cf. Neipoglu (+,,o).
69
Zachariadou (+,s,a), pp. ,+.
70
Oikonomids (+,-o).
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of the siege of Thessaloniki occasioned a violent outburst on the part of the
archbishop. In +,-+ Manuel, in desperate straits, took away from the monas-
teries of Mount Athos and the Church of Thessaloniki half their properties,
to turn them into pronoiai and give them to the soldiers, so as to avoid the com-
plete loss of everything. Part of these lands were restored to the monasteries
after +o,. The Church, then, wealthy, powerful and with a moral and spiritual
sphere of inuence that was much larger than the Byzantine state, extending
as it did to all the Orthodox world, was poised to play a primary role after the
Ottoman conquest of Constantinople, in +,.
As the century drew to a close, the only compact Byzantine possessions
were in the Peloponnese, where Manuel, the son of John Kantakouzenos, had
formed a small but viable state, the despotate of the Morea. Although it too
was subject to Turkish raids, it was relatively prosperous, with a powerful and
independent-minded aristocracy, and its capital, Mystra, had considerable
intellectual and artistic achievements.
71
It was to survive the fall of
Constantinople by seven years. Constantinople, on the other hand, was block-
aded by the Sultan Bayezid for eight long years (+,,+o.). Neither the eorts
of Jean le Maingre, Marshal Boucicaut, who had been sent by Charles VI of
France with +,.oo soldiers, nor the journey of Manuel II to western Europe,
to seek aid, would have been sucient to save the city from the siege and the
attendant hunger and suering. Many inhabitants ed the city, and some were
ready to negotiate its surrender.
72
Only the defeat of the Ottoman forces by
Timurlane at the battle of Ankara (.s July +o.) granted the Byzantine capital,
the despotate of the Morea and the empire of Trebizond another half-century
of life.
The economy, social structure and political orientation of the Byzantine
state were all transformed through the crises of the fourteenth century. The
decision to recover Constantinople in +.o+ led, on the one hand, to a chimeric
dream of reconstituting the old empire, thus negating the reality that, since the
late twelfth century, the strongest forces in that area were those of decentral-
isation, which would have led to smaller, more homogeneous political entities
with, perhaps, strong economic and cultural links with each other. The recap-
ture of Constantinople led to another important choice; the orientation toward
western Europe which Michael VIII followed almost single-mindedly. This
choice, however, could not be retained at the political level. At the economic
level, the Byzantine economy of exchange and manufacturing became inextri-
cably connected with the Italian economy. Close cultural contacts with Italy
The Byzantine empire in the fourteenth century s.,
71
On the despotate of the Morea, see Zakythinos (+,,) and (+,-).
72
Schreiner, Die Byzantinischen Kleinchroniken, chronicle .., paras. .s and ,o i, pp. +s; Laonici
Chalcocandylae, Historiarum Demonstrationes, i, p. --; Ducae Istoria Turco-Byzantina (6 ), pp. -,,
s+,.
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also existed. Internally, there were, in the course of the century, profound
changes in the structure of the dominant classes, of the cities, the merchant
class. Many of these developments were advantageous to new social groups
and new structures just as they were detrimental to old ones; the great civil war
resulted from such conicts, but failed to resolve them. The most serious
problem of the Byzantine empire in this period was that its internal develop-
ment was thwarted and shaped under intense pressure from foreign and hostile
powers, the Serbs for a short while, and the Ottomans. As a result, no viable
units could coalesce from the process of decentralisation for surely individual
cities, even with their hinterland, were not viable units. The despotate of the
Morea was an exception, but its fate followed inexorably that of the rest of the
empire and indeed of the Balkans, which eventually were reunited under a new
imperial power, the Ottoman state.
s. :criiki r. i:iot
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cn:r+rr .
LATINS IN THE AEGEAN AND THE
BALKANS IN THE FOURTEENTH
CENTURY
Michel Balard
:+ the beginning of the fourteenth century, the consequences of the
Byzantine reconquest of +.o+ on the expansion of Latins into the Aegean and
the Balkans were clearly felt. Michael VIII Palaeologus had opened access to
the Black Sea to the Genoese by the Treaty of Nymphaeum, and to the
Venetians in the years that followed, and recognised the principal conquests
made by the latter after the Fourth Crusade. A chain of ports of call and
trading-posts stretched along the main sea routes, since Andronikos II had
abandoned the maintenance of a Byzantine eet as too costly. The Aegean Sea
was thus at the heart of the great trade routes which led from Italy to
Constantinople and the Black Sea, Cyprus and Lesser Armenia, Syria and
Alexandria. Control of the islands and coasts became a vital necessity for the
Italian maritime republics and the object of frantic competition between them:
from this sprang the three colonial wars between Genoa and Venice in the
course of the fourteenth century. Their only result was a de facto sharing of the
Aegean: Venice had the western and southern coasts, with Messenia, Crete and
Negroponte, Genoa the eastern coasts with Chios and Mytilene, while the
Catalans were to come to disturb Italian maritime and commercial hegemony
through their domination over the duchy of Athens and the rapid develop-
ment of piracy.
1
As a result, the Aegean and the Balkans found themselves encompassed by
a mercantile economy directed to the satisfaction of the needs of the west for
foodstus and raw materials. They thus entered a colonial type of exchange
system, receiving artisanal products from the west and in exchange supplying
all that was required to manufacture them. Local and regional trade was sub-
ordinated to the uctuations and rhythms of long-distance activities domi-
nated by the Italians, before whom Greek businessmen stood aside.
2
These
major trends were established in the course of the century which followed the
s.
1
Thiriet (+,-); Balard (+,-s).
2
Jacoby (+,s,b), pp. +.
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restoration of the eastern empire in +.o+ in two successive phases which we
need to examine before considering the structures of the mercantile economy,
then the trade routes and commodities.
+nr rn:srs or \rs+rr rr:sio
At the beginning of the fourteenth century, Genoa and Venice emerged from
the war of Curzola, in the course of which Andronikos II had sided whole-
heartedly with the Genoese. But the latter had abandoned the basileus by con-
cluding the Treaty of Milan (. September +.,,) with their enemies. At the
time of the conict, Venice nally halted the Byzantine reconquest undertaken
by Michael VIII in the Aegean and added a few islands to those already pos-
sessed. Henceforth, Venetian authority extended rmly over Crete, the partly
reconquered Archipelago, Coron (Korone) and Modon (Methoni) in southern
Messenia, Negroponte (shared with three Latin lords, the terciers). Venice
retained considerable inuence in the principality of the Morea, which Charles
II of Anjou had just removed from the Villehardouin heiress to put it under
the authority of his own son, Philip of Taranto. The Venetians enjoyed com-
plete freedom to trade there and established themselves in the main ports,
Clarence and Patras. As for the Genoese, they obtained the rich alum-pits of
Phocaea on the coast of Asia Minor from the +.oos onwards; then their
admiral Benedetto Zaccaria seized Chios in +,o and succeeded in securing
recognition of the occupation of the island from the basileus. At the same time,
the Catalan Company, mercenaries rashly summoned by Andronikos II against
the Turks, extended their inuence in the Aegean, ravaging Thrace, then
Macedonia, before going on to conquer the duchy of Athens in +,++, where
the Catalans remained until +,ss. As for the Angevins, they endeavoured to
resist the Greeks of Mistra and began to favour some degree of Italianisation
of the Moreot barony at the expense of the French element which had hith-
erto been preponderant under the Villehardouin.
3
The rst half of the fourteenth century, at least until +,s, was character-
ised by the consolidation of acquired positions. Venice refused to participate
in Charles of Valoiss plans for the reconquest of Constantinople and drew
closer to Byzantium. In +,+, a treaty was made between Venice and the
Catalans, who were threatening Venetian positions in Euboea where Venetian
authority over the terciers was being strengthened. Venice did not succeed in
totally subduing the Cretan revolts of +,,. and +,+, resulting from the exces-
sive demands of the dominante on this colony. Above all, Venice engaged in the
struggle against the Turks with whom the Catalans had no hesitation in allying:
s.o icnri r:i:rr
3
Topping (+,-), pp. +ooo.
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the Christian Union of +,,., naval league of +, and the crusade of the
dauphin Humbert II of Viennois in +,. In Greece, the Catalans strength-
ened the duchy of Athens under the control of the vicar-general Alfonso
Fadrique (+,+s,o), seizing Neopatras and Siderokastron, and halting Walter
of Briennes attempt to recover his dukedom. But the infante Ferrante of
Majorca failed in +,+ when he wished to exploit his rights over the principal-
ity of the Morea. The latter passed from the authority of Jean de Gravines to
that of Robert of Taranto, whose mother, Catherine of Valois, titular Latin
empress of Constantinople, promoted the fortune of Florentine bankers, the
Acciaiuoli, compensated for the loans which they had granted her by substan-
tial land concessions in the principality. The fate of Genoese possessions was
more unsettled. Since Martino Zaccaria refused to recognise Byzantine sove-
reignty for his Aegean possessions, Andronikos III drove him out from Chios
(+,.,), then Phocaea (+,o), which both returned for a while to the eastern
empire. But in +,o, exploiting the weak regency of Anne of Savoy and the
hesitations of Humbert of Viennois in the conduct of his eastern crusade, the
Genoese eet of Simone Vignoso seized rst Chios then Phocaea and installed
there for two centuries the government of the mahona, derived from the ship-
owners who had nanced the expedition.
4
This brilliant feat, which was in addition to Genoese attempts to control
trac to Constantinople and the Black Sea, was the cause of the war of the
Straits (+,+) between Genoa and the coalition between Venice, the Catalans
and the Byzantine empire. The conict did not alter the situation in the
Aegean, except in relation to the Turks, who reached the gates of Byzantium.
In +,, the Genoese family of Gattilusio obtained, through the friendship of
John V Palaeologus, the concession of the island of Mytilene, then, at the
beginning of the fteenth century, of several islands in the northern Aegean.
From this time onwards, Venice had to endeavour to keep the way free through
the Straits to the Black Sea; the concession of Tenedos at the mouth of the
Dardanelles was obtained from the basileus, but the eective occupation of the
island in +,-o unleashed a fresh war with Genoa, the so-called War of
Chioggia, in so far as it essentially took place in the Adriatic and, like the pre-
vious wars, ended in a white peace (Treaty of Turin, August +,s+). These con-
frontations prevented any Christian union against the Turks, who made
inexorable progress in the Aegean: the capture of Thessaloniki in +,s-,
Neopatras and Salona in +,,, incessant raids on the Pelopponese coast and
the encirclement of Constantinople which was fortunately delivered by the
victory of Timur-Leng over Bayezid at Ankara (+o.). To meet these pressing
dangers, Venice strove to strengthen Greco-Latin Romania, by pursuing a
Latins in the Aegean and the Balkans in the fourteenth century s.-
4
Setton (+,-); Bonn (+,o,); Housley (+,,.); Argenti (+,s); Balard (+,-s).
Cambridge Histories Online Cambridge University Press, 2008
policy of annexation: the purchase of Nauplia and Argos in +,ss, increased
authority over Negroponte and the islands of the Archipelago, enlargement of
the territory of Coron and Modon in Messenia, temporary administration of
Patras, nally direct aid to the Latin crusaders at Nicopolis. Crete was the only
weak point, which was in revolt again from +,o, to +,o-, under the leadership
of Venetian feudatories rebelling against the dominante. Overall, Venice suc-
ceeded in preserving the cohesion of her possessions and protecting them
from the Turkish advance, even though it might have aroused the hostility of
the Greeks or the petty Latin lords of the Pelopponese.
5
There were profound changes in mainland Greece in the second half of the
fourteenth century. In +,s, at the time when the Greek despotate of the
Morea was being established, Stephen Dusan annexed Thessaly and Epirus to
his Serb dominions. Great Latin lordships were created; Niccol Acciaiuoli,
grand seneschal of the kingdom of Sicily, was the largest feudatory of the
Morea, with lands in Messenia, Elis and Corinthia, while his cousin Giovanni
was archbishop of Patras from +,oo to +,o. On Niccols death, his cousin
Nerio inherited part of his Moreot possessions, lost them to the Navarrese
Company, but took from the Catalans Megara and, above all, Athens in +,ss,
thus putting an end to eight decades of Catalan occupation. The Tocchi ruled
Leucas, Cephalonia and Zante and sought to seize Corinth on the death of
Nerio Acciaiuoli in +,,. We cannot ignore the remarkable good fortune of the
Zaccaria, heirs of the Genoese Martino, former master of Chios: Centurione
I was grand constable and three times bailo of the Morea; his grandson
Centurione II dispossessed the heirs of the head of the Catalan Company,
Pierre of Saint-Supran, prince of Achaea since +,,o, and was the last Latin
prince of the Morea from +o. to +,.. Thus the principality passed from
Angevin domination in +,s, to that of the Navarrese in +,so, to end in the
hands of the last descendant of an old Genoese family, in his turn dispossessed
by his own son-in-law, the despot Theodore Palaeologus of Mistra.
6
At the beginning of the fteenth century, the Aegean was thus divided
between several Latin sovereignties, little by little whittled away by the progress
of the Turks and the Greeks of Mistra. The Venetians organised their posses-
sions into several regimina: that of Candia, covering Crete and the island of
Cerigo, that of Negroponte which extended over Euboea, Skyros, the
Northern Sporades and Bodonitsa on the Thessalian coast, that of Corfu
(island annexed in +,s-) which also included Butrinto in Epirus and Naupaktos
(Lepanto) on the gulf of Patras, that of Nauplia and Argos which encom-
passed the island of Aegina, nally Coron and Modon to which belonged the
island of Sapienza. Furthermore, Venice extended her protectorate over the
s.s icnri r:i:rr
5
Thiriet (+,-).
6
Topping (+,-), pp. +ooo; Bonn (+,o,); Zakythinos (+,-).
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islands of the Archipelago, administering Tenos and Mykonos directly and
possessing several trading-posts in foreign territory, Thessaloniki in
Macedonia, Ephesus and Palatia on the coast of Asia Minor. Since +,o,
Rhodes had been in the hands of the Knights Hospitaller and served as a
staging-post on the shipping routes to Cyprus and Syria.
The Genoese domain was more limited: in Chios, Samos and Old and New
Phocaea held directly; a trading-post at Ephesus; Mytilene, Lemnos, Thasos,
Imbros, Samothrace and Ainos held by members of the Gattilusio, but without
great ties to the city. The duchy of Athens was in the hands of Antonio
Acciaiuoli from +o, to +,, the principality of the Morea in those of
Centurione II Zaccaria from +o to +,., but this was reduced from year to
year because of the reconquest by the despotate. It was within this territorial
frame, but also in the Byzantine and Turkish domains, that the commercial
activities of the Latins developed, which ooded the whole of the Aegean and
the Balkans and whose structures are fairly well known today.
ioc-ris+:cr +r:rr :r i+s irr:s+rtc+trr
These activities were encouraged by the concession of privileges which some-
times legalised earlier capture. Venice had obtained complete freedom to trade
in Byzantine territories from +os.. By the agreement made in +.o, with
Guillaume de Champlitte, Venice secured full ownership of Coron and
Modon, possession of which was conrmed by the treaties concluded in +.os
and +.-- with Michael VIII Palaeologus. In the principality, Venice had also
enjoyed privileges since the settlement of the Franks in the early thirteenth
century. Finally, in +,, an agreement with Theodore I Palaeologus restored
the freedom to trade from which Venetian merchants beneted according to
custom in the despotate. They were thus able to develop their business activ-
ities throughout the entire Aegean without any hindrance other than the daily
harassment of the tax collectors and agents of the Byzantine sc, ready to chal-
lenge imperial concessions, especially in relation to the export of wheat,
subject to lengthy negotiations.
From +.o+, the Genoese also beneted from a total exemption from the
Byzantine kommerkion but they had to wait for the treaties of +,o and +,+-, con-
cluded with Andronicus II Palaeologus, to export freely wheat produced in the
empire. The attempts at reaction of John VI Kantakouzenos to free himself
from the economic domination of the Genoese rapidly stopped short. From the
reign of Michael VIII the Pisans also obtained exemption from all customs dues.
This was not the case with the other Latin nations: the Catalans subject to a tax
of , per cent obtained a reduction to . per cent in +,.o but never complete
exemption. The Narbonnais paid a tax of per cent throughout the fourteenth
Latins in the Aegean and the Balkans in the fourteenth century s.,
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century, the Anconitans one of . per cent. The Florentines had to wait until +..
to benet from reduction of the kommerkion by half and the Ragusans until ++
to see their duties reduced to . per cent. Even so, it is true that the Latins were
generally, in varying degrees, in a more favoured position than the Greeks them-
selves, obliged to discharge the kommerkion at the full rate. This was one of the
causes of their supremacy over their Byzantine counterparts.
7
The second pillar of western trade was the network of colonies and trading-
posts where a population of Latin origin settled permanently. This emigration
naturally prolonged the vast inurbamento movement whereby the Italian mer-
cantile republics drew from their contado the human resources necessary for
their economic development. We shall leave to one side the islands of the
Archipelago where the Venetians were no more than a handful of conquering
families: Sanudo then Crispo at Naxos, Cornaro at Karpathos, Ghisi at Tenos,
Mykonos and Amorgos, Venier at Cerigo and Barozzi at Santorini. Similarly, in
ports of call such as Coron and Modon, the permanent Latin population was
insignicant in comparison with passing merchants and mariners awaiting
recruitment. The Latin population must be evaluated quite dierently in terri-
tories of some importance. At Negroponte it would be dicult to exceed a
gure of between .,ooo and ,,ooo Latins in a total population estimated at
o,ooo inhabitants in the fourteenth century. In Crete the rst preserved
census dating from +-o- only mentions o- Venetian families settled in the
cavalerie but makes no reckoning of the Latin bourgeois in the towns. It seems
reasonable to estimate the number of Venetians on the island at some thou-
sands +o,ooo according to Thiriet; .,oo according to Jacoby. They divided
into feudatories established in the sergenteries and cavalerie and the bourgeois in the
towns. Among the feudatories were the greatest names of the Venetian aris-
tocracy: Dandolo, Gradenigo, Morosini, Venier, Corner and Soranzo, all
subject to heavy levies for the defence and exploitation of their domains, but
concerned to exploit the products of their lands and obtaining from the domi-
nante free trade in cereals. The Venetian bourgeois of Crete practised a profes-
sion or craft in the towns and shared above all in the prots of long-distance
trade.
8
Estimates for Genoese possessions in the Aegean are just as uncertain. The
Gattilusio admittedly only attracted a handful of fellow-citizens at Mytilene,
then in the islands of the northern Aegean which they occupied at the begin-
ning of the fteenth century. During the period of their domination at Chios,
the Zaccaria had only a few companions and a garrison of soo soldiers. Under
s,o icnri r:i:rr
7
Zakythinos (+,-), p. .s; Laiou (+,-.); Laiou (+,so+), pp. +--...; Balard (+,-s), ii; Antoniadis
Bibicou (+,o,), pp. +.,,; Giunta (+,,), ii, pp. +o; Magdalino (+,,,), pp. +.o; Lilie (+,s),
for the Komnenoi period.
8
Loenertz (+,-o); Koder (+,-,), pp. +-o,; Thiriet (+,-), pp. .-oso; Jacoby (+,s,a), \i, p. .o..
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the administration of the mahona, a report addressed to the doge of Genoa in
+,, by the podest Niccol Fatinanti makes it possible to estimate the Latin
population at nearly oo families, that is about .,ooo individuals. Among them,
the most active participation in long-distance trade came from the mahonesi
themselves, who had the monopoly of the sale of alum and mastic, the great
products of Phocaea and Chios.
9
Were the Latins settled in the trading-posts and colonies of the Aegean the
sole actors in economic life? Were those from the eastern empire, Greeks and
Jews, associated with them in trading activities? Looking at the only ocial
texts, deliberations of the senate and other Venetian assemblies, it could be
concluded that there was total mercantile dirigisme by the dominante, reserving
the monopoly of trade between the dominante and its Romaniot colonies to the
exclusive prot of its citizens and the Venetian eet. The subject populations
only participated in local and regional trade of minimal importance. It seems
today that this rigid segregation of Venetian colonial societies, asserted by F.
Thiriet, should be challenged. The study in progress of Cretan notarial acts of
the fourteenth century shows the multiple associations formed between
Latins, Greeks and Jews in the activities connected with long-distance trade.
Did the community of interests between the various ethnic elites not come
from the fact that the Venetian feudatories and old archontes (major landown-
ers and dignitaries of the eastern empire) were found side by side at the head
of the great Cretan revolt of +,o,? At Chios, some Greeks and Jews played an
equal role with Latins in long-distance trade: Antonius Argenti, the Rabbi
Elias, Master Elixeus, invested capital in societates with Latins, participated in
maritime insurances or the transport of cereals, to say nothing of local trade
and the provisioning of small ships between the island and the nearby main-
land. In this sense, the increase in maritime and mercantile activities in Latin
Romania undoubtedly had an impact on the indigenous elite.
10
However, the principal naval commissioning and the organisation of navi-
gation were the work of the Latins alone. At Venice, the senate strictly regu-
lated the system of mudae: the dates of bids and of the departure of the galleys,
the ports of call, the merchandise to be loaded, the size of the crews, all was
anticipated in the deliberations which were concerned with even the trac of
unarmed vessels, with the job of repatriating the surplus merchandise in transit
in the Aegean ports of call. The mudae of Cyprus (before +,-,), Syria and
Alexandria made a compulsory port of call at Modon and Candia, while those
of Romania necessarily put into port in Messenia and Negroponte. On the
Genoese side, the organisation was more lax: it was only in +,,o that the ocium
Gazarie, responsible for navigation problems, forbade light galleys to sail alone
Latins in the Aegean and the Balkans in the fourteenth century s,+
9
Argenti (+,s), i; Balard (+,-s), i; Pistarino (+,,ob).
10
McKee (+,,,); Balard (+,-s), p. ,,o.
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towards the Levant beyond Sicily. There was no regular convoy, but it was made
compulsory for the owners of galleys to sail in conserva, in order to limit the
risks and to ensure good conditions for the transport of the most precious
commodities. Before +,oo the organisation of a double annual passage to
Romania can be traced; after that date, it was reduced to just one. But Genoa
had never been able to set afoot a system of bids comparable to that of the
incanti at Venice, frequently leaving it to private initiative. The Catalans had not
organised regular convoys to the east before the end of the fourteenth century.
In addition to these regular sailings, there were unarmed ships practising
coastal trade along the Aegean coasts: Negroponte and Thessaloniki were
visited by the Venetians but also Ephesus and Palatia, while the Genoese ships
provided the great shipments of alum from Phocaea and Chios to Flanders.
Private commissionings, less well known than the galleys, should not be under-
estimated.
11
As in the west, the activity of Latin businessmen in the Aegean rested on
contracts drawn up in the presence of a notary; colleganze and commende, socie-
tates and contracts of exchange, maritime insurances and procurations wove
the periodic ties between merchants, associates for a voyage or longer
periods. The Venetian notarial deeds from Crete, Coron and Modon, and
those of the Genoese notaries of Chios, were not drawn up any dierently
from instruments drawn up at Genoa or Venice. Their object was to gather
the necessary capital, insure ships and cargoes and create interdependencies
capable of compensating for the absence of businessmen. In particular
amongst them are contracts dening the conditions in which those from the
mahona could exercise the monopoly of the sale of mastic in the three great
geographical zones shared between the Giustiniani families which consti-
tuted the association.
12
The totality of these contracts dened the actors in economic life, very
diverse in origin and social level. Although the great majority of businessmen
in the Venetian colonies came from the coasts of the Lagoon, and those of the
Genoese trading-posts from Liguria, these documents also reveal the activity
of many other entrepreneurs. Catalans, men from Languedoc and Provence,
Pisans, Florentines, Lombards and Anconitans, those from southern Italy and
Ragusa and former refugees from Syria-Palestine also participated in long-dis-
tance trade, either on their own account or in association with the representa-
tives of the two great Italian maritime republics. The Aegean was truly a free
trade community, in which rivalries could be exacerbated, but in which each
s,. icnri r:i:rr
11
Stckly (+,,); Balard (+,-s), pp. -os; del Treppo (+,-+); Ashtor (+,s,).
12
Carbone (+,-s); Chiaudano and Lombardo (+,oo); Lombardo (+,os); Morozzo dell Rocca (+,o);
Argenti (+,s), iii, p. ,; Balard (+,ss).
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man found his place, providing that he beneted from capital, opportunity and
the spirit of enterprise.
rot+rs, rrortc+s :r cojtc+trr
The great areas of Latin trade in the Aegean and the Balkans fell into three dis-
tinct zones: the Pelopponese, the Venetian insular domain and the Genoese
possessions. The Pelopponese had long been considered the preserve of
Venice which had obtained total freedom of trade there since the creation of
the Frankish principality. At the end of the thirteenth century, the rst known
deliberations of Venetian assemblies refer to the trade of the people of the
Lagoon between Clarence and Apulia. The Moreot port was in eect the most
convenient of the routes between Italy and the principality, above all since the
latter had passed into the Angevin domain. A Venetian consul saw to it that
things ran smoothly, sometimes disturbed by people from the principality. The
Venetians brought metals and cloth, loading there with salt, cereals, cotton, oil,
raw silk and raisins: the mudae were authorised to make a stop there and
unarmed ships to collect merchandise left in transit by the galleys. The
Genoese also did business there, investing almost ,o.o livres in sixteen con-
tracts between +.- and +,. On a smaller scale, the Ragusans were also inter-
ested in the ports of the principality from where they took wheat, hides, silk
and linen, and where they imported woven cloth, wine and cheeses. The
second half of the fourteenth century was less favourable: Clarence followed
the decline of the principality and its port experienced some stagnation which
Pero Tafur noted at the time of his journey c. +,. Patras then appeared to
have taken over: in +oo the Venetian senate estimated the value of merchan-
dise brought by their nationals at so,ooo ducats, at oo,ooo to -o,ooo ducats in
+o+. It is understandable in these circumstances that Venice accepted the pro-
tection of the city in +os, entrusted by its archbishop. Venice thought to nd
there a useful compensation for the decline of Clarence. In the despotate the
Venetians played a role of the rst signicance until the beginning of the
fteenth century: they brought raw materials and manufactured goods and
exported from it wheat, cotton, honey and raw silk. The conquests of Despot
Constantine Palaeologus in +.s (capture of Clarence and Patras) put an end
to these good relations. In the absence of conclusive documents, it is dicult
to evaluate the economic role of the Catalan duchies in this intra-
Mediterranean exchange.
13
To the south of Messenia, the two ports of Coron and Modon were of
Latins in the Aegean and the Balkans in the fourteenth century s,,
13
Rgestes, ed. Thiriet; Dliberations; Krekic (+,o+); Bonn (+,o,), pp. ,.o; Zakythinos (+,-),
pp. .ooo.
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major interest to Venice. They were, to use an expression of the senate, oculi
capitales of the dominante. They were of the rst strategic importance: they
watched the movement of enemy eets and served as a base for the reconquest
of rebellious Crete in +,o,. As staging-posts and warehouses, each year they
received convoys of merchant galleys which were forced to call at Modon: the
letters of loading preserved in the Datini archives of Prato give a list of the
various merchandise, most often of eastern origin (cotton, sugar, spices),
which the galleys would come to take. Backed by a rich agricultural region,
Coron and Modon exported agricultural products, and above all the products
of Messenian stock rearing. It is understandable that, in the face of Greek and
Turkish incursions, Venice should have taken care to protect these two
enclaves isolated from each other and to have reunited them in a continuous
territory by a series of annexations carried out from +,,o to +,o.
14
The insular Venetian domain was the place par excellence where the mercan-
tile dirigisme of the dominante was exercised: the dominante hoped to develop agri-
cultural production there to satisfy its own needs and create transit centres for
merchandise coming from the Levant or exported there. Crete enjoyed an
exceptional position in this respect. It was the point of departure for regional
exchanges to the Turkish territories of Asia Minor, which supplied it with
slaves, wheat, horses and alum, and to which Crete sent textiles, wine and soap;
also to the islands of the Archipelago which suered from a chronic shortage
of cereals; to Negroponte, Coron and Modon. But above all its ports, and rst
amongst them Candia, played an essential role in Mediterranean trade. In
eect, they saw two convoys of galleys pass each year: those of Cyprus, then
Syria and those of Alexandria. Before +,-, (Genoese capture of Famagusta),
trade with Cyprus was of prime importance: Crete received salt and sugar and
sent cereals there; the Corner, with possessions in Crete and around Piskopi,
dominated these exchanges. The galleys of Syria and Alexandria brought
spices, silk and cotton, with the result that Crete became the warehouse for the
most valuable products of Mediterranean trade. Finally, the island was
regarded by the dominante as its granary for wheat, a product which was a state
monopoly and which the great landowners could not export elsewhere without
authorisation from the senate. Wine from Malvasia, dessert grapes, cotton,
wood, cheeses and hides fostered important trade in the direction of Venice
which dominated the entire Cretan economy with respect to its needs and
interests, to such an extent that it provoked frequent revolts, even among the
ranks of Venetian feudatories.
15
The island of Negroponte, divided between Venice and the terciers, was a com-
pulsory stop for the galleys of the muda of Romania which stopped there either
s, icnri r:i:rr
14
Thiriet (+,-os), pp. so,s.
15
Thiriet (+,-), pp. ,.s,-; Zachariadou (+,s,), pp. +,-,.
Cambridge Histories Online Cambridge University Press, 2008
on the outward journey (at the end of August), or on the return from
Constantinople (November). It was thus the pivot of Venetian trade in Lower
Romania: it undertook the redistribution of the products of the west, woollen
and linen cloth, which accumulated in the islands warehouses, and collected the
products of Greece, wood, hides, vallania used for dyeing, wax, cotton, cereals,
and raisins which the galleys took away to the west. Moreover, Chalkis, the islands
principal port, was a stop for the trade linking Crete and Macedonia in wood,
cereals, hides and cloth. But it was no longer a question of a trade organised by
the state which left all initiative here to private commissionings, conning itself
to coasting along the Thessalian coasts in spring and autumn. Thessaloniki was
the culminating point of these voyages. The Venetians had a consul there and a
small merchant colony which gathered wheat from Macedonia and the Bulgarian
plains and distributed woollen and linen cloth from the west. Their trade contin-
ued, even after the Ottoman occupation of the town. Ragusan merchants had
been active there since +.,, when the despot Manuel Comnenodukas had
granted them a privilege. The Genoese had also attempted to establish them-
selves in Thessaloniki: they had a consul there in +,o and, between the end of
the thirteenth and the beginning of the fourteenth century, the town was the
target of several commercial investments, but without common policy with those
who headed for the eastern coasts of the Aegean, which was the heart of the
Genoese domain from the end of the thirteenth century.
16
Under the rule of the Zaccaria (+,o.,), Chios witnessed the development
of trade in mastic and alum. The latter acquired great importance after +,o,
when the mahonesi secured its control. Alum, indispensable for xing dye in
cloth, came from the mines of the Old and New Phocaea on the coast of Asia
Minor, but the Giustiniani also tried to control the production of alum from
other sources in Ottoman territory, Koloneia (Sharki or Shebin Karahisar),
Ktahya, Ulubad and Cyzicus. Chios was thus the great repository for alum
which ships and cogs transported to Flanders for the textile industry. The
transportation of such a heavy product undoubtedly lay at the root of the med-
ieval nautical revolution, which saw square-rigged cogs substituted for the
Latin ships in use in the thirteenth century, and which placed Genoa ahead of
other maritime towns in the race for big tonnage. Until the loss of Phocaea in
+, Genoese alum occupied a considerable place in the exchanges between
east and west: it stimulated shipbuilding and an increase in the size of ships
and dictated a regular rotation of shipping by means of a direct maritime link
between Chios, Flanders and England.
17
Latins in the Aegean and the Balkans in the fourteenth century s,
16
Thiriet (+,-), pp. ,,-+; Krekic (+,o+), pp. o--o; Balard (+,-s), p. +o.
17
Argenti (+,s), pp. ss,; Heers (+,-+), pp. .-s; Balard (+,-s), pp. -o,s.; Pistarino (+,,o),
pp. .,so.
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The island of the mahona also produced mastic, gum of the mastic tree
(lentiscus), highly prized in the medieval world. The Giustiniani kept the
monopoly to themselves, controlling production and distribution. They
formed adjudicatory societies (farmers societies) whose members shared the
sales in the great spheres of commerce, the west, Romania and Turkey, and,
nally, Syria, Egypt and Cyprus. Through this entire organisation, the mahona
made Chios function like a plantation economy in the modern sense of the
term; half of the islands revenues came from mastic and it formed the basis
of the members wealth. Chios redistributed the products of international
trade in Asia Minor, via Ephesus and Palatia, while at the same time drawing
into its warehouses the resources of Anatolia. Finally, the island was at the axis
of two shipping routes, one via the Straits as far as Constantinople and the
Black Sea, the other leading to Syria and Alexandria by way of Rhodes and
Famagusta. It was the hub of Genoese international trade in the west.
18
Since +,, the Genoese had had another base in the same region, the island
of Mytilene, which had passed to the hands of the Gattilusio family. Apart
from piracy, which seems to have added to the resources of the masters of the
island, alum from Kallones, the port of Mytilene received Genoese trade going
from Egypt to Constantinople, via Rhodes and Chios, a trade concerned rst
and foremost with trading in Pontic slaves transported to Egypt to increase the
numbers of the Mamluk army. The seizure by the Gattilusio of the islands of
the northern Aegean at the beginning of the fteenth century, and of the port
of Ainos, at the mouth of the Maritsa, gave the Genoese access to the cereal
resources of Thrace and the Bulgarian plains.
19
This picture of products and the western trade routes in the Aegean would
not be complete without some reference to the uctuations and hindrances
which characterised these activities in the fourteenth century. Papal prohibi-
tions on trade with the Saracens, eectively although variously followed until
the years +,o gave great signicance to the sea routes to Rhodes, Cyprus
and Lesser Armenia in the rst half of the century; Crete then played a deci-
sive role as a port of call and a warehouse for all Venetian shipping, while
Negroponte was an essential staging-post for the galleys to Constantinople. In
the second half of the century, the lawful return of the Latins to Syria and
Egypt increased the number of trading links. Cyprus, partially dominated by
the Genoese, was to a great extent abandoned by the Venetian merchant
galleys, while Chios added to the great trade to the west the entrepot prots
derived from northsouth trade and that with Turkish Anatolia.
Despite everything, western trade in the Aegean suered the setbacks which
characterised the entire fourteenth century. Both the numbers of the incanti of
s,o icnri r:i:rr
18
Balard (+,-s), pp. -.,; Heers (+,-+), pp. .-o-.
19
Pistarino (+,,ob), pp. ,s,.o.
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Map +s The Aegean world
Cambridge Histories Online Cambridge University Press, 2008
the Venetian galleys gathered by Thiriet and Stckly and the statistics of the
karati Peyre which I have been able to collect reect, after the very high level of
Romaniot trade in the rst half of the fourteenth century, the drop in trade
after +,o, a recession which lasted at least until ++o.o. Lower production in
the west after the Black Death in +,s, an increase in Ottoman incursions in
the Aegean, the depopulation of their territories which the Genoese and
Venetian authorities complained of, the development of piracy which nds an
echo in all sources, beginning with the business letters of the Datini archive,
all combine to explain this drop. But war never impeded the expansion of busi-
ness for long: Venetians and Genoese were able to make the necessary arrange-
ments with the Turks and the Greeks of Mistra. As for piracy, it would be a
mistake to overestimate its eects: the goods misappropriated by the pirates
returned sooner or later to the economic system burdened only by an addi-
tional tax. After several decades of crisis, western trade resumed its expansion
in the Aegean after +.o, more diversied in its agents, its objectives and its
results.
20
s,s icnri r:i:rr
20
Thiriet (+,--); Stckly (+,,); Balard (+,-s), pp. os,.
Cambridge Histories Online Cambridge University Press, 2008
cn:r+rr .o
THE RISE OF THE OTTOMANS
I. Metin Kunt
+nr nis+oric:i sr++ic
+nr Ottomans emerged around +,oo and, after a century of continuous ter-
ritorial enlargement and institutional development, their enterprise almost
came to a premature end in +o. when their army was defeated and their rule
was shattered by Timurs (Tamerlane) formidable blow. Thus the fourteenth
century exactly framed the rst phase in the evolution of the Ottoman state
when a small band of frontiersmen succeeded in establishing a sizeable
regional state in Anatolia and in the Balkan peninsula.
The origins of the state are obscure because, at rst, it was such an
insignicant entity. Histories written in the cultural and political centres of the
Islamic world, in Tabriz and Damascus and Cairo, did not take notice of the
distant frontier zone in western Anatolia. Ottomans themselves did not put
their own history in writing until the mid-fteenth century, though there is evi-
dence of a lively oral tradition.
1
Some modern historians, in fact, consider
these later histories practically worthless in explaining Ottoman origins.
2
Archival evidence, too, is scant; few of the documents purporting to be from
the fourteenth century but preserved as copies in later collections have been
authenticated by rigorous scrutiny.
3
The historians task, however, is not hope-
less: recent research tends to corroborate the accounts of later Ottoman
chronicles; modern historiography has also successfully integrated historical
traditions with evidence from diverse sources, Byzantine and Islamic.
4
Modern scholarly interest in the beginnings of the Ottoman state was stimu-
lated by the dissolution and collapse of the empire in the aftermath of the First
World War. The debate reached its culmination in the +,,os when Fuat
s,,
1
Mnage (+,o.); Inalck (+,o.); especially relevant is Kafadar (+,,), ch. ..
2
Imber (+,,o), for example.
3
Beldiceanu-Steinherr, Recherches, for the most thorough analysis.
4
Zachariadou (+,s-) and (+,,,b) are very successful examples.
Cambridge Histories Online Cambridge University Press, 2008
Kprl in Paris and Paul Wittek in London delivered two seminal series of
lectures both of which, in their own way, provided a larger historical picture as
the setting for their depiction of the early Ottomans.
5
While Kprls canvas
was much richer in social detail, Witteks elegant yet bold masterstrokes pro-
vided a striking portrait: his Ottomans were now easily recognisable as gazis of
the frontier, ghters for the glory of Islam. The scholarly audience, through
Kprls explanation now much better informed on Anatolian social and
political conditions in the thirteenth and fourteenth centuries, could see how
for Witteks gazis their religious zeal provided the life-force for large-scale con-
quest. So satisfying was the gazi theory of Ottoman origins that it remained the
dominant explanation for close to half a century. Only in the last two decades
has the debate been reopened, when Rudi Lindner questioned how gazi zeal,
presumably implying Muslim exclusiveness, could be reconciled with the
observable social, cultural and political inclusiveness of the Ottomans in the
treatment of non-Muslim communities.
6
Lindner also introduced an anthro-
pological understanding of early Ottoman society, both in the denition of an
inclusive, newly formed tribe, and in his analysis of the declining fortunes of
nomadic society while Ottoman leadership increasingly favoured their seden-
tary subjects. His theoretically informed analysis, convincing though it is,
cannot yet be said to have gained currency but he has succeeded in stimulating
comment.
7
Ottoman origins and the development of the Osmanl tribe into a
state are now better understood thanks to Cemal Kafadars fresh and subtle
study which successfully synthesises several strands of scholarship.
8
Kafadar
gives new meaning to gazis, cutting down to size the purported Muslim zeal
that was the hallmark of the Wittek thesis, especially as it came to be inter-
preted by non-specialist commentators. Kafadars gazis emerged out of Osman
Beys tribe and were properly inclusive in their dealings with non-Muslim
neighbours. This new analysis is not, however, a forced marriage of Lindners
tribesmen and Witteks gazis but it is a rich synthesis of literary and cultural
history as well as of Byzantine, Islamic and later Ottoman historiography.
After the re-examination of the last twenty years, the historiography of
Ottoman origins seems now to have reached a new plateau.
Following the sound precedent set by modern historiography, we must con-
sider general Anatolian conditions at the turn of the fourteenth century before
we can view the small Ottoman community emerging to independence in
Bithynia. For much of the thirteenth century a fairly stable frontier had been
observed between Byzantium on the coastal plains of west and north Anatolia,
so i. r+i kt+
5
Wittek (+,,s); Kprl (+,,.).
6
Lindner (+,s,); Heywood (+,ss) and (+,s,); Imber (+,so), (+,s-) and (+,,,).
7
Imber and Heywood (see n. o); Inalck (+,s+.); Jennings (+,so); Zachariadou (+,,,a).
8
Kafadar (+,,).
Cambridge Histories Online Cambridge University Press, 2008
and the Seljuks of Rum on the central plateau.
9
From the mid century this
balance was upset and the stability of the frontier zone disturbed because of
changes in the fortunes and preoccupations of both these states. In the case
of Byzantium, the return from Nicaean exile to Constantinople in +.o+ served
to increase involvement in the western reaches of the empire, with a relative
neglect of the security of territories in Asia Minor. In any case, there seemed
to be less cause for vigilance on Byzantiums Anatolian frontier. In +., the
Rumi Seljuks were defeated in eastern Anatolia by a contingent of the world-
conquering Mongol army. The Mongols did not immediately incorporate
Seljuk lands into their vast domains. However, in +.s, with a renewed attack
in west Asia they sacked Baghdad and, putting an end to any remaining sem-
blance of a universal Islamic caliphate, they established a regional Mongol
state, the Ilkhanid sultanate, ruling west Asia from their base in Azerbayjan.
From then onwards the Rumi Seljuk kingdom was reduced to a satellite, its
eastern zone more closely controlled by the Ilkhanids.
The Anatolian Seljuki society was not only an amalgam of Muslim Turks
and local Greeks; its Muslim component was also made up of disparate ele-
ments. The state itself, in its capital in Konya (Iconium) and in other impor-
tant cities such as Kayseri (Caesarea) and Sivas (Sebastea), reproduced in
Anatolia the traditional urban culture of central Islamic lands. This meant that
while the ruling dynasty was Turkish, the language of learning, religious as well
as secular, was Arabic; Persian was the language and ethos of the scribes and
nancial bureaucrats, and also of rened literary culture. The medrese colleges
and the court bureaucracy were staed by Arab and Persian newcomers as well
as by Anatolian Turks and Greeks who acquired these established languages of
urban Islam for intellectual, cultural and administrative discourse. The military
was mainly Turkish, but there too the Seljuk sultans followed long-established
statecraft to create household armies composed of men from many ethnic
groups. It was a basic principle for rulers not to depend exclusively on the
Turkish tribal levies who had at rst carried them to power, but to surround
themselves with slave soldiers removed from their homes and families, no
longer with any ethnic or tribal allegiance but loyal only to their master.
While this cosmopolitan urban society mixed Turkish and Greek in the
market-place and Arabic and Persian in court and college circles, in the coun-
tryside dierent ethnic groups lived side by side but with less mingling. Some
Turks settled down as peasants, but there were separate Greek and Armenian
villages. Transhumance was the dominant mode of life for many Turks,
The rise of the Ottomans s+
9
Rum is the Islamic term for the lands of Rome/Byzantium in Anatolia. Rum Seljuks refers to the
Anatolian branch and successor of the great Seljuk empire. The adjectival form Rumi (Roman) con-
tinued to be used as the self-denition of Ottoman Turks, in former Byzantine territories in Anatolia
and the Balkans, for many centuries.
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especially in the mountainous zone of eastern Anatolia but also along the
northern and southern rim of the central plateau, where the highland summer
pastures were not too distant from sheltered wintering valleys. Rural Turks
diered from their urban cousins not only in livelihood but also in maintain-
ing an oral Turkish culture with both literary and religious implications. Bards
sang Turkish epics and ballads; their sense of justice had more to do with tribal
tradition than with Islamic sheriat law; their religious understanding owed more
to the teachings of saintly men than to the prescriptions of ulema learned
doctors; their practice involved ceremonies reminiscent of a perhaps not too
distant shamanist past more than they resembled the correct procedures of the
urban mosque. A version of Turkish folk Islam, expressed in the simple and
sincerely fervent eulogies of the Turkistani saint Ahmed Yesevi, took hold in
the Anatolian countryside.
Mongol expansion in Asia occasioned movement of central Asian peoples,
some joining the conquest and some displaced by it. Of those who sought
refuge in Asia Minor many were townsmen, Turks and Persians, but many
more were Turkish tribesmen. With the rapid change in the population
balance, the Rumi Seljuk state tried to contain social disruptions in the coun-
tryside but with diculty and varying degrees of success. The states eorts to
control the incoming Turks caused resentment and resulted in a rift between
the mutually suspicious cultures of town versus tribesmen. Eventually, state
authority was able to steer some of this inux away from the central areas
toward the frontier zones, but by then Mongol Ilkhanids had established suze-
rainty over Anatolia. Some of the Anatolian Turkmen tribesmen, especially
those in the southern Taurus region, attempted to withstand Ilkhanid pressure
by supporting the Mamluk armies in their confrontation with the Mongols.
Even before Mamluk sultan Baybarss expedition into south-eastern Anatolia
Karaman Mehmed Bey, chief of a large group of Taurus Turkmen, succeeded
in occupying the Seljukid capital in +.-,. He soon had to withdraw from the
central plains to his mountain fastness, but during his brief time in Konya he
demanded that business, both in the palace and in the market, be conducted in
Turkish, that is, not in Arabic or Persian, an act equally as signicant of the
dichotomy of Anatolian Turkish-Muslim culture as were the tribal uprisings in
mid century.
At about the same time other chiefs of the various frontier zones emerged
to political prominence, all but independent of the Seljuk sultans authority.
While central power in Konya was dwindling in the face of Mongol pressure
from the east, the tribesmen encouraged to leave the central lands and settle
on the western frontiers increasingly threatened Byzantine defences. The
inux of warlike Turkmen to the rim of the plateau, looking down the river
valleys that reached the Aegean coast, pushed Byzantine administration back
s. i. r+i kt+
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toward the sea. This expansion of the frontier zone was not accomplished,
however, as conquest in the name of the Seljuk sultan who himself was by then
an Ilkhanid puppet; the frontier chiefs saw no need to acknowledge him as any-
thing more than a distant gurehead, if at all. The rst to establish himself as
a bey, an emir in his own right, was Menteshe in Caria in the extreme south-
western corner of Anatolia and therefore the farthest from Ilkhanid or Seljuk
reach.
10
He was soon followed by the Karaman of the Taurus region, and by
the end of the thirteenth century several more emirates were established along
the Aegean coast: to the north of Menteshe there was Aydn in the Meander
valley, Saruhan in the Hermus valley, and Karasi at Pergamum and Balkesir.
Germiyan, an earlier frontier command at Ktahya and Eskishehir, at the
western edge of the central plateau, may indeed have sponsored the occupa-
tion of the coastal valleys, but the commanders who achieved the conquest
acknowledged Germiyan suzerainty no more than they did Seljuk overlord-
ship; instead, each became the eponymous founder of his own emirate.
Among these territories there were even smaller groupings banded around a
leader, not under the authority of any emir but not yet themselves suciently
large to be termed an emirate. Osman Bey, the eponymous founder of the
Ottomans, was one such chief in Bithynia, just to the north of Germiyan.
As a general historical problem, why it should have been the Ottoman state
which rose to greatness is even more intriguing than why any state at all
emerged out of this newly opened frontier zone. With the decline of
Byzantium and of the Seljuk sultanate, and with the steady increase in tribal
Turkmen population, it is not surprising that the frontier zone became the
appropriate setting for a new power base in Anatolia, especially after Ilkhanid
rule itself was fractured and dispersed by the mid-fourteenth century. Why the
Ottoman state, rather than those of Menteshe, Karaman or Aydn rulers,
should have become the pre-eminent frontier state is a question that necessi-
tates a closer look at these emerging emirates. Indeed, later on we will have to
face the further question of why Ottoman polity itself did not beget new emi-
rates as the frontier moved farther away in time and in space.
We should note, rst of all, the similarity between the various emirates. They
all had an admixture of Turks and Byzantines: tribal Turkmen, sheep and horse
breeders and ghters; Turkish agriculturalists and merchants displaced from
the hinterland; and local Greeks, seamen, peasants, and townsmen. Turkish
was the dominant language, but with intercourse in the market-place or in the
village square, or even at latitudinarian gatherings at the dervish convent; with
intermarriage, voluntary or otherwise, politically arranged in the case of
leaders or more spontaneous for others, at least a number of Greeks and Turks
The rise of the Ottomans s,
10
Wittek (+,,).
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could understand each others tongue and ways. Popular culture diered little,
imbued as it was with heroic epics and ballads of divine love sung by the same
dervishes and brethren circulating in the frontier society under whichever
emirs rule. Other social groups, members of merchants and craftsmens ahi
brotherhoods, were represented in all frontier towns. Political conceptions and
institutions were shared as well, whatever the exact origins of a particular
leader might have been. Furthermore, there was considerable movement, of
groups and of individuals, in various directions. The predominant population
movement was from the hinterland to the frontier, especially after the decline
of Ilkhanid power and the resulting political upheaval to the east. In the fron-
tier zone itself, volunteers for raids into Byzantine lands as well as tradesmen
could seek their livelihood wherever opportunities seemed greater. Leaving the
domains of one frontier emir and joining the banner of a more active leader
was a simple matter. A oating population of gazis could be in Aydn service
one year and turn up for an Osmanl expedition the next.
11
As frontier raids
increased in scale and exerted greater pressure, Byzantine peasants eeing this
harassment, not further away but into the relatively secure and tolerant condi-
tions established under the emirates, also increased the manpower available to
Turkish frontier lords, both as subjects and as ghters.
12
The relative prosper-
ity of the frontier emirates, while inner Anatolia suered from post-Ilkhanid
power struggles in the east and Byzantine lands to the west were impoverished
and rendered defenceless, set the stage for the rise of a new type of political
entity.
rrrcrcr or +nr o++o: rir:+r
In the thirteenth century the Seljuk state had established frontier commands,
the Germiyan to the west and Candar to the north. Some of the better-known
frontier lords of the Aegean area were in fact sent forth by the Germiyan.
13
While such gazi lords as Menteshe and Aydn and Saruhan were engaged in a
struggle against the Knights Hospitaller, now based on Rhodes, and the
Byzantine navy in the Aegean, Osman Bey was trying to preserve the small
band he had inherited from his father Ertughrul, both from Germiyan claims
to suzerainty and from being incorporated into a more powerful neighbours
domains. He faced hostile local Byzantine lords of Bithynia, sometimes in
weary mutual toleration and, at times, even in co-operation. Whatever the orig-
inal name of the tribe had been, whether they were called Ertughrullu in his
fathers lifetime, Osman Beys band earned its name when it achieved its rst
success of note in +,o+ against a Byzantine army sent to defend the frontier.
14
s i. r+i kt+
11
Inalck (+,,,).
12
Zachariadou (+,s-).
13
Inalck (+,s).
14
Kafadar (+,,), pp. +...
Cambridge Histories Online Cambridge University Press, 2008
This victory at Baphaeon (Koyulhisar) established his reputation among gazis
beyond his immediate environment; from then on the Osmanl, Osmans
people, was a name heard and remembered in the frontier zone at large.
15
Although Osman Bey remained the leader for more than two decades after
this initial success, it appears that he spent most of this time consolidating his
modest emirate rather than in expanding it. Within his tribe he had far from
absolute authority; he was the acknowledged leader of a group that included
members of his family and other lieutenants, co-operating voluntarily to pre-
serve the tribe in a hostile environment: threats came from Byzantine lords
and from Catalan mercenaries sent to the southern shores of the Marmara by
the Byzantine government. Pressure from neighbouring emirates, especially
from Germiyan, also continued.
16
At least during the rst two decades of the
fourteenth century Osman Bey accepted the reality of Ilkhanid power, if not
quite submitting to it as a vassal, however distant it seemed to the frontier. Both
to consolidate his position as leader and to ensure the survival of his Osmanl
following he seems to have made alliances of marriage, for himself and for his
sons, with Byzantine neighbours and with a well-respected sheyh of the fron-
tier zone. In later Ottoman memory Osman Bey is remembered as an astute
leader, though a fteenth-century chronicler, Ashkpashazade, representing
the diminishing frontier ethos, portrayed him as a simple and direct man who
resented the need for rules and regulations. When he acquired territory to
govern, including towns and villages as well as the seasonally migrant Turkmen
nucleus, scribes and learned men from the Anatolian hinterland came to keep
accounts for him and to assist in collecting taxes. Osman Beys supposed reluc-
tance to impose market dues is more a reection of the chroniclers reaction
to the growing centralisation and bureaucratisation of Ottoman polity in his
own age; nevertheless, the arrival in the newly expanding frontier zone of men
from the hinterland more comfortable with the pen than with the sword is a
familiar and plausible theme. As the frontier moved away from the original
homebase and so the emirates own inner core developed into a peaceful hin-
terland educational facilities came to be provided, but there were men well
versed in bureaucratic forms and procedures in Osman Beys entourage before
the rst Ottoman medrese was opened in Nicaea in his sons day, and such men
continued to oer their services to the frontier lords throughout the four-
teenth century.
Osman Beys main accomplishment was not only to establish but also to
maintain the independent existence of his followers, growing with the success
of raids into Byzantine territories to the north and north-west. Given the
uidity of the frontier conditions, various of his captains with their own bands
The rise of the Ottomans s
15
Inalck (+,,,).
16
Luttrell (+,,,); Varlk (+,-).
Cambridge Histories Online Cambridge University Press, 2008
might have joined other emirs were they to oer richer rewards in their own
sectors. Osman Bey appears to have gained respect for his even-handed lead-
ership while providing sucient opportunity for the raiders under his
command for booty to keep their support and loyalty. Towards the end of his
life in +,. he had gained enough followers to eect the blockade of Brusa
(Bursa), the rst sizeable Byzantine city in Bythinia to fall to Ottoman hands.
The pressure on Brusa may have been started by Osman but its capture was
completed by his son and successor, Orhan Bey. The city provided Orhans
Ottomans with an important regional market and an obvious seat for the emir.
On the other hand, with the environs of Brusa occupied, Orhan Bey became
neighbours with the Karasi emirate further to the west. Expansion in this
direction thus blocked, Orhan Bey turned north to follow his fathers initial
raiding route, toward Nicaea (Iznik) and Nicomedeia (Izmid). In +,.s Orhan
Bey stopped the Byzantine imperial army at Pelekanon; the beleaguered cities,
with no hope of succour, were captured in +,,+ and +,,- in quick succession.
Orhan Beys raiders then moved west again, this time along the narrow neck
of land between the Marmara and the Black Sea; their progress came to a halt
only when they reached the Asian suburbs of Constantinople.
By this time, the mid +,,os, the Ilkhanid state was in the process of disso-
lution; eastern and central Anatolia became embroiled in the struggle for suc-
cession in the vacuum left with the demise of the dynasty. The disturbed
political situation in the hinterland allowed western Anatolian frontier emirs
greater freedom of action and also supplied them with reinforcements as more
volunteers came to join their raids. Orhan Bey received his share of this inux
although the more spectacular engagements were still in the lands of Aydn,
pre-eminent sea raiders of the Aegean. During his visit to Anatolia the famed
Iberian Muslim traveller Ibn Battuta was impressed by the prosperity and
power of the emir of Aydn while noting that Orhan Bey too commanded con-
siderable manpower and resources.
17
But in the next decade or so the Ottoman
emirate remained hemmed in, until a four-way struggle that involved the
Karasi emir and Orhan Bey supporting rival contenders for the Byzantine
throne.
18
In his bid for power in Constantinople John Kantakouzenos had at
rst secured support from Umur Bey, the famous emir of Aydn, but after
Umur Bey had been forced to defend his own lands in the Aegean,
Kantakouzenos sought an Ottoman alliance, giving his daughter Theodora in
marriage to Orhan Bey. The success of John Kantakouzenos in
Constantinople was accompanied by his son-in-law Orhan Beys ascendancy
over the Karasi emirate. After a short while Karasi lands, Karasi commanders
and Karasi people were all incorporated into Osmanl domains.
so i. r+i kt+
17
Gibb, Travels.
18
Zachariadou (+,,,b).
Cambridge Histories Online Cambridge University Press, 2008
Later Ottoman tradition describes this episode without reference to
Byzantium, but as a struggle for the Karasi emirs seat. When the old emir died
a ght broke out among his sons. One, popular among Karasi people but
weaker than his elder brother, sought Orhan Beys support in return for some
of his territory. He died in the attempt; Orhan Bey then defeated the remain-
ing Karasi prince and occupied much of Karasi lands. Voluntary submission
of neighbouring beys to the rising fortunes of the house of Osman is a motif
encountered repeatedly as the fourteenth century progressed. This device
should not be taken as anything more than an eort on the part of later chron-
iclers to uphold the Muslim credentials of Ottoman emirs while explaining
how Orhan Bey and his successors came to expand at the expense of Muslim
neighbours as well as against the indels. There may indeed have been a Karasi
succession struggle just at the same time as the Byzantine throne was con-
tested, but the decisive situation seems to have been that the alliance of
Kantakouzenos and Orhan Bey won against John Palaeologus and his Karasi
supporters. Their victory settled not only the Byzantine succession but allowed
Orhan Bey to conquer his Karasi neighbours who had apparently been in
diculties, perhaps as a result of backing the wrong Byzantine claimant.
The signicance of the Ottoman incorporation of the Karasi emirate is
much more than simply doubling their territory and manpower. Just at a time
when Aydn, the foremost Aegean emirate, was defeated by a Latin alliance and
lost Smyrna/Izmir (+,), absorbing Karasi lands and people without much of
a struggle, Orhan Bey emerged as the most formidable frontier emir. Even
more important, Ottoman domains now stretched to the Dardanelles beyond
which a new frontier beckoned. By the mid-fourteenth century the Anatolian
frontier emirates had all settled within recognised and static boundaries for
they had either become landlocked, as in the case of Germiyan, Hamid and
Karaman, or they had reached the coasts. Menteshe, Aydn and Saruhan had
attempted to carry the frontier ght to the Aegean islands; Aydn had con-
ducted successful raids on mainland Greece.
19
The loss of Izmir in +,,
however, put a decisive end to any notions of new frontier conquest across the
Aegean Sea. Now the only possible new frontier lay across the Dardanelles in
Thrace, and when Orhan Bey overcame his Karasi neighbours he came to
control the passage to this new frontier zone. In the +,os any volunteer leaving
behind the Anatolian hinterland to join the frontier enterprise, or any seasoned
but now idle warrior from the maritime emirates eager to resume raiding,
sought to enter Orhan Beys service, to become Ottomans. With almost all of
western and northern Anatolia turned into a hinterland, divided though these
territories were among several emirates, the only frontier and the area of
The rise of the Ottomans s-
19
Inalck (+,s); Zhukov (+,,).
Cambridge Histories Online Cambridge University Press, 2008
Map +, Anatolia and the Balkans, c. +,o
Cambridge Histories Online Cambridge University Press, 2008
further expansion lay in Europe, now termed Rumeli, Roman lands, by the
Ottoman frontiersmen. The only passage to this new Rumeli from old Rum
was now rmly in Ottoman control.
rr:sio i ::+oii: :r i rtrii
Orhan Bey entrusted the new territories to an older son Sleyman Bey who,
now in command of former Karasi captains and troops, succeeded in captur-
ing Gallipoli (Turkish, Gelibolu) Castle in +, when he was on the European
shore of the straits once again aiding the Byzantine emperor against Stephen
Dusan. Instead of returning to Anatolia after his mission he turned his new
possession into a base for further frontier action in Thrace. Raids and expan-
sion quickly ensued, east along the Marmara Sea, north up the Maritsa
(Turkish, Meri) valley toward Adrianople (Turkish, Edirne), and west along
the Aegean shore. Sleyman Bey soon died (+,,), in an accident, according to
Ottoman tradition, and Orhan Bey did not live much longer (d. +,o.); but
Thracian expansion continued after Murad Bey succeeded to the emirate.
Former Karasi commanders such as Hac Ilbey and Evrenos Bey who had
experience of the Thracian terrain while still serving their earlier masters were
now the main leaders of this expansion across the Dardanelles, facilitated by
the uncertainties resulting from the recent deaths of both the Serbian and the
Bulgarian tsars and weak, sporadic Byzantine resistance. Murad Bey himself
stayed in Anatolia, to nish the conquest of some Karasi territories still main-
taining an independent existence to the south-west and to eect the denitive
submission of Angora (Turkish, Ankara) which Orhan Bey had earlier cap-
tured from Eretna, an Ilkhanid successor state in central-eastern Anatolia. Lala
Shahin Pasha, an Ottoman commander, was also sent to join the Thracian
action to supervise the frontier lords of Karasi origin. Soon the Ottoman
forces, frontiersmen and regular troops together, marched up the Maritsa to
bring pressure to bear on Adrianople; the city was taken after a combined
Serbian and Bulgarian army, possibly also aided by the Hungarian king Louis,
was defeated on its way to relieve it.
The chronology of the early period of Murad Bey is still confused, with
contradictory reports in various versions of Ottoman tradition and in local
chronicles dicult to reconcile.
20
Hypotheses have been advanced to reduce
uncertainties, but scholarly agreement, even on such basic dates as the capture
of Adrianople and whether there was more than one battle against Balkan
armies on that occasion, is not yet established. In later Ottoman sources some
events are related twice, as in the case of the annexation of Ankara, once in
The rise of the Ottomans s,
20
Imber (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
the last years of Orhan Bey and again soon after Murad Bey took over as emir.
Such repetition also occurs in the case of the rst major Ottoman battle
against Balkan forces. Quite possibly some recent Ottoman expansion was
reversed upon the death of Orhan Bey while Murad Bey was still preoccupied
with putting down challenges from his brothers, as mentioned briey in some
Ottoman accounts.
21
As Inalck has suggested, not only Ankara but also
Adrianople may have been rst taken in Orhan Beys last years (+,o+); it is pos-
sible that it reverted to Byzantine rule during the Ottoman succession strug-
gle, to be recaptured several years later (?+,o,).
22
The Ottoman victory over
Serb-Bulgarian forces may also have occurred twice, in the early +,oos and in
+,-+, each time in association with the taking of Adrianople.
The broad outlines are somewhat more clear. Ottoman action against
Adrianople was followed up into the Balkans; Philippopolis (Plovdiv; Turkish
Filibe) was taken soon after. The frontier route in the south into western
Thrace also continued to proceed to Komotini (Turkish, Gmlcine) and
beyond. A certain mutual suspicion not to say animosity can also be detected
between the frontier commanders and their overlord, Murad Beys deputy Lala
Shahin Pasha. According to Ottoman tradition Hac Ilbey, formerly of Karasi
and the main gure in the victory over the Serbians that secured the Maritsa
valley, soon died, said to have been assassinated by Shahin Pasha out of jeal-
ousy.
23
Personal enmity is a possibility, but it is at least as likely that in Murad
Beys seat at Brusa there was genuine suspicion that successful frontier lords
like Hac Ilbey and Evrenos Bey may have been tempted to break away from
the Ottomans to establish their own frontier emirates in Rumeli.
A crucial element in the vicissitudes of frontier life was that communication
between the Anatolian hinterland and the European zone of activity was not
always secure. The journey across the Dardanelles was a short one but
Ottoman naval capacity was still curiously underdeveloped and the crossing
remained vulnerable to hostile navies. This is surprising because even in earlier
times the Ottomans are said to have had some ships on the Marmara.
Furthermore, the Karasi beys possessed a much more developed navy, active
on the Marmara as well as the Aegean, inherited by the Ottomans before they
gained a foothold on the Gallipoli peninsula. Later developments indicate that
the combined OttomanKarasi navy was not sucient to the task. Ottomans
needed Genoan galleys to transport fresh troops to reinforce the Rumeli fron-
tiersmen and Anatolian Turkish clans to resettle in the newly opened lands;
Thracian Greeks seem to have been brought back to Anatolia.
24
The need for
so i. r+i kt+
21
Imber (+,,o), pp. .o-; Uzunarsl (+,-).
22
Inalck (+,-+); Beldiceanu-Steinherr (+,o); Zachariadou (+,-o).
23
Uzunarsl (+,-); Sertoglu and Cezar (+,-).
24
Fleet, The Treaty of +,s-; Imber (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
Genoese co-operation was not only for special occasions of relatively large-
scale movement of people to achieve a population balance between old Rum
and new Rumeli. Even routine crossing became more precarious when
Gelibolu fortress itself was captured by Amedeo of Savoy in +,oo and held by
Byzantium for the next eleven years. Eventually Murad Bey wrested back this
guardian of the Dardanelles; meanwhile, co-ordination of action was ham-
pered, though obviously not halted. This period may have increased the ten-
dency for independent action on the part of the frontier lords; but it must also
have made it clear to them that their position in the hostile environment of
Rumeli was as yet precarious, that they still needed reinforcements from
Anatolia and the goodwill of Murad Bey who held their hinterland. They
needed Anatolia not only as a source of manpower but also as the market for
the booty they gained in their raids. Mutual suspicion there may have been, but
there was also mutual dependence that pulled together Murad Beys Anatolian
hinterland and the frontier enterprise of the Rumeli lords.
Riches pouring into Brusa from across the Dardanelles allowed Murad Bey
to expand into Anatolia as well. Around +,so he acquired extensive territories
to the south, in stages all the way to the Mediterranean at Satalia (Antalya).
Expansion of the Ottoman state against its Muslim neighbours is related by
Ottoman tradition as an inevitable and on the whole peaceful process. At that
time Anatolia still had several well-established emirates, in addition to the east-
central state governed by Kad Burhaneddin, ultimately a survivor of the post-
Ilkhanid power struggles. Karaman in the central plateau was still the largest
of the emirates that had emerged at the collapse of the Seljuks of Rum, of
course with the exception of the Ottoman state itself which had by then tran-
scended its earlier limited nature. Others, especially those inland between
Karaman and Ottoman lands, had become moribund for they were neither
capable of expansion nor of survival as impoverished, land-locked statelets,
under pressure from their more powerful neighbours. When dynastic ties were
established between the house of Osman and the house of Karaman, the old
emir of Germiyan must have feared for his own survival, for he oered his
daughter in marriage to Murads son Bayezid Bey with a sizeable portion of his
lands as dowry, including his chief town, Ktahya. The rest of his emirate was
to be incorporated into Ottoman lands at his death. Around the time of this
wedding, made the more sumptuous by the rich presents from Evrenos Bey
and other Rumeli lords, the emir of Hamid, to the south of Germiyan, agreed
to sell his lands to Murad Bey. A few years later the Ottomans seized the
emirate of Tekke and so gained access to the Mediterranean.
How voluntary was such secession of territory, whether as dowry, as
bequest, or in return for money? We must note that giving away territory as
dowry was not traditional at all. A few years earlier Murad Bey had married his
The rise of the Ottomans s+
Cambridge Histories Online Cambridge University Press, 2008
daughter to the emir of Karaman, possibly to secure his rear while away on
Rumeli conquest; there was no question of the Ottoman princess bringing a
dowry of land to her intended husband. Purchase of an emirate, too, is unprec-
edented in Anatolian Turkish practice. The Germiyan and Hamid emirs may
have felt helpless; however reluctantly, they must have concluded that it was
preferable to end their years as respected and wealthy if small sh in the ever-
growing Ottoman pond. The important point was that by then Ottoman
expansion may have started to look irresistible, because they were so much
more powerful and prosperous then their Anatolian neighbours. The source
of this wealth and power was of course expansion in Rumeli, and controlling
the only funnel-like crossing between Rum and Rumeli, sending fresh warriors
west and bringing the frontier booty east. A second important point is that
these political transactions between emirs seems not to have had any social
implications. As far as the people were concerned they lost their own, local
ruling families but became members of a much larger polity. In any case, there
had traditionally been considerable mobility across political boundaries for
merchants, ahi guildsmen, dervishes and members of mystic brotherhoods.
Circulating scholars and poets had oered their services to various emirs; a
learned or literary work originally intended or even dedicated to one emir was
often presented to another by the time it was completed. Coinage bore the
names of dierent emirs but it was comparable in weight and value from one
emirs territory to the next.
25
Social and political institutions were similar, as
were the ways of the market-place. Ottoman annexation, especially when it
was eected without battle, did not occasion any social dislocation for the
Anatolian population. Life went on as before; furthermore, there were greater
opportunities in the energetic, expanding domains of the house of Osman,
greater rewards for frontier raiders and richer patronage for scholars, poets and
artists, busier markets and larger trade for merchants.
Not all Ottoman relations with Anatolian emirs were peaceful. The
Karamanids resented this recent Ottoman expansion immediately to their
west, or so Ottoman accounts relate, so that Murad Bey had to march against
his son-in-law. The defeated Karamanid emir was allowed to rule in Konya, but
Murad Bey extracted a promise that the Karamanids would keep the peace
while he was busy in Rumeli where, toward the end of his life, he pursued a
much more aggressive policy. Earlier in his emirate he had delegated the super-
vision of Rumeli territories to trusted commanders, rst Shahin Pasha and
then Timurtash Pasha; in the +,sos, with Gelibolu once again in Ottoman
hands, he seems to have taken a more active role in the frontier zone. The raids
of frontier lords had already weakened Bulgarian, Serbian and Byzantine
s. i. r+i kt+
25
Zhukov (+,,,).
Cambridge Histories Online Cambridge University Press, 2008
defences; now Murad Bey, with his regular troops, proceeded to expand his
holdings and incorporate the new territories within regularised administration.
The Rumeli lords were sent forward into Macedonia and Albania to open new
frontier zones as a hinterland with settled conditions evolved.
In the Balkans, as in Anatolia, dynastic disputes in neighbouring states pro-
vided opportunities for expansion. In Bulgaria, since the death of Tsar
Alexander his two sons set up separate domains at Tarnovo and Vidin. After
the (second?) conquest of Adrianople, frontier raiders and Lala Shahin Pashas
regular troops had already occupied southern and eastern Bulgaria. Sometime
in the +,-os Murad Bey married the sister of Tsar Ivan Shishman of Tarnovo
and henceforth considered him a vassal. But in +,s-, perhaps in an attempt to
take advantage of Murad Beys dispute with Karaman, the tsar failed to
respond to Murad Beys call for auxiliary troops against Serbia. Before any
action further west, Ottoman forces invaded much of Bulgaria; Shishman
saved his life by handing over without resistance his last stronghold, Nicopolis
(Turkish, Nigbolu) in northern Bulgaria on the Danube.
In the course of expansion west into Albania and north into Serbia pursued
rigorously through the +,sos, it became clear that regional action was faltering.
Nish was captured (+,so) and the Serbian king Lazar had accepted Ottoman
suzerainty, according to Ottoman tradition; Ottoman frontiersmen pushed
north to raid Bosnian territory. But these successes were reversed soon after
with a setback at Plochnik in +,s- and a more severe defeat in Bosnia in +,ss.
The successful alliance betwen the Bosnian king Tvrtko and Lazar attempted
to push its advantage and a large-scale clash became inevitable. The following
year, gathering all his troops from Anatolia and Rumeli, including contingents
from independent emirates and Rumeli vassals, Murad Bey met and defeated
the Bosnian-Serbian alliance at Kosovo at a grand-scale eld battle. The
Ottoman ruler was assassinated on the battleeld by a Serbian commander and
the captured king Lazar was executed after Murad Beys death, but gaining the
upper hand in this great battle settled the future of the region in Ottoman
favour.
26
Bayezid Bey, active in the battle, succeeded his father immediately.
Lazars son Stephan was recognised as the vassal ruler of Serbia, the marriage
of his sister to Bayezid soon thereafter sealed Ottoman suzerainty.
+nr risr :r r:ii or r:rzir s rrirr
Bayezids reign lasted only thirteen years after +,s,, until his ignominious
defeat at Ankara by Timur, the grand conqueror of Asia. During this short
time, however, territorial expansion and establishment of the rulers internal
The rise of the Ottomans s,
26
Reinert (+,,,) reconciles Ottoman, Serbian and other histories.
Cambridge Histories Online Cambridge University Press, 2008
authority was accomplished at a much quickened pace. Bayezid was
remembered in Ottoman tradition as Yldrm, the Thunderbolt, a fame he
gained in his lifetime for the swiftness of his campaigns and the decisiveness
of his conquests and also for his ability to strike down opposition from former
emirs and domestic challenges. He was equally impatient with equivocal
vassals, threatening neighbours, and respected leaders of the Ottoman enter-
prise, learned ulema and powerful frontier ghazi lords. Both the problems and
the opportunities for enhanced Ottoman power had been evident in the time
of his father; now Bayezid took immediate action to secure and enhance his
external and internal stature. His rapid rise was such that he was recognised as
the rst Ottoman sultan, the classical term for a substantial Islamic ruler. His
father too had shed the simple title of bey and was known by the loftier if idio-
syncratic title of hdtvendigr, lord, but Bayezid truly achieved the sultanate.
Recently Colin Imber has questioned the Ottoman tradition that Bayezid
seized power immediately upon the assassination of his father and, eliminat-
ing his brother Yakub soon after, established his unchallenged authority.
27
Noting that Bayezids surviving coins were all struck at least six months after
Kosovo, Imber raised the possibility that the power struggle between the
brothers may have lasted months, rather than hours, after Murads death.
Stronger evidence indicates that some central Anatolian neighbours tried to
take advantage of uncertainties upon Bayezids accession, whether or not
Yakubs challenge lasted any length of time. Imber quotes a non-Ottoman
Anatolian source to this eect and also compares this account with Ottoman
tradition on Yldrm Bayezids rst campaign, directed against the still inde-
pendent emirs of western Anatolia south from Karasi. Saruhan and Aydn suc-
cumbed quickly; Menteshe followed soon. Bayezid next turned north-east in
+,,+, annexing the lands of his erstwhile vassal Candaroghlu Sleyman and
some petty emirates, until he reached the Kzlrmak (Halys) river across which
he faced a more formidable foe, Kad Burhaneddin, the ruler of Sivas
(Sebastea). It is noteworthy that in this last campaign Bayezid was accompa-
nied by the Byzantine Emperor Manuel II and by Serbian, Bulgarian and
Albanian contingents, conrming their vassal status.
28
Furthermore, the
Ottoman rulers readiness to employ Balkan Christian troops for his conquests
of Anatolian Muslim neighbours stood in contrast to the ideological motif of
the ghazi warrior in the service of Islam. Whatever the role of religious senti-
ment had been in ghazi frontier enthusiasm earlier in the career of the Ottoman
emirate, by Bayezids time in the last decade of the fourteenth century his was
a territorial state with ambitions in both directions, east as well as west, Muslim
as well as Christian. As we have noted, even as a frontier ghazi emirate the
s i. r+i kt+
27
Imber (+,,o), p. ,-.
28
Zachariadou (+,so); Imber (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
Map .o The Ottoman state, c. +oo
Cambridge Histories Online Cambridge University Press, 2008
Ottomans had never refrained from taking action against Muslim neighbours,
but the confrontation in Anatolia had turned to open conict only toward the
end of the century.
Bayezids programme of Anatolian annexation was interrupted by develop-
ments in Rumeli. In Murads time the need to be vigilant on both fronts had
necessitated the creation of a bey of beys, supreme commander, active in
Rumeli while Murad personally took charge of Anatolian aairs. Now Bayezid,
in his turn, created a second supreme commander, a bey of beys in Anatolia,
to take charge of the newly conquered territories and to safeguard Ottoman
rule. In both cases the immediate practical necessity was to curb the autonomy
of local beys and to assure their loyalty, the frontier lords in Rumeli and now
the former emirs of Anatolia. Longer-term institutional implications of these
posts will also need to be separately considered.
As Bayezid was storming Anatolia, frontier lords had continued to put pres-
sure on Serbia, where some commanders preferred Hungarian protection.
29
With campaigns in Serbia in +,,. and Bulgaria in +,,, Bayezid succeeded in
extending his overlordship throughout the area, to the exclusion of Hungary.
As in Anatolia, Bayezid may have thought that time was now ripe to seize out-
right the territories of his vassals: in +,, he constructed a fort on the
Anatolian shore of the Bosphorus for a long-term blockade of
Constantinople. Following frontier raids further north, the sultan himself led
his army across the Danube into Walachia and repulsed the Hungarian king
Sigismund. The rivalry over Balkan supremacy thus settled in Ottoman favour,
Bayezid annexed Bulgaria; the Shishman dynasty of Tarnovo came to an end
when the son of the last Bulgarian tsar converted to Islam and was rewarded
with a command in Anatolia as an Ottoman ocer.
Sigismund had been trying for some years to recruit other European powers
to reverse the Ottoman advance. In +,,o he succeeded in organising a grand
coalition, a new crusade, against Bayezid. Securing Venetian support, joined
by a considerable Burgundian force as well as warrior-knights from other
western European lands, with Byzantium and Walachia as local allies, he
marched once again along the Danube toward Nicopolis. Bayezid was,
however, ready for the crusaders: he was able to raise a huge army from his
Rumeli and Anatolian territories, supported by his Serbian vassal, and defeat
Sigismund and his allies. The Ottoman victory was so decisive that, while
Sigismund was trying to make his roundabout way back via Constantinople and
the Mediterranean, Bayezid pushed forward into Hungary on a raiding cam-
paign. The last remaining area of Bulgaria around Vidin was also taken in the
aftermath of Nicopolis, completing the conquest of the country.
so i. r+i kt+
29
Imber (+,,o).
Cambridge Histories Online Cambridge University Press, 2008
Leaving the aged ghazi lord Evrenos Bey to press the raids into Albania and
southern Greece, and continuing the blockade of Constantinople, Bayezid
returned once again to Anatolian aairs. During the Ottoman preoccupation
with Sigismunds invasion, Karaman had once again attempted to recover its
territory. In +,,- Bayezid led a punitive campaign against Konya, determined
this time to end the Karamanid emirate. The emir was defeated and executed,
his lands incorporated into Ottoman domains. Further east, taking advantage
of the confusion upon the death of Kad Burhaneddin, Bayezid annexed Sivas
and Malatya. By the end of the century, the Ottoman ruler had eliminated all
former gazi emirates in western and central Anatolia, as well as the last rem-
nants of post-Ilkhanid states. Lord of domains stretching from the Danube to
the Euphrates, he was now a formidable neighbour to the two great states of
west Asia, the Mamluk sultanate of Egypt and Syria, and Timurs (Tamerlane)
all-conquering Asian empire. The Mamluk sultanate had no time to worry
about Bayezids rapid rise as it came under pressure when Timur invaded Syria.
For Timur, however, reducing Bayezid soon became a more urgent task than
conquering Mamluk lands. Bayezids impatience with the Anatolian emirs, their
forcible eviction and annexation of their lands caused some of them to seek
justice from Timur the conqueror. Seen from Timurs splendid capital
Samarkand, or even from nearer Islamic centres such as Damascus, Bayezids
Brusa and Adrianople were still minor and uncouth frontier towns. In Timurs
eyes, Bayezid could be tolerated politically as a modest frontier emir, one
among many, but not as an ambitious sultan bent on carving out a rival empire.
In ideological terms, Bayezid might even be considered to be performing laud-
able service to the greater glory of Islam as a frontier lord, but not when he
conquered Muslim emirs and turned further into Islamic heartlands, defying
Timurs eminence as the supreme ruler in the Islamic world. Timur set out to
crush the incipient Ottoman empire; his aim was not to conquer all of
Bayezids territories in Anatolia and in Rumeli but merely to restore these lands
to what they had been only a generation earlier, a region of petty emirates pre-
occupied with frontier expansion more or less in fraternal relations with each
other, but none of them too grand to contemplate extending conquest toward
interior regions. For this purpose Timur invaded Anatolia but only after his
earlier attempts to force Bayezid to submission were unsuccessful. He defeated
Bayezid when the not yet coherent patchwork Ottoman army supported by
Christian troops from Rumeli vassals and the soldiery of formerly indepen-
dent Anatolian emirates dissolved in the face of the Timurs grand horde.
Bayezid fell prisoner and died in Timurs captivity. The victor recreated the
political map of the western frontier region annulling Bayezids Anatolian con-
quests but allowing a much reduced Ottoman emirate to exist among the
others. In the rst decade of the fteenth century Bayezids sons fought each
The rise of the Ottomans s-
Cambridge Histories Online Cambridge University Press, 2008
other to lead this patrimony; the relative ease with which a powerful Ottoman
state was soon re-established indicates that the forces cohering near the
Ottoman ruler were stronger than appeared to Timur and to other contempo-
raries.
rr\riorr+ or o++o: roii+
For a hundred years after its emergence the Ottoman state expanded from a
tiny tribe of Osmans followers on the SeljukByzantine borderlands in
Bythynia to a major sultanate in Anatolia and the Balkans. This territorial
expansion meant that the frontier society of Osmans time moved on to new
regions in south-eastern Europe, leaving behind a relatively peaceful and stable
hinterland. A further aspect of change was the emergence of a political centre
distinct from the relatively loose organisation of frontier society. The expan-
sion of the Ottoman state was, to a large extent, parallel to the elevation of the
position of the ruler with sucient central power to impose order on the
periphery.
In the egalitarian days of Osman Beys followers all members of the tribe
seem to have had their own livelihood, beys owning some ocks of sheep,
common folk tilling the elds, artisans and small merchants active in the
market-place. When the tribe was threatened from the outside or when the
beys called a raid shepherds and farmers, artisans and vendors took up arms.
Sometime in Orhan Beys long rule, as the frontier zone moved away from the
original heartland there emerged a social dierentiation between people who
were essentially civilians as opposed to others who were ghters. The distinc-
tion was not rigid; there was always room for volunteers in frontier raids and
also in the rulers campaigns, but it was recognised that ghters should be given
additional consideration. Land was given to soldier-farmers who could be called
upon to take up arms by command, not simply as volunteers. The beys, cap-
tains and horsemen were allocated livings, dirlik in Turkish, made up of land
rent from peasants and market dues in towns. The dirlik units were proportion-
ate in size, both in terms of settlement and of revenue generated, to the rank
or standing of the holder. A horseman might be given the revenues of a village,
mostly in kind as a share of the agricultural produce; a captain or bey would be
in charge of a town where the revenue was greater and more of it was gener-
ated by commercial activity and so in cash. The ruler, too, had a dirlik, concen-
trated around Brusa, which in time came to be known as the rulers domain, and
later also around Adrianople. The size of the rulers dirlik was of course greater,
but it was essentially a living as any other. Land as well as land revenues were
also given to dervishes or to learned men, but these were in the form of vakf
endowments. It is interesting to note that all dirlik recipients and those who
ss i. r+i kt+
Cambridge Histories Online Cambridge University Press, 2008
made their living out of vakf revenues, whether warriors or men of religion, as
a group were termed askeri which literally means military, an indication that
early social dierentiation was based on ghting ability, at least in concept.
Dirliks were also known as timars, here meaning horse-grooming, implying a
living for a horse warrior.
Small livings were of an amount of revenue sucient to keep the holder, a
cavalryman. Recipients of larger dirliks were expected, in addition, to keep a
retinue proportionate to the level of their revenues. A town commander, for
example, might have a dirlik ten times greater than a cavalrymans; in that case
he would be expected to bring a retinue of ten men on campaign. He would
be totally responsible for their keep, weapons, horses and any pocket money
he might give them. The revenue grants supported not only the dirlik holders
but also a number of ghters in their own households. Such ghters might be
outsiders or local volunteers who oered their services to the commander, but
these military households also included a number of bondsmen, perhaps cap-
tured in battle or in raids. Large households, those of the ruler or of leading
beys, held a higher proportion of slave soldiers. The important point is that the
dirlik grants supported household troops, whether free volunteers or slave
retainers.
In the Islamic world it was an old tradition for rulers to maintain slave house-
hold troops. In early Ottoman society, when inner Asian steppe tribal tradi-
tions were still alive, some uprooted warriors bound themselves to beys,
forming a band of ghters loyal to the person of the chief.
30
In an Islamic
setting slave soldiers had to be of non-Muslim origin and from outside the
domains, for neither Muslims nor protected zimmi non-Muslim subjects could
legally be made into slaves. In Ottoman practice, too, slaves to serve as house-
hold troops were captured across the frontier. After the mid century when the
frontier struggle moved across the Dardanelles, when there were very few non-
Muslims in Anatolia who did not live under Muslim government in the
domains of one gazi emirate or another, the Balkans became the only source
of such captives. The frontier lords stocked their own households after raids,
the surplus was transported for sale in Anatolia. At a time when the Ottoman
bey himself no longer took part in raids, when he might as often lead cam-
paigns in Anatolia against Muslim rivals as in the Balkans, the ruler might have
been eclipsed by the frontier lords, each in command of many frontier raiders
and with their own well-furnished and abundantly manned households, much
larger than would have been possible solely on revenue grants. To redress the
balance and establish his own eminence beyond challenge, Murad Bey claimed
one fth of the captives or of their cash value as well as of other plunder when
The rise of the Ottomans s,
30
Inalck (+,s+.).
Cambridge Histories Online Cambridge University Press, 2008
they were brought to Anatolia. His claim was instituted as a customs point at
Gelibolu; the frontiersmen resented what they considered an unjust appropri-
ation, their bitterness at wily counsellors with their book-learning leading the
Ottoman bey to injustice was long-remembered, though in the event they had
little choice but to obey the rulers command.
31
This new ruling sometime in the +,-os increased the rulers dirlik revenues
and gave fresh impetus to the enlargement of his household much beyond
those of leading commanders. He already furnished household cavalry regi-
ments made up of wage-earning mercenaries and volunteers; with the sud-
denly increased ow of cash and captives from the Gelibolu customs Murad
Bey was able to form several companies of foot soldiers called new troops,
yenieri in Turkish (corrupted to janissary). Yet toward the end of the century
the number of captives seems to have become insucient for royal require-
ments, perhaps because there were more campaigns of conquest or eld
battles, including those in Anatolia, than raids for human or material booty.
Whatever the original impetus, a new method of recruitment came into being:
the forcible removal of men or boys from Christian peasantry, subjects of the
Ottoman ruler. Both this cruel and unusual way of recruitment and the recruits
themselves were known as devshirme, literally gathering or hand-picking. The
plight of families losing their sons can be imagined, though the recruits might
later attain high oce and command. The method was also unknown in earlier
Islamic practice, and almost certainly illegal from the point of view of sheriat,
Islamic law.
32
Recently Demetriades has suggested that devshirme recruitment
may have come about in the frontier zone, not in the pacied hinterland.
33
In
the turbulent frontier conditions where the enemies were separated not by a
line but confronted each other across the land it may have been dicult to tell
what could be considered already in Ottoman domains and what was yet to be
subdued, who was a subject and who was still the foe. Demetriades has also
suggested that it may have been the old frontier lord Evrenos Bey who was
responsible for such raiding of his own territory. Was it that areas earlier plun-
dered from the outside were required to provide recruits, human booty, even
after they became subject to Ottoman rule? In any case, devshirme had the
advantage over random captives in battle that recruits could be chosen at
greater leisure for superior physical and mental ability. When the devshirme
appears fully formed in Ottoman documentation it was a royal prerogative, but
the possibility that Ottoman rulers took Evrenos Beys lead and then mono-
polised his method cannot be disregarded.
34
However it may have come about,
the devshirme in addition to the one fth share of captives at Gelibolu provided
soo i. r+i kt+
31
Askpasazade, Tevar h-i A
l-i Osman.
32
Wittek (+,).
33
Demetriades (+,,,).
34
Vryonis (+,-+), pp. .o, for possible earlier versions of forced recruitment.
Cambridge Histories Online Cambridge University Press, 2008
the means for the sultan to increase his household troops without cost, and
Gelibolu customs revenues aorded the funds for the upkeep of the royal
household. Holding Gelibolu seems to have increased Murad Beys power
over his lords by giving him the ability to control both the ow of ghazi volun-
teers to the Balkan frontiers and the shipment of captives and booty to
Anatolia.
35
In the enhancement of the power of the ruler the size of his household
army may have been the crucial factor. Relatively smooth succession in the
house of Osman, until Timurs blow, also assured that the royal household and
royal authority were never disrupted, damaged and dissipated from generation
to generation. The Ottomans were quick to take advantage of succession
struggles in neighbouring states, Muslim or Christian. On the other hand, in
their political conceptions and practices they seem to have been quite similar
to other Muslim emirates of Anatolia. Was it simply coincidence that, while
many neighbours suered domestic discord, the house of Osman remained
united? Kafadar has suggested otherwise: that the Ottomans deliberately
avoided the danger of dissolution by a policy of unigeniture, keeping the
patrimony intact and not dividing it among members of the ruling clan.
36
While it is true that we do not have instances of brothers of an Ottoman ruler
holding dierent provinces, the more serious disruption to a ruling house
usually happened at the death of a ruler. In the steppe tradition there was no
set way of succession; not having a rule was itself the rule. Members of the
ruling house were all potential successors; let them contest the succession and
the best leader would emerge success would be proof of his military and
political ability. In this sense, the house of Osman was no dierent from their
Muslim neighbours. The historian may not like the idea, but it was good fortune
that Orhan succeeded his father apparently without much of a struggle and
then remained the chief for almost forty years. By the time he died Gelibolu
was already in Ottoman hands and the frontier had moved to Thrace. Murad
in +,o. as well as Bayezid in +,s, may have had to ght for the beys seat.
37
There is in Murads time the curious episode of the challenge by his son, Savc
Bey: Savc and a Byzantine prince unsuccessfully attempted a double revolt; he
seems to have been eliminated soon after. Certainly there are many other chal-
lenges by real or false princes in later Ottoman history, much better known
and documented. If there was conscious unigeniture it was not unique to the
house of Osman; nor was the house free from occasional trouble. Even if, in
its rst century, Ottoman succession was less disruptive than elsewhere both
in +,o. and in +,s, the new emir apparently had to enforce the most recent
conquests and treaties of his predecessor, to begin again in his own name.
The rise of the Ottomans so+
35
Kafadar (+,,), p. +..
36
Ibid., pp. +,o-.
37
See n. .- above.
Cambridge Histories Online Cambridge University Press, 2008
In political organisation, too, the Ottoman state at rst followed earlier
Islamic examples. Once the emir gained an elevated place and became a veri-
table ruler, a sultan, he appointed an emir l-mera, bey of beys, as the military
chief. As in usual Islamic practice, the chief commander was balanced by a kad-
iasker, chief magistrate, from the learned profession, who acted as a civilian
counsellor, a vezir. Already in Bayezids short time in power, after the incorpo-
ration of Anatolian emirates, the Ottoman state departed from precedent by
having two chief commanders, and possibly two chief magistrates as well, one
for each territorial wing, Anatolia and Rumeli: the position of the sultan was
now even grander. A further process was that among military commanders,
men who had rst served in the rulers household as his bondsmen and so with
greater loyalty to the person of the sultan came to take precedence. All these
changes, unique to Ottoman organisation and designed to enhance the supre-
macy of the sultan, became much more denite in the decades following the
disaster of +o., but the direction and intent can be detected in the last quarter
of the fourteenth century.
The internal power of the sultan made expansion more controlled, with the
frontier lords obedient to a policy articulated by the sultan and his counsellors
at the centre. Various practices at conquest lessened the shock for the popu-
lace: local dynasts were sometimes given the chance to become Ottoman
ocials as consolation for the loss of their own lands, usually to serve at a
dierent corner of the Ottoman realm. Some Christian commanders were
given Ottoman dirliks, as is evident from later land registers.
38
Local adminis-
trative practices were maintained so that daily life was relatively undisrupted.
Taxation might in fact be lessened, sometimes only temporarily, to allow the
area to recover its economic potential.
39
There were shifts in population;
Turkish tribesmen moved to the Balkans both to reduce their unruliness in
Anatolia and to achieve a swift presence in recently conquered Rumeli lands.
40
Certainty as to numbers is impossible, but changing demographic balance
aided Ottoman expansion: while Byzantine lands were depopulated, some-
times because Christian folk crossed over to live in the secure conditions of
Ottoman-held areas, Turkish-Muslim population was reinforced by fresh
waves of westward movement.
41
Apparently the Black Death at mid century
which devastated Arab as well as Byzantine cities had a lesser impact on
Turkish people of central Asian stock: periodic outbreaks of plague are noted
in Turkish sources but not as a single terrible blow, and there are indications
that Anatolia was deemed safer during the great calamity.
42
To accompany the
so. i. r+i kt+
38
Inalck (+,.).
39
Oikonomids (+,so).
40
Gkbilgin, Edirne ve Pas a Livas, and Rumelide Yrkler.
41
Zachariadou (+,s-).
42
Dols (+,--).
Cambridge Histories Online Cambridge University Press, 2008
frontiersmen, Su dervishes too were encouraged to move to Rumeli by vakf
endowments; their convents served as social centres for the Muslims, their
exible and tolerant version of Islam also appealed to non-Muslims and facil-
itated conversion.
43
Religious attitudes conrmed the superiority of Islam
without necessarily denigrating non-Muslim beliefs and practices.
44
Endowments in towns encouraged the market-place while providing social
and religious services.
45
Murad Bey even joined the ahi guildsmen, recognising
the social and even, at times, the political importance of the network they had
created in Anatolian towns.
46
These were all aspects of the remarkable rise of the Ottomans in the course
of the fourteenth century, both in Anatolia and in Rumeli. Ottoman conquest
and Ottomanisation was placed on rm foundations, suciently so that the
state recovered from Timurs invasion with remarkable resilience. The
Ottomans channelled the Turkish population of Anatolia to a new region of
frontier opportunity and expansion, and they used the power gained in Rumeli
to subjugate Turkish neighbours in Anatolia. This opportunity for expansion
became possible only with the incorporation of the Karasi emirate and rm
control of Gelibolu. At rst it was, perhaps, an unexpected opportunity but
the Ottomans knew well not to miss it.
The rise of the Ottomans so,
43
Barkan (+,.).
44
Kafadar (+,,); Balivet (+,,,).
45
Kiel (+,s,).
46
Uzunarsl (+,-), p. ,o.
Cambridge Histories Online Cambridge University Press, 2008
cn:r+rr .-
CHRISTIANS AND MUSLIMS IN THE
EASTERN MEDITERRANEAN
Peter Edbury
+nr fall of Acre and the other Christian strongholds on the coast of Syria and
Palestine to the Mamluk sultan in +.,+ marked the end of the western military
presence in the Holy Land which had begun at the time of the First Crusade.
But the widespread conviction that Jerusalem and the other places associated
with Christs life on earth ought to be a part of Latin Christendom was by no
means dead. The demise of the kingdom of Jerusalem did not signify the end
of the crusading movement, though between +.,+ and the end of the four-
teenth century the question of whether the west should launch crusades to
recapture the Holy Land came to be largely overshadowed by the more press-
ing question of how far the west could prevent the Muslims from occupying
other Christian-held territories bordering the eastern Mediterranean. After
+.,+ the kingdom of Cyprus under its Lusignan dynasty remained as the sole
western outpost in the Levant while to the north, in south-eastern Anatolia,
the kingdom of Cilician Armenia provided the one Christian-controlled point
of access to the Asiatic hinterland. Further west, in the former Byzantine lands
in and around the Aegean, there were a number of European possessions,
most of which had been won early in the thirteenth century as a result of the
Fourth Crusade. The Hospitallers were to add signicantly to these territories
when between +,oo and +,+o they seized the island of Rhodes from the
Byzantine Greeks. The Byzantine empire itself, though buoyed up by the reoc-
cupation of Constantinople in +.o+, lacked the resources necessary to defend
its territory now largely limited to Bithynia, Thrace and northern Greece
from the predatory designs of its neighbours, and the fourteenth century was
to witness its decline into impotence (see above pp. -,s.).
Since the +.oos and indeed until the early sixteenth century the Cairo-based
Mamluk sultanate ruled in Syria and Palestine. The regime was prone to peri-
odic bouts of political crisis as rival military commanders jockeyed for power,
but it was nevertheless able to provide a fair measure of internal stability. In
+.,,, +,o+ and +,o, invading armies from the Mongol Ilkhanate of Persia
so
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briey occupied Syria, but otherwise, apart from coastal raids from Cyprus in
the +,oos, the region was largely free from external attack until Timurs inva-
sion of +oo+. Conict between the Mongols and the Mamluks had begun in
the mid-thirteenth century, and, as the Mamluks continued to consolidate their
hold on Syria after +.,+, so they strengthened their position by punitive attacks
on the Mongols allies, the Armenians of Cilicia. However, despite alarmist
rumours of massive naval preparations, they lacked the capacity to strike at the
island of Cyprus. In Asia Minor the political situation was more uid. The
Seljuk sultanate of Rum, which at the beginning of the thirteenth century had
been a major force in the region, had dwindled in power and extent and by the
early fourteenth century had ceased to matter. In its place had developed a
number of smaller emirates or beyliks, and from the late thirteenth century
forces from these principalities were able to seize cities and fortresses in the
Byzantine lands in north-western Anatolia and prey on Christian shipping in
the waters around the coast. By +,,- the Turks had almost entirely expelled the
Byzantines from Asia Minor. Among their warrior-leaders, though by no
means regarded as most important at the time, was a certain Osman (d. +,.o)
who in +,o. scored a notable victory over the Greeks at Baphaeon but whose
chief claim to fame is as the ancestor of the dynasty known to posterity as the
Osmanl or Ottoman Turks (see above pp. s).
Though the Muslims were dominant on land, the Christians retained their
mastery of the sea. Merchant vessels from Italy and also from southern France
and Catalonia traded regularly in the Aegean and Black Sea and in the Levant,
calling at both Christian and Muslim ports. There can be no doubt that there
were substantial rewards to be had from trade and shipping, and also that the
regular presence of western merchant eets did much to sustain the Christian
bridgeheads and trading stations in the east. For their part, though they did
possess a merchant marine, the Mamluks lacked an eective naval arm. Thus
despite considerable provocation, there was no Mamluk expedition against
Cyprus between +.-+ and +., and no attack on Rhodes until +o. More wor-
rying for Christian seafarers were the Turkish emirates of western Asia Minor.
In +,., the emir of Aydn, who had controlled Ephesus since +,o, captured
Smyrna, and corsairs based in these ports and also in the adjacent emirate of
Menteshe in south-western Anatolia ranged widely across the Aegean raiding
as far as Greece and Negroponte.
For Christians in the west at the beginning of the fourteenth century, the
idea that the Holy Land should be recovered remained axiomatic. There can
have been very few people who would have voiced opposition to the idea of a
crusade to win back Jerusalem, and the papacy persevered in seeking ways to
launch just such an expedition. But although the goal of Jerusalem retained its
potency there was only limited agreement as to the practicalities, and for
Christians and Muslims in the eastern Mediterranean so
Cambridge Histories Online Cambridge University Press, 2008
diering reasons the prospect of a major campaign gave rise to serious
apprehensions and highlighted mutual tensions. For example, in France the
mantle of St Louis hung heavily on the shoulders of his heirs and it was gener-
ally assumed that the Capetians would take the lead, but this in itself resulted in
a certain tepidity towards a Holy Land crusade on the part of other monarchs,
not least the kings of Aragon who had been locked in a struggle for control of
Sicily with the cadet branch of the French royal family and successive popes
since the +.sos. Problems of a dierent kind were presented by the mercantile
interests. Crusading would entail the disruption of trade: the subsidiary aim of
restoring the Latin empire of Constantinople would mean dislocation not only
in the Levant but also around the Aegean and the Black Sea, and the merchants
knew that they would be particularly vulnerable to reprisals should a crusade be
less than totally successful. More immediately, it was widely accepted that as a
preliminary to a successful assault, the Mamluk sultanate should be weakened
by an extended trade embargo which would starve it of war materials and
mamluk slaves and generally undermine the economy. But in view of the prots
to be made, an embargo was the last thing the merchants wanted.
Directly after the fall of Acre the pope, Nicholas IV, took measures to send
forces to defend Cyprus and Armenia, sought to organise the commercial
blockade of Mamluk ports and proclaimed a general crusade for the summer
of +.,,. He also ordered the summoning of provincial Church councils to con-
sider among other things the merging of the Templars and the Hospitallers,
called on the bishops to engender peace within Europe and requested advice
on crusading strategy. Not much came of the popes eorts, since he died in the
following year, but his activities set the tone for a generation. There was no
shortage of advice: no fewer than twenty-six extant treatises on the theme de
recuperatione Terrae Sanctae have been counted from the period +.- to +,+.
1
Opinions varied on such issues as the numbers of men required, or whether a
crusade should invade Syria via Cilicia or make a direct assault on Egypt, and
not surprisingly some writers seem to have been more in touch with reality than
others. Nicholas did manage to set the process in motion whereby a eet
brought aid to the Christian outposts in the east, but his crusading plans proved
still-born. Peace in Europe was a forlorn hope, and further short-term meas-
ures to help Cyprus and Armenia were stymied by a war between Genoa and
Venice which lasted from +.,, until +.,,. The Templars and Hospitallers
opposed the proposed merger of their Orders, though, when in +,+. the
Templars were suppressed, the Hospitallers did acquire a substantial propor-
tion of their former lands. The commercial blockade, with its automatic sen-
tence of excommunication for those who transgressed, was never eective. It
soo rr+rr rrrtr
1
Schein (+,,+), pp. .o,-o.
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may well have deterred some, but too many merchants were prepared to risk
the penalties. There could be no eective policing of the seas; in course of time
release from excommunication in return for the payment of a ne became a
matter of routine, and from the +,.os the popes began issuing licences to allow
merchants to break the embargo and engage in trade within the Mamluks lands.
Since the death of St Louis at Tunis in +.-o the contribution of the kings
of France to crusading to the east had faltered. Concern for their Angevin
kinsmen in southern Italy in their struggle against the Aragonese, and wars
against the kings of England and the counts of Flanders, now took precedence
over more distant campaigns. Acute awareness of the nancial requirements
for a major expedition overseas meant that they looked to the papacy to agree
to assistance in the form of increasing clerical taxation. But for their part,
churchmen were anxious that secular society should shoulder a substantial pro-
portion of the burden of crusade nance and feared that monies raised from
the Church would be put to other purposes. During the ponticate of
Boniface VIII (+.,+,o,) relations between Philip the Fair of France and the
papacy reached a new low, but subsequently, with the popes now choosing to
live in or just outside the French kingdom, royal inuence over the papacy
increased. One direct result of this development was that Philip was able to
bring pressure to bear on Clement V (+,o+) to suppress the Templars.
Another was that he now professed his enthusiasm for crusading, and in +,+.
at the Council of Vienne the king undertook to prepare for a crusade in the
knowledge that a six-years tithe from the beneced income of the clergy
throughout western Christendom would be raised to pay for it. The following
year Philip, together with his sons and his son-in-law, Edward II of England,
and many nobles, took the cross for an expedition that was supposed to start
by the spring of +,+,. Although in fact no fourteenth-century king of France
ever led a crusade to the east, the commitment to crusading that Philips
actions in these years entailed left an indelible mark on French royal policy; for
the next quarter of a century the crusade was never far from the forefront of
aairs of state, and it continued to cast its shadow for long afterwards.
Philips stated goal was Jerusalem. As early as +.,- he had secured the
canonisation of his grandfather, that indefatigable crusader Louis IX, and in
espousing the crusade he was not only seeking greater glory for himself and
his dynasty but was also assuming the role that many people in Europe had
come to expect of a French king. Philip had an additional interest, the re-estab-
lishment of the Latin empire of Constantinople. Since +.o+, when the Greeks
had reoccupied their capital, the papacy had vacillated between a policy of
pressurising them into Church union with the west and one of encouraging
moves to expel them once more. The failure of ecclesiastical union after the
Council of Lyon of +.- combined with the marriage in +,o+ of the titular
Christians and Muslims in the eastern Mediterranean so-
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Latin empress to Philips own brother, Charles of Valois, put the idea of using
a crusade to recapture Constantinople a milestone on the road to Jerusalem
rmly back on the agenda.
There is no reason to doubt that Philip the Fair and his family were sincere
in their intention to launch a crusade. But Philip himself died in +,+, and his
death was followed by a period of dynastic uncertainty. His sons, Philip V
(+,+o..) and Charles IV (+,..s), both continued to plan crusading expedi-
tions, but without achieving anything concrete. It was generally accepted that
if an all-out assault by a crusading army from the west to regain the Holy Land
was to be successful, there would have to be smaller preliminary expeditions
to prepare the way and establish bridgeheads. In other words, there could be
crusades to the east with specic goals which fell far short of the capture
of Jerusalem. Philip V sought to organise a preliminary crusade, or, to use the
current parlance, a passagium particulare or primum passagium to bring aid to
the Armenians and enforce the trading embargo on Mamluk ports, but in
+,+, the ships he had assembled became embroiled in Pope John XXIIs Italian
preoccupations and were lost in a naval battle near Genoa. In +,., Charles IV
began preparations for another eet to be sent to the east, but disputes with
the papacy over funding and then conict with England over Gascony also
brought his eorts to a halt. Philip VI (+,.so), however, found that circum-
stances were more favourable, and in +,, he contributed to what he and the
pope regarded as a primum passagium which was directed against Turkish ship-
ping in the Aegean and which culminated in a victory over the Turks in the
Gulf of Adramyttion.
At last the French monarchy and the papacy had something to show for all
their eorts. The +,, campaign signalled the start of a new chapter in
European endeavours to bolster the Christian presence in the eastern
Mediterranean, though not along the lines hitherto envisaged. With the benet
of hindsight it is clear that the inability of successive French kings to act had
prevented other strategies for countering Muslim advance from gaining
support, and the very fact that the +,, expedition took place in itself reects
a change in atmosphere. The French had tacitly abandoned their ambition to
re-establish the Latin empire of Constantinople; the Turkish conquest of the
Byzantine areas of Asia Minor meant that western opinion had now swung
rmly in favour of supporting the Byzantine regime against further Muslim
losses and away from the idea of overthrowing it. More importantly, the +,,
campaign was not a French-led expedition but the product of a Christian
league which both France and the papacy joined comparatively late and to
which they contributed only a modest number of ships. The core of the league
consisted of Venice, the Hospitallers, the Byzantine empire (which in the event
failed to honour its pledge to participate) and Cyprus, and their alliance against
sos rr+rr rrrtr
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Turkish sea-borne depredations was spurred by a common self-interest rather
than by the long-term goal of recovering the Holy Land. It was envisaged that
there would be a follow-up campaign in +,, with a larger French and papal
contingent, but for a variety of reasons, not least the deteriorating relations
between France and England, it was called o. With the outbreak of the
Hundred Years War in +,,-, further French involvement in the eastern
Mediterranean was out of the question. But leagues involving the papacy,
Venice, Cyprus and Rhodes were to have a long future.
Christian alliances directed against the Turks in the Aegean formed the
focus for concerted action from the early +,,os until around +,oo. Venice had
the most ships to oer, and it was Venices interests that were also the most
vulnerable to Turkish corsairs. Since the early thirteenth century the Venetians
had had control of Crete and Negroponte as well as a number of the smaller
islands in the southern and western waters of the Aegean, and they were clearly
anxious to defend these possessions against raids which might ultimately lead
to conquest. More importantly, their ships traded regularly in Constantinople
and the Black Sea, and the Turks posed a major threat to the security of their
routes. Venetian rivalry with the Genoese added a further dimension to the sit-
uation, especially as the Genoese were more willing to reach accommodation
with the Turks and had signicant territorial and commercial interests of their
own. Venice probably deserves most of the credit for getting the +,, league
started; the idea of an alliance with the Byzantines against the Turks can be
traced back to the mid +,.os, but the political uncertainty that attended the last
years of Andronikos II (+.s.+,.s) and the accession of Andronikos III
(+,.s+) delayed matters. In the early +,,os, with the emir of Aydn now
rmly in control of Smyrna, the threat to Venetian interests must have been
greater than ever, and it would seem that it was they who managed to bring the
Byzantines and the Knights of Rhodes together to form the nucleus of the
league.
The Hospitallers had conquered Rhodes between +,oo and +,+o and had
immediately made it their headquarters. Previously they had been based in
Cyprus, and while there the Order had been beset by internal diculties. Since
the fall of Acre the knights military activities had been sporadic and largely
ineective, but the initiative in acquiring a fortied base they could call their
own, even if it was at the expense of the Greeks and not the Muslims, helped
them nd a fresh sense of purpose. In view of what was happening to the
Templars at precisely the moment they were establishing themselves on
Rhodes, this new enterprise would seem to have been very necessary. In +,o,,
with the active encouragement of Philip the Fair, the master, Fulk of Villaret,
had led a crusading expedition which enabled him to consolidate his control
over the island. Rhodes occupied a strategic point on the main shipping lanes
Christians and Muslims in the eastern Mediterranean so,
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to Cyprus and Armenia; it was also ideally suited for containing the Turks of
south-western Asia Minor and maintaining Christian dominance in the south-
ern approaches to the Aegean. A recurrent criticism of the Hospitallers was
that they did not do as much as they might to stem Muslim advance, but during
their early years in Rhodes debt and problems connected with transferring
funds from their numerous estates in Europe to the east severely curtailed their
ability to act. In +,+,.o, however, a series of campaigns against the Turks and
also against a Byzantine garrison on Leros inicted heavy losses. The basic
problem facing the Order was that their wealth, great as it was, paled when set
against the costs of building fortications, providing garrisons and maintain-
ing a eet.
In some respects the Knights of St John were more closely attuned to papal
policy than the other Christian powers in the east. As members of an exempt
Order of the Church they had a tradition of loyalty to the popes, who for their
part expected them to execute their designs. For example, it would seem that
besides trying to police the seas to prevent breaches of the trading embargo
the Order followed papal instructions in bringing aid to Cilician Armenia. But
they were also capable of thwarting papal intentions. In particular they fos-
tered friendly relations with the kingdom of Aragon, promoting a marriage
between King James II and a sister of Henry II of Cyprus in +,+ which could
easily have led to Cyprus passing to the Aragonese crown, and at the same time
they ignored a papal instruction to move against the Catalan Company in
Athens. James II of Aragon (+.,++,.-) had a long record of defying the
papacy. Not only had he sustained the Aragonese occupation of Sicily in the
face of French and papal displeasure, he had maintained friendly diplomatic
contacts with the Mamluk sultanate and his merchants were notorious for dis-
regarding the papal ban on trade. Aragonese pragmatism in coming to terms
with the sultanate, which during the third reign of al-Nasir Muhammad
(+,+o+) reached the height of its power, must have seemed more realistic
than the papal crusading rhetoric and the distant and, as events were to show,
insubstantial French sabre-rattling. There was no way the knights could chal-
lenge the Mamluks unaided, and unless and until a major European crusade
became a genuine possibility it was much better to act with circumspection.
After the occupation of Rhodes, Hospitaller relations with Venice and also
with Genoa were strained, partly because of competing territorial ambitions
in the Aegean and partly because the Order made some attempt to enforce the
papal embargo on trade with the Mamluks by intercepting ships coming from
Egypt or Syria. But the Turks of Aydn and Menteshe posed the biggest threat
to its activities, and the fact that despite their former dierences the knights
could make common cause with the Byzantines and Venetians against them is
further evidence for the seriousness with which their depredations were now
s-o rr+rr rrrtr
Cambridge Histories Online Cambridge University Press, 2008
seen. The security of Rhodes and its environs was probably uppermost in their
minds, but they would have accepted that it was part of their duty to protect
Christian interests generally, and that meant safeguarding the other Christian-
held territories in the Aegean and also the shipping lanes to Constantinople,
Cyprus and Armenia.
By the early +,,os the Frankish rulers of Cyprus probably felt more secure
than at any time since before the fall of Acre. A generation had passed and
there had been no Mamluk attack on the island: rumours of large-scale prep-
arations in the +.,os and +,oos had proved false. For their part, the Cypriots
had attempted ineectually it is true to join forces with the Mongols in their
invasions of Syria in +.,, and +,o+, and a Cyprus-based Templar force had
briey reoccupied the island of Ruad near Tortosa in +,o+.. But after +,o,
there were no more Mongol campaigns into Syria, and the idea that the Holy
Land might be recovered for Christendom by the Ilkhans of Persia, who in any
case had by now adopted Islam, ceased to be taken seriously. But though
Cyprus was secure behind its natural defence, the sea, Cilician Armenia lay
open to Mamluk attrition. Devastating campaigns as in +.,s, +,o. and +,o or
in +,.o and +,.. which resulted in cities being ravaged and fortresses ceded
were interspersed by periods in which an uneasy peace could only be attained
by the payment of heavy tribute. Western aid was limited in the +,oos the
popes sent nancial help and the Hospitallers brought military assistance and
the situation was exacerbated by violence and bloodshed within the ruling
family. The reign of King Oshin (+,o-.o) seems to have been comparatively
untroubled, though it was characterised by bad relations with the king of
Cyprus, Henry II (+.s+,.), which on occasion appear to have led to armed
conict.
2
What helped sustain both Cyprus and Armenia in these years was the wealth
that accrued from international commerce. After +.,+ the Armenian town of
Ayas (Lajazzo) was the sole Levantine port through which western merchants
could legitimately trade with Asia, while in Cyprus Famagusta ourished as a
second major entrepot in the east. At both ports western merchants dealt in
cloth, oriental spices and foodstus, and the surviving registers of the Genoese
notary, Lamberto di Sambuceto, who was working in Famagusta in the +.,os
and +,oos, well illustrate the vigour and importance of this trade. In +,.. the
Mamluks briey occupied Ayas, and it is likely that its trade never recovered.
In +,, it came under attack once more, and it was nally lost to the Muslims
in +,,-. Famagusta could oer far more security as a trading centre, and there
the westerners could buy Asiatic goods from local merchants, many of them
Syrian Christians who had taken refuge in Cyprus in +.,+ or earlier, who in
Christians and Muslims in the eastern Mediterranean s-+
2
Edbury (+,,+), pp. +,o.
Cambridge Histories Online Cambridge University Press, 2008
their turn had acquired them in Cilicia or the smaller ports of northern Syria.
Henry IIs government seems to have tried to establish Famagusta as a staple
for trade through the eastern Mediterranean, discouraging merchants from
trading elsewhere in Cyprus, turning a blind eye to the activities of its own mer-
chants who were acquiring eastern goods in the Mamluk sultanate for resale
and trying to force the western merchants to trade in Cyprus by patrolling the
sea to prevent them breaking the papal embargoes on trade with Egypt and
Syria. It is, however, questionable how much the patrols actually achieved,
although their activities undoubtedly soured relations with the Genoese and
resulted in retaliatory raids on the Cypriot coast and threats of more serious
attack.
The commercial importance of Cyprus had military implications. On the
one hand, the kings were able to employ the money they raised from tolls and
other dues for defence; on the other, the western merchants recognised that it
was in their own interests that the island and the shipping lanes to the west
should be safe from Muslim attack. No doubt it was awareness that the pro-
tection of the waters around Crete and Rhodes was vital to communications
with the west that resulted in the kingdom of Cyprus becoming involved in the
naval leagues. Hugh IV (+,.,) contributed six galleys in +,,, and in +,,-
he won what would seem to have been an important victory over the Turks. A
few years later a visitor from the west noted that the Turkish emirs of south-
ern Anatolia paid him tribute. How the Cypriot kings viewed the prospect of
a crusade to recover the Holy Land is more problematical. They themselves
had a good claim to be the titular kings of Jerusalem, but since the +.-os their
rights were disputed by the Sicilian Angevins, and they would have realised that
in the event of a successful French-led crusade it would be unlikely that they
would be restored to power. There were even voices in the west prepared to
question the Lusignans right to rule in Cyprus, although the marriage of
Hughs heir-presumptive to a kinswoman of the French king in +,,o must have
laid that particular ghost to rest. There was also the problem of the form a
crusade might take. A short-lived naval campaign would probably achieve little
and only serve to antagonise the Mamluks with the result that after it was over
Cyprus would be exposed to retaliation; in +,,o Hugh even had the pope order
the cessation of crusade preaching in Cyprus. So far as he was concerned, mil-
itary action against the Turks of Asia Minor and peaceful co-existence with the
Mamluk sultanate was the order of the day.
On the whole Cyprus enjoyed good relations with both Venice and the
Knights of St John in Rhodes. The Hospitallers had traditionally got on better
with the Lusignans than had the Templars, and in +,+o they assisted in the
counter-coup which re-established Henry II on his throne after four years of
rule by his younger brother, Amaury. After the suppression of the Templars in
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+,+., the bulk of their estates in Cyprus passed to the Hospitallers, who thus
became by far the wealthiest landholders on the island after the crown, and
whose Cypriot preceptory in +,+- owed an annual responsion of oo,ooo
bezants to Rhodes. The Venetians too had for many years enjoyed much
friendlier contacts with Cyprus than had their principal rivals, the Genoese,
although at the beginning of Hugh IVs reign the kings refusal to conrm their
privileges and deal with outstanding claims led to a period of strained relations.
The other Christian power with growing interests in the east with which the
kings of Cyprus sought close ties was Aragon. As mentioned already, in +,+
James II had married Henry IIs sister, but the possibility that this union might
pregure the acquisition of Cyprus for the Crown of Aragon did not materi-
alise. Shortly afterwards, Henry himself married into the cadet branch of the
Aragonese royalty that held the throne of Sicily (Trinacria) and his cousin
married a member of another cadet branch of the family which was ruling the
kingdom of Majorca. Further marriage alliances followed a generation later
when two of Hugh IVs sons, and one of his daughters, married Aragonese
royalty. Of these unions, far and away the most important occurred in +,,
when the future King Peter I wed Eleanor of Aragon, a granddaughter of
James II. Links with Aragon suited the Cypriots own preference for peaceful
co-existence with Egypt; Catalan merchants frequented Famagusta, and
Aragon and Cyprus shared, though for dierent reasons, antipathy for both the
Genoese and the Angevins of Naples.
The success of the +,, naval league, though palpable, was limited. The
Byzantines had failed to honour their undertaking to join in, and the victory in
the Gulf of Adramyttion had left the most powerful of the Turkish rulers,
Umur Bey of Aydn, unscathed. The fact that the projected +,, expedition
did not take place marked a further setback. Andronikos III came to an accom-
modation with Umur, whose power by the early +,os was to reach alarming
proportions. He is said to have been able to command a eet of ,o ships for
an expedition to the mouth of the Danube in +,+ and to have commanded a
land army of +,ooo men two years later. It was not until +,+ that Hugh of
Cyprus and the master of the Hospitallers sent their representatives to the
papal court with proposals for a fresh round of concerted action. The new
pope, Clement VI, responded positively. War between France and England had
buried any hope of a major crusading campaign to the east, but the prospect
of a more modest expedition to the Aegean appealed to Clements own com-
mitment to crusading. A league, comprising the papacy, Venice, Rhodes and
Cyprus to last three years and to operate in the Aegean was eventually brought
into being in +,,. In spring +, the participants assembled twenty galleys at
Negroponte and won a substantial victory over a Turkish eet o Pallene, the
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western prong of the Chalkidike peninsula. Then in October they surprised
the garrison in Umurs principal port, Smyrna, seized the lower town, and
burnt a large number of Turkish ships. The forces involved in the expedition
had not been large, but the capture of Smyrna, which was to remain in
Christian hands until +o., stands out as the single most signicant achieve-
ment of any collaborative Christian venture in the eastern Mediterranean
during the fourteenth century.
3
The capture of Smyrna caused a stir of excitement in the west even though
the Turks retained control of the upper town and a Christian sortie at the
beginning of +, ended with the deaths of a number of the Christian leaders.
It was the cue for a wave of crusading fervour, particularly in Italy, and a
crusade led by an oddly quixotic gure, Humbert II, dauphin of Viennois.
Humbert sailed from Venice late in +,, and although he won a victory at sea
over the Turks, he proved inept as a commander. Having shown himself
unable to prevent the Genoese from taking the important island of Chios from
the Byzantines or drive the Turks from the upper town at Smyrna, his expedi-
tion zzled out. In +,-, after his return to the west, the Christians were to win
a further naval victory near Imbros, but by then it must have been apparent
that they were not going to be able to expand inland from their toe-hold in
Smyrna. Problems of nance as well as tension between the Hospitallers and
the Venetians and between the Venetians and the Genoese jeopardised further
activities, and the members of the league began to negotiate with the Turks for
a truce. The onset of the Black Death in any case would probably have meant
a cessation of hostilities.
Pope Clement worked hard to reverse the slackening of resolve which had
set in after the successes of +,, and in +,o, with the renewal of Turkish
attacks, he managed to get the league renewed. Cyprus, Venice and Rhodes
between them were to supply eight galleys to police the seas around the western
coast of the Aegean, and together with the papacy they would share the costs
of garrisoning Smyrna. But the Genoese occupation of Chios and also Old and
New Phocaea in +,o had caused alarm in Venice, and in +,o tensions caused
by the rivalry of the two trading republics in what remained of the war-torn
Byzantine empire erupted into a full-scale war between them. Though Clement
and his successor, Innocent VI (+,.o.), struggled to salvage what they could
and ensure that the Christian garrison remained in Smyrna, the new league was
inoperable. Eventually in +,-, with peace now restored, it was revived yet
again, this time for ve years. The three participants were now committed to
sending a mere two galleys each to police the seas and to contributing ,,ooo
orins annually for the defence of Smyrna. It is doubtful whether a squadron
s- rr+rr rrrtr
3
Luttrell (+,s), p. .o,.
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of six galleys could achieve much in the face of Turkish sea-borne aggression,
and in any case by the late +,os the situation in Byzantium had changed dra-
matically for the worse.
Andronikos III had died in +,+. During his reign there had been signs
that the Byzantines might yet consolidate their power in Thrace and north-
ern Greece, but his death and the accession of his infant son, John V
Palaeologos (+,+,+), was the signal for the outbreak of a civil war in
which the empress-mother, Anne of Savoy, was confronted by a leading
associate of the late emperor, John Kantakouzenos. In +,- Kantakouzenos
entered Constantinople, and his opponents were obliged to accept that he
should take power and reign as senior emperor with the young John V. His
victory had been won at a huge price: he had introduced his Turkish allies,
notably the Ottoman forces under Orhan son of Osman, into Thrace; the
Serbian ruler, Stephen Dusan, had taken advantage of the war to conquer
virtually all the Byzantine territory in northern Greece and Epirus for
himself and had adopted the imperial title; and the imperial treasury was
empty Anne of Savoy had even raised money by pledging the crown-jewels
to Venice. Kantakouzenos wanted to free Constantinople from the com-
mercial stranglehold exerted by the Italians and at the same time rely on his
alliances with the Turks, but he failed dismally. Far from deriving any benet
from the war between Genoa and Venice, his involvement only sapped his
authority still further. Then in March +, the Ottomans seized Gallipoli,
thus acquiring control of the Dardanelles and a base from which to extend
their power into Thrace and beyond. Kantakouzenos himself was over-
thrown later in +, and John V restored. There was no power near at hand
to whom John could turn for help other than the Italians whose self-inter-
est had already done so much to weaken his empire. His only answer lay in
the west, and in December +, he issued a chrysobull promising to secure
the obedience of the Greek Church to the papacy in return for military aid
against the Turks.
Johns declaration showed the extent of his despair and took little account
of reality. After generations of doctrinal and political bitterness, there was little
prospect that the Orthodox clergy would kowtow to the pope. On the other
hand there was no guarantee that the papacy could respond with anything like
the amount of military resources that were needed; wars between France and
England, between the Italian maritime powers and between pro- and anti-
papal forces in Italy left little scope for switching substantial supplies of men
and money to more distant theatres of conict. Innocent VIs response was to
reactivate the naval league, and in +,, he sent a new legate, Pierre Thomas, to
the east with the task of breathing fresh energy into western eorts to stem
the Turkish advance. The legate, with the help of a naval squadron provided
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by the Venetians and the Hospitallers, led an attack on Lampsacus on the
Asiatic side of the Dardanelles. His success seems not to have had any lasting
eect, but the incident was the rst occasion since before +.o+ that a crusad-
ing venture had brought military aid with the specic intention of bolstering a
ruler of Constantinople.
4
But then Pierre Thomas left for Cyprus, and with his
departure western aid for Byzantium tailed o. The Turks extended their gains
in Thrace, and in +,o John V took the step, unprecedented for a Byzantine
emperor, of going in person to the court of a foreign monarch, in this case the
king of Hungary, to seek help. Not only did his pleas fall on deaf ears, on his
way home he was taken prisoner by the Bulgars.
Western help, however, was on its way. The emperors cousin, Count
Amedeo of Savoy, had taken the cross in +,o, and Pope Urban V (+,o.-o)
encouraged him to use his forces to aid Byzantium in the expectation that deci-
sive action would pave the way for the promised subjection of the Greek
Church to the papacy. But it was not until the summer of +,oo that Amedeo
set out. In August his otilla reached the Dardanelles, and there he led his cru-
saders in the capture of Gallipoli. It was a major achievement for it deprived
the Turks of their foremost harbour in Europe, and its restoration to
Byzantine control showed that crusades from the west might yet save the
empire. Amedeo then moved on to Constantinople and thence to the Black
Sea and the Bulgar ports of Mesembria and Sozopolis from where he was able
to conduct the negotiations which led to the emperors release. The campaign
had demonstrated what a capable crusading leader could achieve, and in +,o,,
as a direct consequence of these events, John V journeyed to Rome and made
his personal submission to the pope. But his gesture was largely in vain. There
was to be no new crusade to aid Byzantium for another quarter of a century;
meanwhile the Ottomans continued to advance.
One reason why so little western aid was directed to Constantinople in the
+,oos was that Europes interest in the east had turned elsewhere. The French
monarchy revived its former schemes for a crusade to recover the Holy Land,
and in +,o Peter I of Cyprus (+,,o,) began a war against the Mamluks with
the sack of Alexandria, an event which must rank as the most spectacular
Christian assault on the sultanate at any time in its history. With the benet of
hindsight it is clear that the Turkish penetration of Thrace meant that
Byzantium needed military assistance more than ever, but it is by no means
certain how far people in the west appreciated this point at the time. Nor is it
clear how much credibility was accorded John Vs undertaking to bring the
Greek Church into obedience to the papacy. In any case, the issue was clouded
by the rival ambitions of Serbia and Hungary, not to mention those of Venice
s-o rr+rr rrrtr
4
Housley (+,so), pp. .+,.o.
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and Genoa, and, given the conditions in Europe, it is dicult to see how the
Catholic powers could sustain a viable anti-Turkish force for any length of
time. What in fact happened in the +,oos was that a mixture of muddled think-
ing in the west and misguided ambition conspired to obscure the prior needs
of the Byzantine empire and the Latin territories in the Aegean.
In May +,oo the French and English agreed the truce of Brtigny and
thereby called a halt to the hostilities that had been in train since +,,-. The
diculties facing John II of France (+,oo) were daunting. He needed to
eace the humiliation he had suered, restore his nances and clear France of
the bands of unemployed mercenaries, the Free Companies, that were ravag-
ing the countryside and even threatening the papal court at Avignon. A crusade
to the east oered an opportunity for a general solution to these problems. It
would enhance his reputation and that of the French monarchy; the pope
would grant clerical taxes which would ease the nancial strains, and the Free
Companies could be drafted into the crusading army, their energies turned to
the advantage of Christendom. It was only to be expected that John would
concern himself with crusading. Every king of France since the time of Louis
VII in the mid-twelfth century had taken the cross, and in the +,,os Johns own
father, Philip VI, had put forward ambitious proposals for a general passage to
win back Jerusalem only to see them thwarted by the war with England. In
November +,o. John II travelled to Villeneuve across the Rhone from
Avignon and made contact with the newly elected Pope Urban V. Then, on the
following Good Friday, he received the cross at his hands. Urban appointed
him rector and captain-general of a crusading expedition, the purpose of
which was recovery of the Holy Land; he was to set o in March +,o, and the
pope granted a six-year tenth together with the proceeds of various miscella-
neous sources of papal income as the Churchs contribution to the costs.
Among those taking the cross at the same ceremony was Peter of Cyprus who
had arrived at Avignon two days earlier.
Did John and Urban really think they could launch a crusade that would win
back Jerusalem? Johns record as a military leader was scarcely distinguished,
and the condition of his kingdom meant that it would be even more dicult
to get a crusade started than it had been earlier in the century. The pope seems
to have had little idea about what the expedition would actually do once it had
set sail. Maybe his chief concern was to help John regain his authority within
France, promote peace in Europe and solve the problem of the Free
Companies, and he saw the crusade in the rst instance as a means to these
ends. It was agreed that the Cypriot king should lead a preliminary expedition
ahead of the main crusading army, and in the summer of +,o, Peter embarked
on a tour of Europe designed to publicise the crusade and seek recruits.
Attempts to enlist the Free Companies did not meet with much success, but
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there can be no doubting his enthusiasm for the task in hand. But when in April
+,o John II died, Peter was left as the undisputed leader of the whole enter-
prise.
Peter had inherited a crusade which had Jerusalem as its goal. He also had
as his chancellor one of the most determined crusading publicists of the four-
teenth century, Philippe de Mzires, and Philippes vita of the legate who
accompanied the +,o expedition, Pierre Thomas, likewise emphasised
the Holy City as the intended destination of the campaign. The rhetoric of the
contemporary papal bulls combined with this work of hagiography have in the
past led historians to view Peter as an unworldly dreamer whose chivalry and
piety led him to embark on a holy war that in the mid-+,oos was an anachro-
nism, hopelessly adrift from reality. An alternative view, which tries to make
allowance for the propagandist nature of these sources, suggests that Peters
crusading zeal was sublimated to self-interest: far from being out of touch with
the real world, he used the crusade in an attempt to establish Cyprus as the
pivotal power in the Levant and secure for his kingdom a larger share of the
wealth that was then being generated in the east through international trade. If
John II and Urban V can be accused of being vague and impractical in their
crusading schemes, Peters faults were those of a gambler whose optimism and
over-ambition carried him way beyond the capacity of his resources.
According to Leontios Makhairas, the principal Cypriot chronicler of these
events, Peters arrival at Avignon at Easter +,o, had nothing to do with crusad-
ing. Rather, his intention in coming in person to the west was to settle a dispute
over his accession to the throne. His rival was his nephew, Hugh, the son of
his long-dead elder brother. Hugh had been living in the west and does not
appear to have enjoyed any support within Cyprus itself. However, he did have
powerful sympathisers in Europe including the French royal family and the
pope, and so long as his claim remained unresolved there was always the pos-
sibility that he might destabilise Peters rule. Since the death of Hugh IV in +,,
Peter had sent at least two embassies to the west to deal with the problem; the
younger Hugh would need to be compensated if he were to be induced to
relinquish his claim, and the king would have wanted the pope and the king of
France to act as guarantors for the settlement. How far Peter was aware of the
crusading plans that were afoot before his arrival at Avignon is not clear, but
there can be no doubt that his enthusiastic espousal of them would have ingra-
tiated him with his nephews erstwhile supporters.
Hugh IV had helped secure the sea-routes to the west by participating in the
leagues against the Turks in the Aegean and putting the emirates of southern
Anatolia under tribute. At the beginning of his reign, before he came to
Avignon, Peter had taken this policy one stage further. In +,oo, in response to
an appeal from its inhabitants, he placed a Cypriot garrison in the Armenian
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port of Gorhigos, and then the following year he took the city of Satalia
(Antalya) by assault from the Turkish emir of Tekke. Satalia was a major port-
of-call between Cyprus and Rhodes, and its capture was a signicant achieve-
ment, comparable in importance to the capture of Smyrna in +,. After his
departure for the west towards the end of +,o., his brother and regent, John
of Antioch, continued the work of clearing the seas of Turkish pirates. Peters
capture of Satalia meant that he had acquired a reputation as military leader in
the struggle against Islam, and this too no doubt enhanced his standing at
Avignon. It is likely that part of his intention in coming to the west was to
recruit mercenaries and ships to enable him to continue these activities.
Peters tour of Europe lasted from the summer of +,o, until November
+,o and included visits to Paris, where he spent Christmas and where in May
+,o he attended the funeral of John II and the coronation of his successor,
England, Germany, Poland and Bohemia before ending in Venice. He was
richly entertained but he did not recruit as many crusaders as he had hoped.
The expedition departed from Venice in June +,o and joined up with the
Cypriot forces under John of Antioch at Rhodes in August. It is dicult to
interpret the conicting statistics furnished by our sources for the numbers of
men and ships involved, but it would appear that the combined forces at
Rhodes consisted in the main of Peters own Cypriots together with the
western mercenaries he had previously engaged and who were already in the
east.
5
On October the armada, which was certainly far larger than any previ-
ous fourteenth-century Christian eet assembled in the eastern Mediterranean
for war against the Muslims, set sail. Its destination was now for the rst time
revealed as the Egyptian port of Alexandria.
Why Peter should have challenged the military might of the Mamluk sulta-
nate after decades of peaceful co-existence is a problem that admits no easy
answer. While it is true that many crusade theorists believed that the way to win
back the Holy Land was through an assault on Egypt, to explain Peters choice
of target in terms of crusading zeal or simply reckless adventurism would
seem to underrate his political shrewdness. Commercial and material priorities
had largely dictated the direction in which the Christian leagues in the Aegean
had operated since the +,,os, and so it should not surprise us if similar con-
siderations determined Peters actions in the +,oos. Perhaps a clue to under-
standing his dramatic shift in policy is to be found in the peace proposals put
forward in +,o- and +,os: Peters chief concern then was to gain preferential
commercial arrangements for the Cypriot merchants who traded in the
Mamluk lands.
By the +,oos Cypruss prosperity was in decline. As elsewhere, the economy
Christians and Muslims in the eastern Mediterranean s-,
5
Edbury (+,,+), p. +oo.
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would have contracted as a consequence of the Black Death; with fewer
consumers and fewer producers, the volume of commerce and industrial and
agrarian production would have dropped, and with it the income the king would
have derived from tolls and other dues. The contraction in trade was made
worse by a shift in international routes and the growing preparedness of
western merchants to bypass the island and deal direct with Syria. On the one
hand it may be that the proportion of Asiatic merchandise nding its way to
the west through Cilicia and northern Syria and hence via Cyprus had fallen and
more was going through the Black Sea or Egypt; on the other, the number of
papal licences allowing westerners to trac in the Mamluk sultanate had risen
steadily since the +,,os, and there was no eective enforcement of the papal
embargo. An example of how Cyprus was aected can be seen by an examina-
tion of Venices state galley system. In the years +,, the Venetians were
regularly sending seven or eight galleys to the island. Then in +,o, taking
advantage of papal licences, they began sending galleys to Alexandria. The
number going to the east remained about the same, but fewer went to Cyprus.
Thus in the three years +,-,, a total of fourteen galleys were equipped for
Alexandria but only nine for Famagusta.
6
If this change was symptomatic of
the general trend and there is no reason to suppose that it was not then Peter
had cause for serious concern. But how was it to be reversed? One solution was
to acquire trading bases outside the island. The Italians had their stations in the
Aegean and Black Sea as at Coron and Modon, Galata, Caa and Tana, so why
should Cyprus not have her stations around the Levant? Peter had already taken
Satalia and Gorhigos and so had control of their trading activities and could tax
their commercial wealth. Why not also acquire Alexandria and the prots of its
commerce? A second solution lay in giving the Cypriot merchants a more
central role in eastwest trade. If the sultan could be induced to give them pref-
erential status in his lands, they would have a competitive edge over the
European business communities and so might be able to restore Cyprus to her
position as one of the principal entrepots between Europe and Asia.
The +,o Alexandria campaign went badly wrong. The crusaders began well
enough, taking the garrison completely by surprise, and they had no diculty
in storming the city. But Peter was unable to stop his forces engaging in wanton
pillage and destruction, and his men did so much damage to the fortications
and the city gates that the place was untenable. There was nothing for it but to
withdraw to Cyprus. Any hopes he may have had of acquiring the key outlet for
Egyptian commerce in the Mediterranean for himself were dashed, and Cyprus
was now at war with the sultanate. Furthermore, the assault had infuriated the
Italian mercantile republics whose citizens had not only lost merchandise in the
sso rr+rr rrrtr
6
Edbury (+,--), pp. ,o-.
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general mayhem but had been interned by the Mamluks by way of retaliation.
The king hoped that news of the successful assault would encourage more cru-
saders to come to the east; the Italians did their best to prevent further hostil-
ities and resume normal trading relations. In +,oo they managed to induce Peter
to begin peace talks, but it would seem that he was only playing for time while
he built up his strength for another assault. A second eet, apparently not much
smaller than the one that had conquered Alexandria, sailed belatedly from
Famagusta in January +,o- only to be scattered in a winter storm. A group of
galleys sacked the Syrian port of Tripoli, but the rest returned to Cyprus
without, it seems, doing anything.
After that Peter was disposed to enter serious negotiations. He was under
ever-increasing pressure from the western mercantile interests to make peace;
the pope had made it clear that he could expect no more ecclesiastical taxes;
failure and periods of inaction were making it increasingly dicult for him
to keep his forces together, let alone attract fresh troops from the west; war-
fare was expensive and Cypriot resources were limited; a Turkish attack
on Gorhigos and a mutiny in the Cypriot garrison in Satalia distracted his
attention.
The talks broke down in the summer of +,o-. It was increasingly apparent
that Peter was in a weak position: he could neither maintain his aggression and
win an outright victory nor compel the Mamluks to make peace. After leading
further raids on the coast of Syria in September and October he travelled to
the west in an attempt to nd fresh support. Pope Urban, however, insisted
that he allow the Venetians and Genoese to act on his behalf in negotiations
with the Muslims. Peter was back in Cyprus in the closing months of +,os with
nothing to show for his visit. There his increasingly erratic behaviour brought
him into conict with his own vassals, and in January +,o, he was murdered in
a palace coup. Peace with the Mamluks was eventually concluded in October
+,-o. So far as is known the text of the treaty does not survive the war had
brought no advantage to Cyprus whatever. Instead, Peter had left a legacy of
royal debt and sour relations with the western merchants on whom the eco-
nomic well-being of his kingdom depended. In +,-, the Genoese invaded
Cyprus and struck the island such a blow that never again was it in a position
to contribute to Christian leagues against the Turks, still less challenge the
power of the Mamluk sultanate. The Cypriots did however manage to retain
Gorhigos until +s, although the remnants of the Cilician kingdom of
Armenia succumbed to Muslimconquest in +,-. But in +,-,, rather than allow
Satalia to fall into Genoese hands, they handed it back to the emir of Tekke.
Amedeo of Savoys capture of Gallipoli in +,oo held out a promise for the
future that western Europe could bring aid to the Byzantines. But once the
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+,o attack on Alexandria had failed and Peters assault on Syria had ended in
asco in January +,o-, it was clear little would be gained from conict with the
Mamluk sultanate. Apart from some small-scale piracy and a rather futile
Genoese naval raid on the coast of Syria led by Marshal Boucicaut in +o,, the
Christian powers henceforth left the sultanate largely in peace. The ideal of
warfare against Muslims continued to appeal to those people in the west who
were imbued with contemporary chivalric values, but the realities of war and
the expense and diculties of organising a worthwhile campaign, not to
mention nding an appropriate theatre in which to operate, meant that little
could be achieved. Part of the problem was that getting to the frontiers of
Christendom and Islam in the eastern Mediterranean required naval transport,
and this could only be provided by people whose trading interests called for
accommodation and not confrontation with the Muslims. The Italians
resorted to war to defend their markets and routes; they were less keen to go
to war to defend their co-religionists. The military and economic power at the
disposal of the Venetians and Genoese meant that rulers in the east such as the
king of Cyprus or the master of the Hospitallers could not ignore them. It was
one of Peters greatest errors that he tried to break loose from the constraints
they imposed.
In the +,-os the Genoese embarked on a particularly assertive phase in their
history. The war with Cyprus of +,-, ended with their occupation of
Famagusta which remained a Genoese possession until +o. In +,-o they went
to war with Venice once more, this time over control of the strategically placed
Aegean island of Tenedos, and in the course of this conict they blockaded
Venice itself from their base at Chioggia. At the same time France and England
had resumed hostilities. Not surprisingly, anti-Turkish activity languished. In
+,-. the pope tried in vain to bring the Christian powers in the east together
in a conference to be held at Thebes. He then turned to the Hungarians who
failed to co-operate and to the Hospitallers who were induced to take sole
responsibility for the defence of Smyrna but otherwise found themselves side-
tracked in the intricate politics of Latin Greece. On the death of Gregory XI
in +,-s the papacy itself entered an extended period of schism. Neither of the
two rival popes was in a strong enough position to do much to galvanise the
west into countering Ottoman expansion.
By the end of the +,oos the Ottomans had occupied the two key cities of
Adrianople and Philippopolis. Thereafter Constantinople and its environs
remained as an isolated Christian-held enclave in the rear as the Turks pene-
trated deeper into the Balkans. In +,-+ the sultan Murad I won a major victory
over the Serbs at Crnomen on the River Maritza. He recovered Gallipoli in
+,--; Soa fell to him in +,s, Nish in +,so and Thessaloniki in +,s-. In +,s,
the Turks won an even more signicant victory when they defeated the forces
ss. rr+rr rrrtr
Cambridge Histories Online Cambridge University Press, 2008
gathered by an alliance of the Christian rulers in the Balkans at Kosovo. Murad
himself was killed in the battle, but his son and successor, Bayezid I, had no
problem in continuing his advance. Bayezid also extended Ottoman control
over the lands of the other emirates of western Asia Minor. In the +,,os he
brought Ottoman rule as far as the Danube and set about making preparations
to take Constantinople.
It was in response to these events that King Sigismund of Hungary
(+,s-+,-) entered the fray. Hitherto, the Hungarians had done little in con-
junction with other western eorts to stem Turkish advance. Now Sigismund
tried to stien resistance in the Balkans and get aid from the west. He was for-
tunate that his eorts coincided with a truce in the war between France and
England and in an upsurge in crusading zeal which had already led people as
prominent as the duke of Bourbon to lead a crusade to al-Mahdiya in +,,o and
the earl of Derby to join in the Teutonic Knights Reisen into Lithuania in +,,o
and +,,.. Philippe de Mzires, the chancellor of Cyprus who had been living
in the west since the death of Peter I, had been tireless in promoting crusades
by appealing to the piety and chivalry of the aristocracy, and he more than any
other individual publicist had prepared the ground for a crusade to the east.
Planning went ahead for a large-scale Anglo-French expedition that would
travel overland to Hungary and join forces with Sigismunds forces in a cam-
paign intended to drive back the Turks. A eet comprising Hospitaller,
Venetian and Genoese warships would operate in the Black Sea in conjunction
with the land army. In the event the crusading army consisted chiey of
Burgundians. It left for eastern Europe in April +,,o and advanced through
Hungary to the Danubian fortress of Nicopolis. But there, on . September,
the Christians were overwhelmingly defeated.
From the Christian perspective there were two positive aspects to the
Nicopolis crusade. Despite the defeat, the ducal house of Burgundy had estab-
lished its credentials as a focus for future crusading aspirations, and secondly
the expedition had at least forced Bayezid to relax his blockade of
Constantinople. In +,,, the famous French commander, Marshal Boucicaut,
who himself had been captured at Nicopolis, was able to bring further relief
to the Byzantine capital. However, what stopped the Turks in their tracks was
not western intervention, but the appearance of Timur and his Mongols in
Asia Minor. In +o. Timur inicted a crushing defeat on Bayezid at Ankara,
and it was to take the Ottomans a generation before they could resume their
conquests in the Balkans.
It is easy to write o western European attempts at stopping Muslim
advance in the lands around the eastern Mediterranean in the fourteenth
century as a sorry tale of incompetence, selshness and unfullled dreams.
The long periods of warfare that engulfed substantial parts of the west and the
Christians and Muslims in the eastern Mediterranean ss,
Cambridge Histories Online Cambridge University Press, 2008
economic crises that punctuated the century prevented substantial armies
waging any sustained campaigns against either the Turks or the Mamluks, and
the best that can be said is that the Christians may have slowed Turkish
advance. At least in the upper ranks of society enthusiasm for crusading
remained undimmed, and holy war against the indel was regarded as an essen-
tial part of chivalric culture. Crusading ideology and the belief that Christians
shared a common responsibility for the defence of their brethren overseas
continued to hold an important place in the fourteenth-century thought-
world.
If military success was limited, and if the motivation of those powers that
sponsored action against the Muslims was mixed, the same could equally be
said for the twelfth or thirteenth centuries. However, the fact that one way or
another Christian Europe expended so much eort over so long a period
should warn against regarding this century as a time when crusading went into
decline and people ceased to concern themselves with the defence of
Christendom.
ss rr+rr rrrtr
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APPENDIX:
GENEALOGICAL TABLES
Cambridge Histories Online Cambridge University Press, 2008
EDWARD III
(132777)
= Philippa of Hainault
(d. 1369)
Thomas (1)
Holland
1st earl
of Kent
(d. 1360)
= Joan of
Kent
(d. 1385)
= (2) Edward,
the Black
Prince
(d. 1376)
Lionel duke
of Clarence
(d. 1368)
= Elizabeth
de Burgh
(d. 1363)
Blanche of (1)
Lancaster
(d. 1369)
= John of
Gaunt
duke of
Lancaster,
king of
Castile
(d. 1399)
= (2) Constanza
of Castile
(d. 1394)
= (3) Katherine
Swynford
(d.1403)
Edmund of
Langley
earl of
Cambridge,
duke of York
(d. 1402)
= Isabella
of Castile
(d. 1392)
Thomas of
Woodstock
earl of
Buckingham,
duke of
Gloucester
(d. 1397)
= Eleanor
Bohun
(d.1399)
Thomas
Holland
2nd earl
of Kent
(d. 1397)
John
Holland
earl of
Huntingdon,
duke of
Exeter
(d. 1400)
Edward
(d. 1371)
Anne of (1)
Bohemia
(d. 1394)
RICHARD II
(137799)
= (2) Isabella
of France
Philippa
(d. 1382)
= Edmund
Mortimer
3rd earl
of March
(d. 1381)
Henry
Bolingbroke
earl of Derby
HENRY IV
(13991413)
= Mary
Bohun
(d.1394)
= Henry
III of
Castile
Edward
duke of
York
(d. 1415)
Richard
earl of
Cambridge
(d. 1415)
Thomas Holland
3rd earl of Kent,
duke of Surrey
(d. 1400)
Roger Mortimer
4th earl of March
(d. 1398)
Sir Edmund
Mortimer
(d. 1409)
Edmund Mortimer
5th earl of March
(d. 1425)
Catalina Beauforts =
Table + The royal family in the reign of Richard II
Cambridge Histories Online Cambridge University Press, 2008
Appendix: genealogical tables ss-
LOUIS IX
(122670)
= Marguerite de Provence
PHILIP III
(127085)
= Isabella of Aragon
PHILIP IV THE FAIR
(12851314)
Jeanne de Navarre Marguerite = (2) Edward I
of England
(12721307)
= (1) Eleanor de
Valois of
Castile
Charles
de Valois
= Marguerite
dAnjou
LOUIS X
(131416)
= (1) Marguerite
de Bourgogne
(2) Clemence
of Hungary
PHILIP V
(131622)
daughters
CHARLES IV
(13228)
daughters
Isabelle = Edward II
(130727)
(1)
PHILIP VI (of Valois)
(132850)
Edward III
(132777) (1)
Jeanne de
Navarre =
Philip of
Evreux
Charles II
of Navarre
(134987)
JOHN I
(1316)
(2)
JOHN II
(135064)
= Bonne of
Luxemburg
Philip of
Orlans
(d. 1375)
CHARLES V
(136480)
= Jeanne
de Bourbon
Louis of
Anjou
(d. 1384)
CHARLES VI Louis of
Orlans
(d. 1407)
John of
Berry
(d. 1416)
Marie
(d.s.p.)
Philip of
Burgundy
(d. 1404)
= Marguerite
of Flanders
John the Fearless
(d. 1419)
5 daughters
=
Table . The later Capetians and early Valois kings of France
Cambridge Histories Online Cambridge University Press, 2008
PUKUV E R A S
(d. 1295)
Butigeidas
(d. 1289)
VY T E NI S
(c. 12951315)
GED I MI NAS
(c. 131642)
Voin of Polotsk
(fl. 1326)
Fdor of Kiev
(fl. 133162)
N
Manvydas of
Kernave and
Slonim
(d. 1342?)
Narimantas-Gleb
of Polotsk and
Pinsk
(d. 1348)
J AUNUTI S
(c. 13425) of
Zaslavl
(d. 1366)
Liubartas-Dmitry
of Vladimir
(d. 1384)
Karijotas-Mikhail
of Novogrudok
(d. post 1358)
Maria
(d. 1349)
= Dmitry
of Tver
(d. 1326)
Aigusta-Anastasia
(d. 1345) = Semn
of Moscow
(134053)
Eufemia (Ofka)
(d. 1342) =
Boleslaw-Yury II
of Galich-Volyn
(132440)
N = Andrei
ALGI RDAS (134577) Kestutis
of Trakai
(d. 1382)
Elzbieta = Waclaw
of Plock
Henry of
Zagan
Jadwiga =
Casimir III of Poland
Aldona-Anna =
Casimir III of Poland
Elzbieta =
Emp. Charles IV
= Anna
Kazko = (1) Kenna
Algirdait
.
.
.
= Birut of Palanga (d. 1382)
Elzbieta =
.
Boguslaw of
Slupsk
Swalegote (fl.1309) Liubko (d.1342)
Table , The Gediminid Grand Dukes of Lithuania in the fourteenth century (simplied)
Cambridge Histories Online Cambridge University Press, 2008
s,o Appendix: genealogical tables
HAAKON V
(N: 12991319)
MAGNUS LADUS LAS
(S: 127590)
ERI C V KLI PPI NG
(D: 125986)
BI RGER
(S: 12901318)
Ingeborg
(130160)
= Duke Eric
of Pomerania
(d. 1318)
ERI C VI MENVED
(D: 12861319)
CHRI S TOPHER I I
(D: 131932)
Louis of Brandenburg = Margaret
MAGNUS VI I
(N: 131955)
(S: 131965)
Eufemia = Albert of Mecklenburg
VALDEMAR I V ATTERDAG
(D: 134075)
ERI C
(S: 134359)
HAAKON VI
(N: 135580)
(S: 13623)
= Margaret
(d. 1412)
Ingeborg = Henry ALBERT I I I of
Mecklenburg
(S: 13839)
OLAF
(D: 137687)
(N: 13807)
Maria = Wratislaw of Pomerania
ERI C OF POMERANI A
(N: 13891442)
(D, S: 13961439)
(d. 1459)
D = Denmark; N = Norway; S = Sweden
Table The northern monarchies: the descent of Eric of Pomerania
Cambridge Histories Online Cambridge University Press, 2008
Henry IV of Luxemburg (d. 1288)
Baldwin
archbishop
of Trier
Henry V of Luxemburg (d. 1313)
Emporer Henry VII (130813)
Beatrice (d. 1319)
= Charles-Robert
king of Hungary
Marie (d. 1324)
= Charles IV
king of France
John the Blind (12961346) = (1) Elizabeth (12921330)
king of Bohemia (131046)
= (2) Beatrice of Valois
Bonne (131549)
= John the Good
king of France
Charles IV (131578)
king of Bohemia (134678)
emperor (135578)
Margaret (d. 1349)
= Louis the Great
king of Hungary (134282)
Wenceslas IV (13611419)
king of Bohemia (13781419)
emperor (13781400)
Sigismund (13681437)
king of Bohemia (141937)
king of Hungary (13871437)
emperor (14337)
= (1) Mary (137095)
queen of Hungary (138295)
= (2) Barbara of Cilli
Albert of Habsburg (12551308)
emperor (12981308)
Wenceslas II (12711305)
king of Bohemia (12781305)
king of Poland (13005)
(1) = Elizabeth
of Poland
(d. 1335)
= (2) Rudolf of
Habsburg
king of
Bohemia
(13057)
Anne (12901313)
= Henry of Carinthia (d. 1335)
king of Bohemia (130710)
Wenceslas III (12891306)
king of Bohemia (13056)
king of Hungary (13014)
John-Henry (d. 1375)
margrave of Moravia
(1) = Margaret Maultausch (d. 1359)
= (2) Lewis of Bavaria
margrave of Brandenburg
Jost (d. 1411)
margrave of Moravia
Table The House of Luxemburg
Cambridge Histories Online Cambridge University Press, 2008
Cambridge Histories Online Cambridge University Press, 2008
Appendix genealogical tables Appendix genealogical tables
Lo lisVIII
kingof Frmce(1223-6)
Bla rV
king of Hungary (1235-70)
LouisIX Charlesof Anjou
kingof Prance(1226-70) longof Sicily (1266-85)
Isabellaof Anjou
=Lad Slav IV
of Hungary
Stephen V
kingof Hungary
(1270-2)
Charles II of Anjou
kingof Sicily
(1285-1309)
Mary
Andrew III
king of Hungary
(1290-1301)
Elizabeth
=Henry of
Bavaria
LadislasIV
kingof Hungary (1270-90)
=Isabellaof Anjou
Anne
=WenceslasII
kingof Bohemia (1278-1305)
kingof Poland (1300-5)
Otto of Bavaria
king of Hungary (1304-8)
WenceslasIH
kingof Bohemia(1305-6)
kingof Hungary (1301-4)
Ladislav theShort
kingof Poland (1296-1300)
I (1320-33)
Charles-Martel
(d.1295)
Jrt
Robd
king of Sicily
(1309-43)
Philip of Taranto (d. 1332) John of Margaret (d 1299)
Durazzo =Charlesof Valois
(d.1335) (d.1325)
Casimir theGreat
kingof Poland
(1333-70)
Elizabeth
of Poland
(d 1380)
Charles-Robert
kingof Hungary
(1308-42)
Charles(d. 1328) Louisof Philip (d. 1373)
Taranto =Elizabeth of
(d. 1362) Hungary
LouistheGreat
kingof Hungary (1342-82)
Irngof Poland (1370-82)
=(1) Margaret of
Luxemburg (<L 1349)
=(2) Elizabeth of Bosnia
Stephen (d 1355) Andrew (d. 134 5) ( 1) =Joanna
queen of Naples (1343-82)
Louis (dl 362)
CharlesIII
king of Naples
(1382-6)
Philip VI
king of France
(1328-50)
John the Good
kingof France
(1350-64)
Louisof Anjou
kingof Sicily
(1383-4)
Catherine Mary
(dl 378) queen of Hungary (138295)
Sigismund of Luxemburg
langof Bohemta (1419-37)
longof Hungary (1387-1437)
emperor (1433-7)
Jadwiga
queen of Poland (1382-1400)
=Jogaila Ladisias
Grand Dukeof Lithuania(1386-143
kingof Poland ( 1386-1434)
Elizabeth
=Philip of Taranto
Table6 Thehouseof Anjou in Hungary and Naple
Cambridge Histories Online Cambridge University Press, 2008
Cambridge Histories Online Cambridge University Press, 2008
DANI I L
(d. 1303)
I URI I
(d. 1325)
Aleksandr
(d. 1305/6)
Boris
(d. 1320)
Afanasii
(d. 1322/3)
I VAN
KALI TA
(d. 1340)
S EMN
(d. 1353)
I VAN
(d. 1359)
ANDREI
(d. 1353)
Vasilii
(d. 1338/9)
Konstantin
(d. 1341/2)
Daniil
(d. 1347)
Miklaiil
(d. 1349)
Ivan
(d. 1353)
Semn
(d. 1353)
DMI TRI I
(d. 1389)
Ivan
(d. 1364)
Ivan
(d. 1358/9)
Vladimir of
Serpukhov
(d. 1410)
Daniil
(d. by 1389)
VASILII
(d. 1425)
Iurii of
Galich
(d. 1434)
Semn
(d. 1379)
Ivan
(d. 1393)
Andrei of
Mozhaisk
(d. 1432)
Petr of
Dmitrov
(d. 1428)
Konstantin
of Uglich
(d. c. 1434)
Ivan
(d. post-
1401/2)
Semn
(d.1426)
Iaroslav
(d. 1426)
Andrei
(d. 1426)
Vasilii
(d. 1427/8)
Table - Daniilovich grand princes of Moscow
Cambridge Histories Online Cambridge University Press, 2008
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vols., Paris
Reynolds, S. (+,--), An Introduction to the History of English Medieval Towns, Oxford
Rrig, F. (+,o-), The Medieval Town, London (trans. from th German edn, +,o)
Roslanowski, T. (+,o), Recherches sur la vie urbaine dans les villes de la moyenne Rhnanie sep-
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Roux, S. (+,,-), Le monde des villes au Moyen Age (XIeXVe sicle), Paris
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Collections
Editions Privat of Toulouse have produced in their series Collection Univers de la France
scholarly collective histories of the following cities: Agen, Albi, Amiens, Angers,
Angoulme, Annecy, Bordeaux, Brest, Caen, Carcassonne, Chartres, Dijon, Grenoble,
La Rochelle, Le Mans, Lille, Lyon, Marseille, Montauban, Nantes, Narbonne, Nice,
Perpignan, Rennes, Rodez, Rouen, Saint-Malo, Toulon, Toulouse, Vannes, Vendme,
Verdun and others. In the Collection Histoire des Villes du Nord-Pas-de-Calais (Presses
Universitaires de Lille) there are histories of Boulogne, Calais, Douai, Dunkirk, Saint-
Omer and Valenciennes.
Among atlases, the following may be noted: Atlas of Historic Towns, ed. M.D. Lobel et
al. Oxford (+,o ); Atlas de Cidades Medievais Portuguesas (Sculos XIIXV), i, ed. A. H.
de Oliveira Marques, I. Gonalves and A. Aguiar Andrade, Lisbon (+,,o); Atlas
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(+,s. ).
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+,( b) . +nr rric or ricn:rr ii
The primary sources for this reign are numerous and the king himself, and the events
of the years +,--,,, have attracted a great deal of historical attention. In this bibliog-
raphy an attempt is made to indicate the main primary sources for the reign in their
most recent and/or accessible editions and to list the most important secondary liter-
ature. The focus has been primarily on the political history of the reign and only the
most obvious works dealing with Lollardy, the Peasants Revolt, local history and
Chaucerian studies have been selected. A more complete bibliography will be found in
Saul (+,,-a) to which the author is much indebted.
Primary sources
The Ancient Kalendars and Inventories of the Treasury of His Majestys Exchequer, ed. F.
Palgrave, , vols, London (+s,o)
Annales Monasterii Sancti Albani a Johanne Amundesham, ed. H.T. Riley, . vols., RS, London
(+s-o+).
Annales Ricardi Secundi et Henrici Quarti, in J. de Trokelowe, Chronica et Annales, ed. H. T.
Riley, RS, London (+soo)
Anonimalle Chronicle 8 8 , ed. V.H. Galbraith, Manchester (+,.-)
A Book of London English 8 , ed. R.W. Chambers and M. Daunt, Oxford (+,,+)
Calendar of the Cartularies of John Pyel and Adam Fraunceys, ed. S.J. OConnor, Royal
Historical Society, Camden th series ii, London (+,,,)
Primary sources, chapter (b) ,+
Cambridge Histories Online Cambridge University Press, 2008
Calendar of Close Rolls 7 7 9 9 , o vols., HMSO, London (+,+.-)
Calendar of Fine Rolls 7 7 9 9 , , vols., HMSO, London (+,.o,)
Calendar of the Letter Books of the City of London . . . Letter Book H, ed. R. R. Sharpe,
London (+,o-)
Calendar of Papal Registers, i\. 6 , HMSO, London (+,o)
Calendar of Patent Rolls 7 7 9 9 , o vols., HMSO, London (+s,+,o,)
Calendar of Select Plea and Memoranda Rolls of the City of London, 8 , ed. A.H.
Thomas, Cambridge (+,,.)
Chaucer Life Records, ed. M.M. Crow and C.C. Olson, Oxford (+,oo)
Chronicles of London, ed. C.L. Kingsford, Oxford (+,o)
Chronicles of the Revolution, 9 7 , ed. C. Given-Wilson, Manchester (+,,,)
Chronicon Adae de Usk, ed. E.M. Thompson, London (+,o)
Chronicon Anglie 8 8 8 , ed. E.M. Thompson, RS, London (+s-)
Chronicon de la Traison et Mort de Richart II, ed. B. Williams, London (+so)
Chronique du Religieux de Saint-Denys, ed. L.F. Bellaguet, o vols., Paris (+s,,.); repr.
+,,, with introduction by B. Guene
Chroniques de J. Froissart, ed. S. Luce et al., + vols., SHF, Paris (+so,+,-, continu-
ing)
The Dieulacres Chronicle, in M.V. Clarke and V.H. Galbraith, The Deposition of
Richard II, BJRL + (+,,+), pp. +oo,-
Diplomatic Correspondence of Richard II, ed. E. Perroy, Camden ,rd series, i\iii, London
(+,,,)
An English Chronicle of the Reigns of Richard II, Henry IV, Henry V and Henry VI, ed. J.S.
Davies, Camden Soc., London (+so)
English Historical Documents 7 8 , ed. A.R. Myers, London (+,o,)
Eulogium Historiarum sive Temporis, ed. F.S. Haydon, , vols., RS, London (+sso,)
Favent, Thomas, Historia sive Narracio Mirabilis Parliamenti, ed. M. McKisack,
Camden Miscellany i\, Camden ,rd series, \ii, London (+,.o)
Froissart, J., Chronicles, ed. T. Johnes, . vols., London (+so.)
The Great Chronicle of London, ed. A.H. Thomas and I.D. Thornley, London (+,,s)
Historia Vitae et Regni Ricardi Secundi, ed. G.B. Stow, Philadelphia (+,--)
Household Accounts from Medieval England, ed. C.M. Woolgar, . vols., London (+,,.,)
Issues of the Exchequer, Henry IIIHenry VI, ed. F. Devon, London (+s-)
John of Gaunts Register, 7 7 6 , ed. S. Armitage-Smith, . vols., Camden ,rd series,
i, London (+,++)
John of Gaunts Register, 7 9 8 , ed. E. C. Lodge and R. Somerville, . vols., Camden ,rd
series, i\i-i\ii, London (+,,-)
The Kirkstall Abbey Chronicles, ed. J. Taylor, Thoresby Soc., iii, Leeds (+,.)
Knightons Chronicle 7 9 6 , ed. G.H. Martin, Oxford (+,,)
A Metrical History of the Deposition of Richard II attributed to Jean Creton, ed. J.
Webb, Archaeologia .o (+s+), pp. +.,
Mzires, Philippe de, Letter to King Richard II, ed. G.W. Coopland, Liverpool (+,-)
Munimenta Gildhallae, ed. H.T. Riley, . vols., RS, London (+sso.)
The Peasants Revolt of 8 , ed. R.B. Dobson, .nd edn, London (+,s,)
Proceedings and Ordinances of the Privy Council of England, ed. N.H. Nicolas, - vols., London
(+s,-)
,. Primary sources, chapter (b)
Cambridge Histories Online Cambridge University Press, 2008
Rogeri Dymmok liber contra XII Errores et Hereses Lollardorum, ed. H.S. Cronin, London
(+,..)
Rotuli Parliamentorum, - vols., London (+-o-+s,.)
Rymer, Thomas, Foedera, Conventiones, Litterae etc., ed. G. Holmes, .o vols., London
(+-o,)
The Scrope and Grosvenor Controversy, ed. N.H. Nicolas, . vols., London (+s,.)
Select Cases in the Court of Kings Bench under Richard II, Henry IV and Henry V, ed. G.O.
Sayles, Selden Soc., i\iii, London (+,-+)
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Bonolis, G. (+,o+), La giurisdizione della mercanzia in Firenze nel secolo XIV, Florence
Bowsky, W. M. (+,s), Florence and Henry of Luxemburg, King of the Romans: The
Re-Birth of Guelphism, Speculum ,,: +--.o,
Bowsky, W.M. (+,oo), Henry VII in Italy. The Conict of Empire and City-State (),
Lincoln, Neb.
Brucker, G.A. (+,o.), Florentine Politics and Society 7 8 , Princeton
Brucker, G.A. (+,os), The Ciompi Revolution, in N. Rubinstein (ed.), Florentine Studies.
Politics and Society in Renaissance Florence, London, pp. ,+o
Brucker, G.A. (+,--), The Civic World of Early Renaissance Florence, Princeton
Caggese, R. (+,..,o), Roberto dAngi e i suoi tempi, . vols., Florence
Cipolla, C.M. (+,s.), Il W orino e il quattrino. La politica monetaria a Firenze nel ,
Bologna
Davidsohn, R. (+,oos), Storia di Firenze (Italian translation of Geschichte von Florenz,
vols., Berlin (+s,o+,.-)), s vols., Florence
De Rosa, D. (+,so), Coluccio Salutati, il cancelliere e il pensatore politico, Florence
Del Lungo, I. (+,.+), I Bianchi e i Neri. Pagina di storia W orentina da Bonifazio VIII ad Arrigo
VII per la vita di Dante, Milan
Dumontel, C. (+,.), Limpresa italiana di Giovanni di Lussemburgo, re di Boemia, Turin
Falsini, A. B. (+,-+), Firenze dopo il +,s. Le consequenze della peste nera, ASI +.,:
.o,
Fiumi, E. (+,--), Fioritura e decadenza delleconomia W orentina, Florence
Franceschi, F. (+,,,a), Intervento del potere centrale e ruolo delle Arti nel governo
delleconomia orentina del trecento e del primo quattrocento. Linee generali,
ASI ++: so,,o,
Franceschi, F. (+,,,b), Oltre Il Tumulto: I lavoratori W orentini dellArte della Lana fra tre e
quattrocento, Florence
Gherardi, A. (+so-s), La guerra dei Fiorentini con papa Gregorio XI, detta la guerra
degli Otti Santi, ASI th series , ii: ,+,+; o, i: .os,.; o, ii: ..,+; -, i: .++,.;
-, ii: .,s; s, i: .oo,o
,,. Secondary works, chapter (b)
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Green, L. (+,so), Castruccio Castracani. A Study on the Origins and Character of a Fourteenth-
Century Italian Despotism, Oxford
Green, L. (+,,), Lucca under Many Masters: A Fourteenth-Century Italian Commune in Crisis
(8 ), Florence
Guidi, G. (+,-.), I sistemi elettorali agli uci del comune di Firenze nel primo
Trecento (+,oo+,.s), ASI +,o: ,o-
Guidi, G. (+,--), I sistemi elettorali agli uci della citt-repubblica di Firenze nella
prima met del Trecento (+,.,+,,), ASI +,: ,-,.
Guimbart, C. (+,,.), Appunti sulla legislazione suntuaria a Firenze dal +.s+ al +,s,
ASI, +o: -s.
Henderson, J. (+,,), Piety and Charity in Late Medieval Florence, Oxford
Herde, P. (+,o), Politik und Rhetorik in Florenz am Vorabend der Renaissance: die
ideologische Rechtfertigung der Florentiner Aussenpolitik durch Coluccio
Salutati, AK -: ++..o
Herde, P. (+,-,), Politische Verhaltenweisen der Florentiner Oligarchie +,s.+o.,
Geschichte und Verfassungsgefge: Frankfurter Festgabe fr Walter Schlesinger: Frankfurter
Historische Abhandlungen : +o.,
Holmes, G. (+,so), Florence, Rome and the Origins of the Renaissance, Oxford
Hoshino, H. (+,so), LArte della Lana in Firenze in basso medioevo. Il commercio della lana e il
mercato dei panni W orentini nei secoli XIIIXV, Florence
Jones, P.J. (+,os), From Manor to Mezzadria: A Tuscan Case-Study in the Medieval
Origins of Modern Agricultural Society, in N. Rubinstein (ed.), Florentine Studies.
Politics and Society in Renaissance Florence, London, pp. +,,.+
La Roncire, C.M. de (+,os), Indirect Taxes or Gabelles at Florence in the
Fourteenth Century, in N. Rubinstein (ed.), Florentine Studies. Politics and Society in
Renaissance Florence, London, pp. +o,.
La Roncire, C.M. de (+,s+), La condition des salaris Florence au XIV
e
sicle, in Il
tumulto dei Ciompi. Un momento di storia W orentina ed europea, Florence, pp. +,o
La Roncire, C.M. de (+,s.), Prix et salaires Florence au XIVe sicle (8 8 ), Rome
Landogna, F. (+,.,), La politica dei Visconti in Toscana, Milan
Lesnick, D.R. (+,s,), Preaching in Medieval Florence. The Social World of Franciscan and
Dominican Spirituality, Athens, Ga.
Mandich, G. (+,ss), Il orino di conto a Firenze nel +.,+,s+, and Il orino di conto
a Firenze nel +,s.+o, ASI +o: .,s, +s.
Mantini, S. (+,,), Un ricinto di identicazione: le mura sacre della citt. Riessione su
Firenze dallet classica al medioevo, ASI +,: .++o+
Martin, A. von (+,+o), Coluccio Salutati und das humanische Lebensideal. Ein Kapitel aus der
Genesis der Renaissance, Berlin and Leipzig
Mesquita, D.M. Bueno de (+,+), Giangaleazzo Visconti, Duke of Milan , Cambridge
Molho, A. (+,osa), The Florentine Oligarchy and the Balie of the Late Trecento,
Speculum ,: .,+
Molho, A. (+,osb), Politics and the Ruling Class in Early Renaissance Florence, NRS
.: o+,+
Najemy, J.M. (+,s+), Audiant omnes artes: Corporate Origins of the Ciompi
Revolution, in Il Tumulto dei Ciompi. Un momento di storia W orentina ed europea,
Florence, pp. ,,,
Secondary works, chapter (b) ,,,
Cambridge Histories Online Cambridge University Press, 2008
Najemy, J. M. (+,s.), Corporatism and Consensus in Florentine Electoral Politics, Chapel Hill,
N.C.
Ninzi, R. (+,,.), Techniche e manipolazioni elettorali nel comune di Firenze tra XIV
e XV secolo (+,s.+,), ASI +o: -,-
Pampaloni, Giuseppe (+,,), Gli organi della Repubblica orentina per le relazioni
con lEstero, Rivista di studi politici internazionali .o: .o+,o
Pampaloni, Guido (+,s.), Un nuovo studio sulla produzione e commercio della lana
a Firenze tra trecento e cinquecento, ASI +o: +,-.+,
Panella, A. (+,+,), Politica ecclesiastica del comune orentino dopo la cacciata del duca
dAtene, ASI oth series .: .-+,-o
Paoli, C. (+so.), Della signoria di Gualtieri, duca dAtene in Firenze. Memoria compilata
su documenti, Florence; also published in Giornale storico degli archivi toscani o:
so.so
Pardi, G. (+,+o), Disegno della storia demograca di Firenze, ASI -: ,s, +s.
Perrens, F.-T. (+s--s,), Histoire de Florence depuis ses origines jusqu la domination des
Mdicis, o vols., Paris
Petrucci, A. (+,-.), Coluccio Salutati, Rome
Pinto, G. (+,-.), Firenze e la carestia del +,o-, ASI +,o: ,s
Pinto, G. (+,-,), Aspetti della guerra tra Firenze e Ludovico il Bavaro in alcune lettere
della cancelleria orentina, ASI +,+: ..,,
Rado, A. (+,.o), Dalla repubblica W orentina alla signoria medicea. Maso degli Albizzi e il partito
oligarchico in Firenze dal 8 al 9 , Florence
Rodolico, N. (+s,,), Il popolo minuto.. Note di storia W orentina (7 8 ), Bologna
Rodolico, N. (+,), I Ciompi. Una pagina di storia del proletario operaio, Florence
Rubinstein, N. (+,s+), Il regime politico di Firenze dopo il Tumulto dei Ciompi,
in Il tumulto dei Ciompi. Un momento di storia W orentina ed europea, Florence,
pp. +o.
Rutenburg, V. (+,-+), Popolo e movimenti popolari nellItalia del e , Bologna
Sapori, A. (+,.o), La crisi delle compagnie mercantili dei Bardi e dei Peruzzi, Florence
Sapori, A. (+,o-), Studi di storia economica (secoli XIIIXIVXV), , vols., Florence
Stella, A. (+,,,), Fiscalit, topograa e societ a Firenze nella seconda met del
Trecento, ASI ++: -,-so.
Strocchia, S. T. (+,,.), Death and Ritual in Renaissance Florence, Baltimore
Szab, T. (+,,.), Comuni e politica stradale in Toscana e in Italia nel Medioevo, Bologna
Tabacco, G. (+,,), La casa di Francia nellazione politica di papa Giovanni XXII, Rome
Tognetti, S. (+,,), Prezzi e salari nella Firenze tardo-medievale: un prolo, ASI +,:
.o,,,,
Trexler, R.C. (+,-), The Spiritual Power. Republican Florence under the Interdict, Leiden
Trexler, R.C. (+,s), Il parlamento orentino del +o settembre +,-s, ASI +,: ,--
Vigo, P. (+s-,), Uguccione della Faggiuola, podest di Pisa e di Lucca 6 , Livorno
Witt, R.G. (+,o,), A Note on Guelsm in late Medieval Florence, NRS ,: +,
Witt, R.G. (+,-o), Florentine Politics and the Ruling Class, JMRS o: .,o-
Witt, R.G. (+,s,), Hercules at the Crossroads. The Life, Works and Thought of Coluccio Salutati,
Durham, N.C.
Zorzi, A. (+,s-), Aspetti e problemi dellamministrazione della giustizia penale nella
repubblica orentina I: la transizione dal XIV al XV secolo, ASI +: ,,+,
,, Secondary works, chapter (b)
Cambridge Histories Online Cambridge University Press, 2008
+( c) +nr i+:ii: sot+n
Primary sources
Davidsohn, R., Forschungen zur Geschichte von Florenz, iii. Teil XIII. und XIV. Jahrhundert,
i. Register unedirter Urkunder zur Geschichte von Handel, Gewerbe und Zuftwesen; ii. Die
Schwarzen und die Weissen, Berlin (+,o+)
Robert dAnjou, La vision bienheureuse. Trait envoy au pape Jean XXII, ed. M. Dykmans,
Miscellanea Historiae Ponticiae, Rome (+,-o)
Secondary works
The literature is uneven, and some aspects are covered in far more detail than others.
More extended treatment of most issues touched on in this chapter is found in
Abulaa (+,,-).
The kingdom of Naples
Abulaa, D. (+,so), Venice and the Kingdom of Naples in the Last Years of King
Robert the Wise, PBSR s: +so.o; repr. in Abulaa (+,s-)
Abulaa, D. (+,s+), Southern Italy and the Florentine Economy, +.o+,-o, EcHR
.nd series ,,: ,--ss; repr. in Abulaa (+,s-)
Abulaa, D. (+,s-), Italy, Sicily and the Mediterranean, , London
Abulaa, D. (+,,), Genova Angioina, +,+s,: gli inizi della Signoria di Roberto re di
Napoli, in La storia dei Genovesi, ii: Atti del Convegno internazionale di studi sui Ceti
Dirigenti nelle Istituzioni della Repubblica di Genova, a Tornata, Genova, giugno,
9 9 , part +, Genoa, pp. +.
Abulaa, D. (+,,-), The Western Mediterranean Kingdoms, , London
Boulton, DA.J.D. (+,s-), The Knights of the Crown. The Monarchical Orders of Knighthood in
Later Medieval Europe, , Woodbridge
Bowsky, W. M. (+,oo), Henry VII in Italy, Lincoln, Nebr.
Branca, V. (+,-o), Boccaccio. The Man and his Works, Hassocks, Sussex
Caggese, R. (+,..,o), Roberto dAngi, . vols., Florence
Cole, B. (+,-o), Giotto and Florentine Painting, 8 7 , New York
Cutolo, A. (+,,o), Re Ladislao di Angio-Durazzo, . vols., Milan
Ducellier, A. (+,s+), La faade maritime de lAlbanie au moyen ge. Durazzo et Valona du XIe
au XVe sicle, Thessaloniki
Enderlein, L. (+,,-), Die Grablegen des Hauses Anjou in Unteritalien. Totenkult und
Monumente 6 6 , Worms
LEtat Angevin. Ponvoir, culture et socit entre XIIIe et XIVe sicle (+,,s), Collection de
lcole franaise de Rome, ., Rome
Galasso, G. (+,,.), Il regno di Napoli. Il Mezzogiorno angioino e aragonese (6 6 9 ), UTET,
Storia dItalia, Turin
Gardner, J. (+,-), Simone Martinis St Louis of Toulouse, Reading Medieval Studies +:
+o.,
Green, L. (+,so), Castruccio Castracani. A Study on the Origins and Character of a Fourteenth-
Century Italian Despotism, Oxford
Secondary works, chapter (c) ,,
Cambridge Histories Online Cambridge University Press, 2008
Grierson, P. and Travaini, L. (+,,s), Medieval European Coinage, i\: Italy, pt iii: South
Italy, Sicily, Sardinia, Cambridge
Hilton, R.H. (+,-,), Bond Men Made Free. Medieval Peasant Movements and the English Rising
of 8 , London
Housley, N.J. (+,s.), The Italian Crusades. The Papal-Angevin alliance and the Crusades against
Christian Lay Powers, , Oxford
Housley, N.J. (+,s,), Pope Clement V and the Crusades of +,o,+o, JMH s: .,,
Housley, N.J. (+,so), The Avignon Papacy and the Crusades, 7 8 , Oxford
Hunt, E.H. (+,,), The Medieval Super-Companies. A study of the Peruzzi Company of Florence,
Cambridge
La Roncire, C. M. de (+,-o), Florence, centre conomique rgional, vols., Aix-en-Provence
Labande, E.R. (+,-), La politique mditerranenne de Louis Ier dAnjou et le rle quy
joua la Sardaigne, Atti del VI Congresso internazionale di studi sardi, Cagliari, pp. ,.,;
repr. in E.R. Labande, Histoire de lEurope occidentale, XIeXIVe s., London (+,-,)
Lonard, E. (+,,.o), Le rgne de Jeanne Ier de Naples, , vols., Monaco and Paris
Lonard, E. (+,), Les Angevins de Naples, Paris
Lonard, E. (+,o-), Gli Angioini di Napoli, Milan (Italian version of Lonard (+,))
Mollat, G. (+,o), Les papes dAvignon, 7 8 , +oth edn, Paris; English trans. Janet
Love, of earlier edn (+,o,) as The Popes at Avignon, London (+,o,)
Pennington, K. (+,,,), The Prince and the Law, 6 . Sovereignty and Rights in the Western
Legal Tradition, Berkeley and Los Angeles
Pryor, J.H. (+,so), Foreign Policy and Economic Policy: The Angevins of Sicily and
the Economic Decline of Southern Italy, in L.O. Frappell (ed.), Principalities,
Powers and Estates. Studies in Medieval and Early Modern Government and Society,
Adelaide
Sapori, A. (+,.o), La crisi delle compagnie mercantili dei Bardi e dei Peruzzi, Florence
Tabacco, G. (+,,), La casa di Francia nellazione politica di Giovanni XXII, Rome
Trifone, A. (+,.+), La legislazione angioina, Naples
Ullmann, W. (+,o), The Medieval Idea of Law as Represented by Lucas de Penna, London
Ullmann, W. (+,s), The Origins of the Great Schism, London
Weiss, R. (+,--), Medieval and Humanist Greek, Padua
Wood, D. (+,s,), Clement VI. The PontiW cate and Ideas of an Avignon Pope, Cambridge
Yver, G. (+,o,), Le commerce et les marchands dans lItalie mridionale, Paris
The island kingdom of Sicily
Abulaa, D. (+,,), The Aragonese Kingdom of Albania. An Angevin Project of
+,+++o, MHR +o: ++,; repr. in Benjamin Arbel (ed.), Intercultural Contacts in the
Medieval Mediterranean. Studies in Honour of David Jacoby, London (+,,o)
Backman, C. (+,,), The Decline and Fall of Medieval Sicily. Politics, Religion and Economy in
the Reign of Frederick III, 9 6 7 , Cambridge
Benigno F. and Torrisi C. (eds.) (+,,), Elites e potere in Sicilia dal medioevo ad oggi,
Catanzaro
Bresc, H. (+,,o), Politique et socit en Sicile, XIIeXVe sicles, Aldershot
Bresc, H. (+,so), Un monde mditerranen. Economie et socit en Sicile, , . vols.,
Rome and Palermo
,,o Secondary works, chapter (c)
Cambridge Histories Online Cambridge University Press, 2008
Corrao, P. (+,,+), Governare un regno. Potere, societ e istituzioni in Sicilia fra Trecento e Quat-
trocento, Naples
DAlessandro, V. (+,o,), Politica e societ nella Sicilia aragonese, Palermo
DAlessandro, V. (+,,), Terra, nobili e borghesi nella Sicilia medievale, Palermo
Epstein, S.R. (+,,.), An Island for Itself. Economic Development and Social Change in Late
Medieval Sicily, Cambridge
Fisber Polizzi, C. (+,-,), Amministrazione della contea di Ventimiglia nella Sicilia aragonese,
Supplement to Atti dellAccademia Agrigentina di scienze lettere e arti, o, Padua
Kiesewetter, A. (+,,,), Die Anfnge der Regierung Karls II. von Anjou (7 8 9 ),
Husum
Luttrell, A.T. (ed.) (+,-), Medieval Malta. Studies on Malta before the Knights, London
Mazzarese Fardella, E. (+,-), I Feudi comitali di Sicilia dai Normanni agli Aragonesi, Milan
and Palermo
Peri, I. (+,s+), La Sicilia dopo il Vespro. Uomini, citt e campagne, 8 7 6 , Bari
Peri, I. (+,,,), Villani e cavalieri nella Sicilia medievale, Bari
Romano, A. (ed.) (+,,.), Istituzioni politiche e giuridiche e strutture del potere politico ed econon-
ico nelle citt dellEuropa mediterranea medievale e moderna. La Sicilia, Messina
Sciascia, L. (+,,,), Le donne e i cavalier, gli aanni e gli agi. Famiglia e potere in Sicilia tra XII e
XIV secolo, Messina
+o( a) +nr rrirr. rro :roir or :ss:t +o ir\is or r:\:ri:,
+.,.+,-
:roir or :ss:t
Primary sources
MGH, Legum Sectio IV: Constitutiones et Acta Publica Imperatorum et Regum Tom. III, ed.
Iacobus Schwalm, Hanover and Leipzig (+,oo), nos. os,o, pp. ,
Die Regesten des Kaiserreiches unter Adolf von Nassau 9 9 8 , ed. Vincenz Samanek (J. F.
Bhmer, Regesta Imperii \i .), Innsbruck (+,s)
Historiographical sources
Lhotsky, Alphons, Quellenkunde zur mittelalterlichen Geschichte sterreichs, MIG,
Ergnzungsband, i, Graz and Cologne, (+,o,), pp. .,
Lorenz, Ottokar, Deutschlands Geschichtsquellen im Mittelalter seit der Mitte des dreizehnten
Jahrhunderts, i (,rd edn, Berlin (+sso)); ii (,rd edn, Berlin (+ss-)), esp. pp. .-
Secondary works
Baethgen, Friedrich (+,o), Zur Geschichte der Wahl Adolfs von Nassau, DA +.:
,o,; repr. in his Mediaevalia, Stuttgart (+,oo), i, pp. +,..o+
Barraclough, G. (+,o), Edward I and Adolf of Nassau, Cambridge Historical Journal o:
..o.
Gerlich, A. (+,,), Adolf von Nassau (+.,.s): Aufstieg und Sturz eines Knigs,
Herrscheramt und Kurfrstenfronde, Nassauische Annalen +o: +--s
Primary sources and secondary works, chapter 6 (a) ,,-
Cambridge Histories Online Cambridge University Press, 2008
Gerlich, A. (+,,s), Knig Adolf von Nassau: Reichspolitik am Rhein und in Schwaben
+.,, und +.,, Nassauische Annalen +o,: +-.
Patze, Hans (+,o,), Erzbischof Gerhard II. von Mainz und Knig Adolf von
Nassau. Territorialpolitik und Finanzen, Hessisches Jahrbuch fr Landesgeschichte +,:
s,+o
Roth, F.W.K. (+s-,), Geschichte des rmischen Knigs Adolf I. von Nassau, Wiesbaden
Samanek, Vincenz (+,,o), Studien zur Geschichte Knig Adolfs, Akademie der
Wissenschaften in Wien, philos.-histor. Klasse, Sitzungsberichte, .o-.., Vienna
and Leipzig
Samanek, Vincenz (+,,.), Neue Beitrge zu den Regesten Knig Adolfs, Akademie der
Wissenschaften in Wien, philos.-histor. Klasse, Sitzungsberichte, .+.., Vienna
and Leipzig
Trautz, Fritz (+,o+), Die Knige von England und das Reich 7 7 7 , Heidelberg
Trautz, Fritz (+,o), Studien zur Geschichte und Wrdigung Knig Adolfs von
Nassau, Geschichtliche Landeskunde ., Verentlichungen des Instituts fr ge-
schichtliche Landeskunde an der Universitt Mainz, Wiesbaden, pp. +
:irrr+ i or n:rsrtrc
Primary sources
There is so far no new edition of the Regesta Imperii for Alberts reign. The most
important documents are in MGH, Legum Sectio IV: Constitutiones et Acta Publica
Imperatorum et Regum Tom. IV, pt i, ed. Iacobus Schwalm, Hanover and Leipzig (+,oo),
nos. +.,o, pp. ++,,
Chronicon Ecclesiae Wimpinensis auct. Burcardo de Hallis et Dythero de Helmestat. MGH,
Scriptores Tom, XXX, pt. I, Hanover (+s,o); repr. Stuttgart (+,-o)
Historiographical sources
See above under Adolf of Nassau
Secondary works
Baethgen, Friedrich (+,.s), Die Promissio Albrechts I. fr Bonifaz VIII., in Aus Politik
und Geschichte. Gedchtnisschrift fr Georg von Below, Berlin, pp. -,o; repr. in his
Mediaevalia, Stuttgart (+,oo), i, pp. .o.+-
Baethgen, Friedrich (+,o), Zur Geschichte der Weltherrschaftsidee im spteren
Mittelalter, in Festschrift Percy Ernst Schramm, Wiesbaden, i, pp. +s,.o,
Hessel, Alfred (+,,+), Jahrbcher des Deutschen Reiches unter Knig Albrecht I. von Habsburg,
Munich
Lhotsky, Alphons (+,o-), Geschichte sterreichs seit der Mitte des . Jahrhunderts (8 8 ),
Vienna
Lintzel, Martin (+,,), Das Bndnis Albrechts I. mit Bonifaz VIII., HZ ++: -s;
repr. in Martin Lintzel, Ausgewhlte Schriften, Berlin (+,o+), ii, pp. os
Lucas, H.S. (+,,), Diplomatic Relations of Edward I and Albert of Austria, Speculum
,: +.,
,,s Primary sources and secondary works, chapter 6 (a)
Cambridge Histories Online Cambridge University Press, 2008
nrr \ii
Primary sources
So far there is no new edition of the Regesta Imperii for the the reign of Henry VII. The
most important documents are in MGH, Legum Sectio IV: Constitutiones . . . Tom. IV, pt +,
ed. Iacobus Schwalm, Hanover and Leipzig (+,o,++), nos. .o.-.., pp. ..s-+.; pt .,
ed. Iacobus Schwalm, Hanover and Leipzig (+,o,++), nos. -.,+o,o, pp. -+,+o,o. This
edition largely replaces two earlier ones: Doennigs, G[uillelmus], Acta Henrici VII imperat-
oris Romanorum, . vols., Berlin (+s,s), and Bonaini, Francesco, Acta Henrici VII Romanorum
imperatoris . . ., . vols., Florence (+s--)
Mommsen, Theodor E. and Hagemann, Wolfgang, Italienische Analekten zur
Reichsgeschichte des . Jahrhunderts (7 8 ), Schriften der MGH, ++, Stuttgart
(+,.), nos. ++,o, pp. .+o
Le Opere di Dante Alighier, a cura del Dr E. Moore, nuovamente rivedute nel testo dal
Dr Paget Toynbee, th edn, Oxford (+,.)
Stengel, Edmund E., Nova Alamanniae. Urkunden, Briefe und andere Quellen besonders zur
deutschen Geschichte des . Jahrhunderts, . vols., Berlin and Hanover (+,.+-o)
Wampach, Camillo, Urkunden- und Quellenbuch zur Geschichte der altluxemburgischen
Territorien bis zur burgundischen Zeit, +o vols., Luxemburg (+,,)
Secondary works
Bowsky, W.M. (+,sa), Florence and Henry of Luxemburg, King of the Romans: The
Rebirth of Guelsm, Speculum ,,: +--.o,
Bowsky, W.M. (+,sb), Dantes Italy: A Political Dissection, The Historian .+: s.+oo
Bowsky, W.M. (+,sc), Clement V and the Emperor-Elect, MH +.: .o,
Bowsky, W.M. (+,oo), Henry VII in Italy. The Conict of Empire and City-State, ,
Lincoln, Nebr.
Dietmar, Carl D. (+,s,), Die Beziehungen des Hauses Luxemburg zu Frankreich in den Jahren
7 6 , Cologne
Franke, Maria Elisabeth (+,,.), Kaiser Heinrich VII. im Spiegel der Historiographie, Cologne
Gade, John A. (+,+), Luxemburg in the Middle Ages, Leiden
Heyen, Franz-Josef (+,o), Kaiser Heinrichs Romfahrt. Die Bilderchronik von Kaiser Heinrich
VII. und Kurfrst Balduin von Luxemburg (8 ), Boppard; repr. Munich (+,-s)
Jschke, Kurt-Ulrich (+,ss), Imperator Heinricus. Ein sptmittelalterlicher Text ber Kaiser
Heinrich VII. in kritischer Beleuchtung, Beiheft zu Hmecht, Luxemburg
Meltzer, Franz (+,o), Die Ostraumpolitik Knig Johanns von Bhmen, Jena
Schneider, Friedrich (+,.s), Kaiser Heinrich VII., , parts, Greiz and Leipzig
Schneider, Friedrich (+,o), Kaiser Heinrich VII. Dantes Kaiser, Stuttgart and Berlin
Wenck, Carl (+ss.), Clemens V. und Heinrich VII. Die Anfnge des franzsischen Papsttums,
Halle
ir\is or r:\:ri:
Primary sources
A new edition of the Regesta Imperii is under way, but so far only a few volumes have
been published: Regesten Kaiser Ludwigs des Bayern (7 ) nach Archiven und Bibliotheken
Primary sources and secondary works, chapter 6 (a) ,,,
Cambridge Histories Online Cambridge University Press, 2008
geordnet, ed. Peter Acht, pt +: Die Urkunden aus den Archiven und Bibliotheken Wrttembergs,
ed. Johannes Wetzel, Cologne (+,,+); pt .: Die Urkunden aus den Archiven und Bibliotheken
Badens, ed. Johannes Wetzel, Cologne (+,,); pt ,: Die Urkunden aus Kloster- und
Stiftsarchiven im Bayerischen Haupstaatsarchiv und in der Bayerischen Staatsbibliothek Mnchen,
ed. Michael Menzel, Cologne (+,,o); pt : Die Urkunden aus den Archiven und Bibliotheken
des Elsasses (Dpartement Haut- und Bas-Rhin), ed. Johannes Wetzel, Cologne (+,,s)
The most important documents of his reign to +,,o are published in MGH, Legum
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