The Holy Roman Empire

PREFACE TO THE THIRD EDITION

The object of this treatise is not so much to give a narrative history of the countries included in the Romano-Germanic Empire – Italy during the middle ages, Germany from the ninth century to the nineteenth – as to describe the Holy Empire itself as an institution or system, the wonderful offspring of a body of beliefs and traditions which have almost wholly passed away from the world. Such a description, however, would not be intelligible without some account of the great events which accompanied the growth and decay of imperial power; and it has therefore appeared best to give the book the form rather of a narrative than of a dissertation; and to combine with an exposition of what may be called the theory of the Empire an outline of the political history of Germany, as well as some notices of the affairs of mediæval Italy. To make the succession of events clearer, a Chronological List of Emperors and Popes has been prefixed¹.

The present edition has been carefully revised and corrected throughout; and a good many additions have been made to both text and notes.

Lincoln's Inn,

August 11, 1870.

DATES OF SEVERAL IMPORTANT EVENTS IN THE HISTORY OF THE EMPIRE

CHRONOLOGICAL TABLE of EMPERORS AND POPES

[2] Reckoning the Anti-pope Felix (A.D. 356) as Felix II.

[3] Crowned Emperor, but at Bologna, not at Rome.

[†] The names in italics are those of German kings who never made any claim to the imperial title.

* Those marked with an asterisk were never actually crowned at Rome.

CHAPTER I.
INTRODUCTORY

Of those who in August, 1806, read in the English newspapers that the Emperor Francis II had announced to the Diet his resignation of the imperial crown, there were probably few who reflected that the oldest political institution in the world had come to an end. Yet it was so. The Empire which a note issued by a diplomatist on the banks of the Danube extinguished, was the same which the crafty nephew of Julius had won for himself, against the powers of the East, beneath the cliffs of Actium; and which had preserved almost unaltered, through eighteen centuries of time, and through the greatest changes in extent, in power, in character, a title and pretensions from which all meaning had long since departed. Nothing else so directly linked the old world to the new – nothing else displayed so many strange contrasts of the present and the past, and summed up in those contrasts so much of European history. From the days of Constantine till far down into the middle ages it was, conjointly with the Papacy, the recognised centre and head of Christendom, exercising over the minds of men an influence such as its material strength could never have commanded. It is of this influence and of the causes that gave it power rather than of the external history of the Empire, that the following pages are designed to treat. That history is indeed full of interest and brilliance, of grand characters and striking situations. But it is a subject too vast for any single canvas. Without a minuteness of detail sufficient to make its scenes dramatic and give us a lively sympathy with the actors, a narrative history can have little value and still less charm. But to trace with any minuteness the career of the Empire, would be to write the history of Christendom from the fifth century to the twelfth, of Germany and Italy from the twelfth to the nineteenth; while even a narrative of more restricted scope, which should attempt to disengage from a general account of the affairs of those countries the events that properly belong to imperial history, could hardly be compressed within reasonable limits. It is therefore better, declining so great a task, to attempt one simpler and more practicable though not necessarily inferior in interest; to speak less of events than of principles, and endeavour to describe the Empire not as a State but as an Institution, an institution created by and embodying a wonderful system of ideas. In pursuance of such a plan, the forms which the Empire took in the several stages of its growth and decline must be briefly sketched. The characters and acts of the great men who founded, guided, and overthrew it must from time to time be touched upon. But the chief aim of the treatise will be to dwell more fully on the inner nature of the Empire, as the most signal instance of the fusion of Roman and Teutonic elements in modern civilization: to shew how such a combination was possible; how Charles and Otto were led to revive the imperial title in the West; how far during the reigns of their successors it preserved the memory of its origin, and influenced the European commonwealth of nations.

Strictly speaking, it is from the year 800 A.D., when a King of the Franks was crowned Emperor of the Romans by Pope Leo III, that the beginning of the Holy Roman Empire must be dated. But in history there is nothing isolated, and just as to explain a modern Act of Parliament or a modern conveyance of lands we must go back to the feudal customs of the thirteenth century, so among the institutions of the Middle Ages there is scarcely one which can be understood until it is traced up either to classical or to primitive Teutonic antiquity. Such a mode of inquiry is most of all needful in the case of the Holy Empire, itself no more than a tradition, a fancied revival of departed glories. And thus, in order to make it clear out of what elements the imperial system was formed, we might be required to scrutinize the antiquities of the Christian Church; to survey the constitution of Rome in the days when Rome was no more than the first of the Latin cities; nay, to travel back yet further to that Jewish theocratic polity whose influence on the minds of the mediæval priesthood was necessarily so profound. Practically, however, it may suffice to begin by glancing at the condition of the Roman world in the third and fourth centuries of the Christian era. We shall then see the old Empire with its scheme of absolutism fully matured; we shall mark how the new religion, rising in the midst of a hostile power, ends by embracing and transforming it; and we shall be in a position to understand what impression the whole huge fabric of secular and ecclesiastical government which Roman and Christian had piled up made upon the barbarian tribes who pressed into the charmed circle of the ancient civilization.

CHAPTER II.
THE ROMAN EMPIRE BEFORE THE INVASIONS OF THE BARBARIANS

The Roman Empire in the second century.

That ostentation of humility which the subtle policy of Augustus had conceived, and the jealous hypocrisy of Tiberius maintained, was gradually dropped by their successors, till despotism became at last recognised in principle as the government of the Roman Empire. With an aristocracy decayed, a populace degraded, an army no longer recruited from Italy, the semblance of liberty that yet survived might be swept away with impunity. Republican forms had never been known in the provinces at all, and the aspect which the imperial administration had originally assumed there, soon reacted on its position in the capital. Earlier rulers had disguised their supremacy by making a slavish senate the instrument of their more cruel or arbitrary acts. As time went on, even this veil was withdrawn; and in the age of Septimius Severus, the Emperor stood forth to the whole Roman world as the single centre and source of power and political action. The warlike character of the Roman state was preserved in his title of General; his provincial lieutenants were military governors; and a more terrible enforcement of the theory was found in his dependence on the army, at once the origin and support of all authority. But, as he united in himself every function of government, his sovereignty was civil as well as military. Laws emanated from him; all officials acted under his commission; the sanctity of his person bordered on divinity. This increased concentration of power was mainly required by the necessities of frontier defence, for within there was more decay than disaffection. Few troops were quartered through the country: few fortresses checked the march of armies in the struggles which placed Vespasian and Severus on the throne. The distant crash of war from the Rhine or the Euphrates was scarcely heard or heeded in the profound quiet of the Mediterranean coasts, where, with piracy, fleets had disappeared. No quarrels of race or religion disturbed that calm, for all national distinctions were becoming merged in the idea of a common Empire. The gradual extension of Roman citizenship through the coloniæ, the working of the equalized and equalizing Roman law, the even pressure of the government on all subjects, the movement of population caused by commerce and the slave traffic, were steadily assimilating the various peoples.

Obliteration of national distinctions.

 

Emperors who were for the most part natives of the provinces cared little to cherish Italy or conciliate Rome: it was their policy to keep open for every subject a career by whose freedom they had themselves risen to greatness, and to recruit the senate from the most illustrious families in the cities of Gaul, Spain, and Asia. The edict by which Caracalla extended to all natives of the Roman world the rights of Roman citizenship, though prompted by no motives of kindness, proved in the end a boon. Annihilating legal distinctions, it completed the work which trade and literature and toleration to all beliefs but one were already performing, and left, so far as we can tell, only two nations still cherishing a national feeling. The Jew was kept apart by his religion: the Greek boasted his original intellectual superiority. Speculative philosophy lent her aid to this general assimilation. Stoicism, with its doctrine of a universal system of nature, made minor distinctions between man and man seem insignificant: and by its teachers the idea of cosmopolitanism was for the first time proclaimed. Alexandrian Neo-Platonism, uniting the tenets of many schools, first bringing the mysticism of the East into connection with the logical philosophies of Greece, had opened up a new ground of agreement or controversy for the minds of all the world. Yet Rome's commanding position was scarcely shaken. Her actual power was indeed confined within narrow limits.

The Capital.

Rarely were her senate and people permitted to choose the sovereign: more rarely still could they control his policy; neither law nor custom raised them above other subjects, or accorded to them any advantage in the career of civil or military ambition. As in time past Rome had sacrificed domestic freedom that she might be the mistress of others, so now to be universal, she, the conqueror, had descended to the level of the conquered. But the sacrifice had not wanted its reward. From her came the laws and the language that had overspread the world: at her feet the nations laid the offerings of their labour: she was the head of the Empire and of civilization, and in riches, fame, and splendour far outshone as well the cities of that time as the fabled glories of Babylon or Persepolis.

Diocletian and Constantine.

Scarcely had these slowly working influences brought about this unity, when other influences began to threaten it. New foes assailed the frontiers; while the loosening of the structure within was shewn by the long struggles for power which followed the death or deposition of each successive emperor. In the period of anarchy after the fall of Valerian, generals were raised by their armies in every part of the Empire, and ruled great provinces as monarchs apart, owning no allegiance to the possessor of the capital.

The founding of the kingdoms of modern Europe might have been anticipated by two hundred years, had the barbarians been bolder, or had there not arisen in Diocletian a prince active and politic enough to bind up the fragments before they had lost all cohesion, meeting altered conditions by new remedies. By dividing and localizing authority, he confessed that the weaker heart could no longer make its pulsations felt to the body's extremities. He parcelled out the supreme power among four persons, and then sought to give it a factitious strength, by surrounding it with an oriental pomp which his earlier predecessors would have scorned. The sovereign's person became more sacred, and was removed further from the subject by the interposition of a host of officials. The prerogative of Rome was menaced by the rivalry of Nicomedia, and the nearer greatness of Milan. Constantine trod in the same path, extending the system of titles and functionaries, separating the civil from the military, placing counts and dukes along the frontiers and in the cities, making the household larger, its etiquette stricter, its offices more important, though to a Roman eye degraded by their attachment to the monarch's person. The crown became, for the first time, the fountain of honour. These changes brought little good. Heavier taxation depressed the aristocracy²: population decreased, agriculture withered, serfdom spread: it was found more difficult to raise native troops and to pay any troops whatever. The removal of the seat of power to Byzantium, if it prolonged the life of a part of the Empire, shook it as a whole, by making the separation of East and West inevitable. By it Rome's self-abnegation that she might Romanize the world, was completed; for though the new capital preserved her name, and followed her customs and precedents, yet now the imperial sway ceased to be connected with the city which had created it. Thus did the idea of Roman monarchy become more universal; for, having lost its local centre, it subsisted no longer historically, but, so to speak, naturally, as a part of an order of things which a change in external conditions seemed incapable of disturbing. Henceforth the Empire would be unaffected by the disasters of the city. And though, after the partition of the Empire had been confirmed by Valentinian, and finally settled on the death of Theodosius, the seat of the Western government was removed first to Milan and then to Ravenna, neither event destroyed Rome's prestige, nor the notion of a single imperial nationality common to all her subjects. The Syrian, the Pannonian, the Briton, the Spaniard, still called himself a Roman³.

Christianity.

For that nationality was now beginning to be supported by a new and vigorous power. The Emperors had indeed opposed it as disloyal and revolutionary: had more than once put forth their whole strength to root it out. But the unity of the Empire, and the ease of communication through its parts, had favoured the spread of Christianity: persecution had scattered the seeds more widely, had forced on it a firm organization, had given it martyr-heroes and a history. When Constantine, partly perhaps from a genuine moral sympathy, yet doubtless far more in the well-grounded belief that he had more to gain from the zealous sympathy of its professors than he could lose by the aversion of those who still cultivated a languid paganism, took Christianity to be the religion of the Empire, it was already a great political force, able, and not more able than willing, to repay him by aid and submission.

Its alliance with the State.

Yet the league was struck in no mere mercenary spirit, for the league was inevitable. Of the evils and dangers incident to the system then founded, there was as yet no experience: of that antagonism between Church and State which to a modern appears so natural, there was not even an idea. Among the Jews, the State had rested upon religion; among the Romans, religion had been an integral part of the political constitution, a matter far more of national or tribal or family feeling than of personal⁴. Both in Israel and at Rome the mingling of religious with civic patriotism had been harmonious, giving strength and elasticity to the whole body politic. So perfect a union was now no longer possible in the Roman Empire, for the new faith had already a governing body of her own in those rulers and teachers whom the growth of sacramentalism, and of sacerdotalism its necessary consequence, was making every day more powerful, and marking off more sharply from the mass of the Christian people. Since therefore the ecclesiastical organization could not be identical with the civil, it became its counterpart. Suddenly called from danger and ignominy to the seat of power, and finding her inexperience perplexed by a sphere of action vast and varied, the Church was compelled to frame herself upon the model of the secular administration. Where her own machinery was defective, as in the case of doctrinal disputes affecting the whole Christian world, she sought the interposition of the sovereign; in all else she strove not to sink in, but to reproduce for herself the imperial system. And just as with the extension of the Empire all the independent rights of districts, towns, or tribes had disappeared, so now the primitive freedom and diversity of individual Christians and local Churches, already circumscribed by the frequent struggles against heresy, was finally overborne by the idea of one visible catholic Church, uniform in faith and ritual; uniform too in her relation to the civil power and the increasingly oligarchical character of her government. Thus, under the combined force of doctrinal theory and practical needs, there shaped itself a hierarchy of patriarchs, metropolitans, and bishops, their jurisdiction, although still chiefly spiritual, enforced by the laws of the State, their provinces and dioceses usually corresponding to the administrative divisions of the Empire. As no patriarch yet enjoyed more than an honorary supremacy, the head of the Church – so far as she could be said to have a head – was virtually the Emperor himself. The inchoate right to intermeddle in religious affairs which he derived from the office of Pontifex Maximus was readily admitted; and the clergy, preaching the duty of passive obedience now as it had been preached in the days of Nero and Diocletian⁵, were well pleased to see him preside in councils, issue edicts against heresy, and testify even by arbitrary measures his zeal for the advancement of the faith and the overthrow of pagan rites. But though the tone of the Church remained humble, her strength waxed greater, nor were occasions wanting which revealed the future that was in store for her. The resistance and final triumph of Athanasius proved that the new society could put forth a power of opinion such as had never been known before: the abasement of Theodosius the Emperor before Ambrose the Archbishop admitted the supremacy of spiritual authority. In the decrepitude of old institutions, in the barrenness of literature and the feebleness of art, it was to the Church that the life and feelings of the people sought more and more to attach themselves; and when in the fifth century the horizon grew black with clouds of ruin, those who watched with despair or apathy the approach of irresistible foes, fled for comfort to the shrine of a religion which even those foes revered.

It embraces and preserves the imperial idea.

 

But that which we are above all concerned to remark here is, that this church system, demanding a more rigid uniformity in doctrine and organization, making more and more vital the notion of a visible body of worshippers united by participation in the same sacraments, maintained and propagated afresh the feeling of a single Roman people throughout the world. Christianity as well as civilization became conterminous with the Roman Empire⁶.

CHAPTER III.
THE BARBARIAN INVASIONS

The Barbarians.

Upon a world so constituted did the barbarians of the North descend. From the dawn of history they shew as a dim background to the warmth and light of the Mediterranean coast, changing little while kingdoms rise and fall in the South: only thought on when some hungry swarm comes down to pillage or to settle. It is always as foes that they are known. The Romans never forgot the invasion of Brennus; and their fears, renewed by the irruption of the Cimbri and Teutones, could not let them rest till the extension of the frontier to the Rhine and the Danube removed Italy from immediate danger. A little more perseverance under Tiberius, or again under Hadrian, would probably have reduced all Germany as far as the Baltic and the Oder. But the politic or jealous advice of Augustus⁷ was followed, and it was only along the frontiers that Roman arts and culture affected the Teutonic races. Commerce was brisk; Roman envoys penetrated the forests to the courts of rude chieftains; adventurous barbarians entered the provinces, sometimes to admire, oftener, like the brother of Arminius⁸, to take service under the Roman flag, and rise to a distinction in the legion which some feud denied them at home. This was found even more convenient by the hirer than by the employed; till by degrees barbarian mercenaries came to form the largest, or at least the most effective, part of the Roman armies.

Admitted to Roman titles and honours.

The body-guard of Augustus had been so composed; the prætorians were generally selected from the bravest frontier troops, most of them German; the practice could not but increase with the extinction of the free peasantry, the growth of villenage, and the effeminacy of all classes. Emperors who were, like Maximin, themselves foreigners, encouraged a system by whose means they had risen, and whose advantages they knew. After Constantine, the barbarians form the majority of the troops; after Theodosius, a Roman is the exception. The soldiers of the Eastern Empire in the time of Arcadius are almost all Goths, vast bodies of whom had been settled in the provinces; while in the West, Stilicho⁹ can oppose Rhodogast only by summoning the German auxiliaries from the frontiers. Along with this practice there had grown up another, which did still more to make the barbarians feel themselves members of the Roman state. Whatever the pride of the old republic might assert, the maxim of the Empire had always been that birth and race should exclude no subject from any post which his abilities deserved. This principle, which had removed all obstacles from the path of the Spaniard Trajan, the Pannonian Maximin, the Numidian Philip, was afterwards extended to the conferring of honour and power on persons who did not even profess to have passed through the grades of Roman service, but remained leaders of their own tribes. Ariovistus had been soothed by the title of Friend of the Roman People; in the third century the insignia of the consulship¹⁰ were conferred on a Herulian chief: Crocus and his Alemanni entered as an independent body into the service of Rome; along the Rhine whole tribes received, under the name of Laeti, lands within the provinces on condition of military service; and the foreign aid which the Sarmatian had proffered to Vespasian against his rival, and Marcus Aurelius had indignantly rejected in the war with Cassius, became the usual, at last the sole support of the Empire, in civil as well as in external strife.

Thus in many ways was the old antagonism broken down – Romans admitting barbarians to rank and office, barbarians catching something of the manners and culture of their neighbours. And thus when the final movement came, and the Teutonic tribes slowly established themselves through the provinces, they entered not as savage strangers, but as colonists knowing something of the system into which they came, and not unwilling to be considered its members; despising the degenerate provincials who struck no blow in their own defence, but full of respect for the majestic power which had for so many centuries confronted and instructed them.

Their feelings towards the Roman Empire.

Great during all these ages, but greatest when they were actually traversing and settling in the Empire, must have been the impression which its elaborate machinery of government and mature civilization made upon the minds of the Northern invaders. With arms whose fabrication they had learned from their foes, these dwellers in the forest conquered well-tilled fields, and entered towns whose busy workshops, marts stored with the productions of distant countries, and palaces rich in monuments of art, equally roused their wonder. To the beauty of statuary or painting they might often be blind, but the rudest mind must have been awed by the massive piles with which vanity or devotion, or the passion for amusement, had adorned Milan and Verona, Arles, Treves, and Bordeaux. A deeper awe would strike them as they gazed on the crowding worshippers and stately ceremonial of Christianity, most unlike their own rude sacrifices. The exclamation of the Goth Athanaric, when led into the market-place of Constantinople, may stand for the feelings of his nation: 'Without doubt the Emperor is a God upon earth, and he who attacks him is guilty of his own blood¹¹.'

The social and political system, with its cultivated language and literature, into which they came, would impress fewer of the conquerors, but by those few would be admired beyond all else. Its regular organization supplied what they most needed and could least construct for themselves, and hence it was that the greatest among them were the most desirous to preserve it. The Mongol Attila excepted, there is among these terrible hosts no destroyer; the wish of each leader is to maintain the existing order, to spare life, to respect every work of skill and labour, above all to perpetuate the methods of Roman administration, and rule the people as the deputy or successor of their Emperor. Titles conferred by him were the highest honours they knew: they were also the only means of acquiring something like a legal claim to the obedience of the subject, and of turning a patriarchal or military chieftainship into the regular sway of an hereditary monarch.

Their desire to preserve its institutions.

Civilis had long since endeavoured to govern his Batavians as a Roman general¹². Alaric became master-general of the armies of Illyricum. Clovis exulted in the consulship; his son Theodebert received Provence, the conquest of his own battle-axe, as the gift of Justinian. Sigismund the Burgundian king, created count and patrician by the Emperor Anastasius, professed the deepest gratitude and the firmest faith to that Eastern court which was absolutely powerless to help or to hurt him. 'My people is yours,' he writes, 'and to rule them delights me less than to serve you; the hereditary devotion of my race to Rome has made us account those the highest honours which your military titles convey; we have always preferred what an Emperor gave to all that our ancestors could bequeath. In ruling our nation we hold ourselves but your lieutenants: you, whose divinely-appointed sway no barrier bounds, whose blessed beams shine from the Bosphorus into distant Gaul, employ us to administer the remoter regions of your Empire: your world is our fatherland¹³.' A contemporary historian has recorded the remarkable disclosure of his own thoughts and purposes, made by one of the ablest of the barbarian chieftains, Athaulf the Visigoth, the brother-in-law and successor of Alaric. 'It was at first my wish to destroy the Roman name, and erect in its place a Gothic empire, taking to myself the place and the powers of Cæsar Augustus. But when experience taught me that the untameable barbarism of the Goths would not suffer them to live beneath the sway of law, and that the abolition of the institutions on which the state rested would involve the ruin of the state itself, I chose the glory of renewing and maintaining by Gothic strength the fame of Rome, desiring to go down to posterity as the restorer of that Roman power which it was beyond my power to replace. Wherefore I avoid war and strive for peace¹⁴.'

Historians have remarked how valuable must have been the skill of Roman officials to princes who from leaders of tribes were become rulers of wide lands; and in particular how indispensable the aid of the Christian bishops, the intellectual aristocracy of their new subjects, whose advice could alone guide their policy and conciliate the vanquished. Not only is this true; it is but a small part of the truth; one form of that manifold and overpowering influence which the old system exercised over its foes not less than its own children. For it is hardly too much to say that the thought of antagonism to the Empire and the wish to extinguish it never crossed the mind of the barbarians¹⁵. The conception of that Empire was too universal, too august, too enduring. It was everywhere around them, and they could remember no time when it had not been so. It had no association of people or place whose fall could seem to involve that of the whole fabric; it had that connection with the Christian Church which made it all-embracing and venerable.

The belief in its eternity.

There were especially two ideas whereon it rested, and from which it obtained a peculiar strength and a peculiar direction. The one was the belief that as the dominion of Rome was universal, so must it be eternal. Nothing like it had been seen before. The empire of Alexander had lasted a short lifetime; and within its wide compass were included many arid wastes, and many tracts where none but the roving savage had ever set foot. That of the Italian city had for fourteen generations embraced all the most wealthy and populous regions of the civilized world, and had laid the foundations of its power so deep that they seemed destined to last for ever. If Rome moved slowly for a time, her foot was always planted firmly: the ease and swiftness of her later conquests proved the solidity of the earlier; and to her, more justly than to his own city, might the boast of the Athenian historian be applied: that she advanced farthest in prosperity, and in adversity drew back the least. From the end of the republican period her poets, her orators, her jurists, ceased not to repeat the claim of world-dominion, and confidently predict its eternity¹⁶. The proud belief of his countrymen which Virgil had expressed —