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althoff Praise for Otto III “Previous historians have seen Otto III as a misguided or even ‡‡‡ tragic political innovator. But for Gerd Althoff, Otto was a savvy ruler well attuned to the political ‘theater’ of his day. Otto III is an excellent introduction to Althoff’s vision of the Middle Ages, where power is exercised and communicated through ritual; where political players follow intricate and well-known—though unwritten—‘rules of the game’; and where modern notions of ‘poli- cies’ and ‘ideologies’ have no place. This book rightly challenges us to suspend our modern statist assumptions as we consider the nature of medieval rulership.” —Barbara H. Rosenwein, Loyola University Chicago Otto lll From the Reviews of the German Edition “Althoff’s careful attention to the sources (quoted extensively in the translation with full Latin citations) and his insights regarding the ritualistic and demonstrative behavior of the early Middle Ages mark this as a book that demands the attention of scholars and students alike and one that should have an English translation.” —John W. Bernhardt, Speculum “Not without reason does Althoff conclude his thought-provoking appraisal of Otto by allowing for an individuality that shines through all conventions.” —h.e.j. Cowdrey, English Historical Review the pennsylvania state university press Otto lll university park, pennsylvania www.psupress.org ‡‡‡ isbn 0-271-02402-x gerd althoff ,!7IA2H1-aceaci!:t;K;k;K;k penn state translated by Phyllis G. Jestice Cover illustration: Dedicatory miniature from the gospel book of Otto III. Courtesy Bayerische Staatsbibliothek, Munich (photo: akg Berlin). press 10164 Otto III 7/30/03 9:06 AM Page i Otto lll ‡‡‡ 10164 Otto III 7/30/03 9:06 AM Page ii 10164 Otto III 7/30/03 9:06 AM Page iii Otto lll ‡‡‡ gerd althoff translated by Phyllis G. Jestice ‡‡‡ the pennsylvania state university press university park, pennsylvania 10164 Otto III 7/30/03 9:06 AM Page iv Disclaimer: Some images in the original version of this book are not available for inclusion in the eBook. This English translation of Otto III was made possible through the kind support of goethe institut inter nationes Library of Congress Cataloging-in-Publication Data Althoff, Gerd. [Otto III. English] Otto III / Gerd Althoff ; translated by Phyllis G. Jestice. p. cm. Includes bibliographical references and index. ISBN 0-271-02232-9 (alk. paper) 1. Otto III, Holy Roman Emperor, 980–1002. 2. Germany—History—Saxon House, 919–1024. 3. Holy Roman Empire—Kings and rulers—Biography. 4. Holy Roman Empire—History—843–1273. I. Title. DD140.4 .A4813 2003 943'.022'092—dc21 2003009373 First published in Germany by Wissenschaftliche Buchgesellschaft as part of the series “Gestalten des Mittelalters und der Renaissance” edited by Peter Herde. © 1996 Wissenschaftliche Buchgesellschaft, Darmstadt English translation © 2003 the pennsylvania state university All rights reserved Printed in the United States of America Published by The Pennsylvania State University Press, University Park, PA 16802-1003 It is the policy of The Pennsylvania State University Press to use acid-free paper for the first printing of all clothbound books. Publications on uncoated stock satisfy the minimum requirements of American National Standard for Information Sciences— Permanence of Paper for Printed Library Materials, ANSI Z39.48–1992. 10164 Otto III 7/30/03 9:06 AM Page v Contents ‡‡‡ Translator’s Note vii Preface to the German Edition ix Preface to the English Edition xi introduction The Modern Assessment of Otto III 1 Royal Rule and the Idea of the State at the End of the Tenth Century 16 Central Questions and the Problem of Sources 23 Chapter 1 a child on the throne Henry the Quarrelsome and the Disturbances over the Succession 29 The Regency of the Empresses 40 Chapter 2 the beginning of independent rule The First Independent Decisions 52 The First Italian Expedition 59 The Encounters with Gerbert and Adalbert 65 Chapter 3 the “revenge expedition” to rome and the beginning of the “roman renewal” The Fight Against Crescentius and the Antipope 72 Otto III’s “Idea of Roman Renewal” in Older and Newer Scholarship 81 Chapter 4 the journey to gniezno Preconceptions and Preparations 90 The Journey 97 From Gniezno to Aachen 103 10164 Otto III 7/30/03 9:06 AM Page vi Chapter 5 the last expedition to rome “Government Business” on the Way 108 The Gandersheim Conflict 112 The “Ingratitude” of the Romans 118 The Death of Otto III 126 Chapter 6 building blocks for an assessment of otto iii: observations, insights, open questions Demonstrative Ritual Behaviors 132 “Friends” of Otto III and His Interaction with Them 140 Dealing with the Heritage 146 Abbreviations 149 Notes 151 Bibliography 185 Index 209 10164 Otto III 7/30/03 9:06 AM Page vii Translator’s Note ‡‡‡ otto iii, king of the Germans 983–1002 and emperor 996–1002, is among the most flamboyant and controversial of the German emperors. He was born in 980, the only son of Emperor Otto II and the Byzantine princess Theophanu. Otto II continued his own father’s policy of perpetuating Otton- ian rule by having a council of magnates assembled at Verona on 27 May 983 elect the young Otto king. The three-year-old child was then sent to Aachen, where he was crowned king of the Germans on Christmas Day, 983. As it happened, this coronation took place several weeks after Otto II’s death in Italy. For the first time in German history a minor was sole ruler. For most of Otto’s short life, a series of informal regents governed his empire. At first, Duke Henry II the Quarrelsome of Bavaria claimed guardianship over the child, since he was the new king’s closest male rela- tive. But Henry soon tried to supplant his charge, claiming kingship in his own name. When this plot had been thwarted, Otto III’s mother, Theophanu, assumed guardianship and operated as regent from behind the scenes. After Theophanu died in 991, Otto III’s grandmother Adelheid directed affairs until the young ruler came of age, probably sometime in late 994. Most of what we know about Otto’s adult life comes from accounts of the three expeditions he made to Rome: to be crowned as emperor, to support the pope he had created (his cousin, Gregory V), and finally . Well, this is the point at which certainties end. The question of Otto III’s intentions on his expeditions to Rome forms the heart of a long controversy about the pol- icy and goals of this emperor. Was Otto trying to re-create the ancient Roman Empire, a renovatio imperii Romanorum, something that flew in the face of all traditions of German rulership? Was he an unrealistic dreamer, whose hopeless idealism harmed Germany without helping Italy? Or was he a practical politician with a grand scheme to enhance and transform the power of Germany, the strongest state in Western Europe at the time? What- ever his plans or dreams, Otto III’s story must remain the tale of largely unre- alized potential. He died on 24 January 1002 at the age of only twenty-one. The early modern era rediscovered Otto III. From the sixteenth to the twenty-first century a long series of German historians, artists, dramatists, novelists, and poets have interpreted Otto’s story, largely in light of their 10164 Otto III 7/30/03 9:06 AM Page viii viii ‡ translator’s note own political agendas and aspirations. In the process, Otto, along with his fellow German emperors, has come to symbolize all that is best and worst of Germany itself. Thus the history of Otto III’s portrayal is significant not just for a small pool of medieval historians but for a much broader understanding of German identity. Gert Althoff’s awareness of this problem within the historiographical tra- dition is central to his new approach to studying Otto III. At first glance this work is a biography, but it actually interweaves three other studies within this rich text. First and foremost, this is a study of medieval kingship, the principles upon which it was based and the practices with which it was car- ried out. Otto III is an excellent case study within that broader phenomenon. But it is only possible to do justice to this important subject by questioning and testing earlier suppositions about this ruler. At a secondary level, there- fore, the work is an intellectual history of nineteenth- and twentieth-century Germany. And, not least, Althoff provides a manual for medieval historians, especially stressing important lessons about subjectivity and the need to understand the sources of the era on their own terms. I would like to thank Dr. Elaine Beretz for her invaluable help with the translation of this work. I am also grateful to Inter Nationes for subsidizing this translation. Most of all, my thanks go to Gerd Althoff for allowing me to make this translation and for the inspiration I have found in his work as a whole. 10164 Otto III 7/30/03 9:06 AM Page ix Preface to the German Edition ‡‡‡ how much do individuals influence historical development? That is, to what extent is it possible for the individual to shape and change events in different eras? This fundamental question of historical research has been explored many times. The historiographical genre of biography, venerable but ever fresh, certainly owes its popularity mostly to this question. It appears particularly difficult to answer for the Middle Ages, however. Schol- ars have justly doubted whether it is possible to write a biography, in the modern sense, about a person from this era.