Rome and Constantinople, Popes and Patriarchs, 1204-1453
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UNIVERSITY OF CALIFORNIA Los Angeles Empires Reshaped and Reimagined: Rome and Constantinople, Popes and Patriarchs, 1204-1453 A dissertation submitted in partial satisfaction of the requirements for the degree Doctor of Philosophy in History by Natalie Sherwan 2016 © Copyright by Natalie Sherwan 2016 ABSTRACT OF THE DISSERTATION Empires Reshaped and Reimagined: Rome and Constantinople, Popes and Patriarchs, 1204-1453 by Natalie Sherwan Doctor of Philosophy, History University of California, Los Angeles, 2016 Professor Patrick Geary, Co-chair Professor Claudia Rapp, Co-chair This dissertation discusses the politics of conquest and the strategies of legitimization pursued by Latin, Greek and Slav contenders for hegemonic rule in the northeastern Mediterranean after the collapse of the Byzantine Empire in the wake of the fourth crusade. It reevaluates the relationship between the concepts of empire and Christendom as played out in the process of political realignment, and closely examines the ways in which the key actors claiming to represent these concepts - emperors, popes, patriarchs - fought or cooperated with one another in order to assert regional preeminence. ii The first part of the dissertation focuses on the tension between the Roman/Byzantine ideal of universalism, which entailed a sole holder of imperial power, and the concrete reality of several empires coexisting within the same geographical area. Chapters one and two provide a survey of the main theoretical issues encountered in the study of medieval empires, and an assessment of the relationship between Byzantine basileis, patriarchs, popes and Western emperors prior to 1204. Chapters three and four investigate the competing but interconnected ruling systems which emerged in the Balkans, the Aegean and Asia Minor after 1204, tracing their policies of war and appeasement until the recovery of Constantinople by the Nicene Greeks in 1261. The analysis of ruling patterns, diplomatic encounters and military engagements indicates that, even if the state or Church leaders playing the game of empire used different means to reach their ends, they all acted within the same conceptual framework regarding universal rule, which eventually prevented the multipolar world produced by the fourth crusade from becoming a long-lasting phenomenon. The secular participants in the quest for hegemony established imperial centers as alternatives to Constantinople, but they made use of Byzantine regalia, titles, rhetoric of power and governing style to promote themselves as legitimate possessors of the imperium. Full control over the former Byzantine capital was still understood as a major prerequisite to universal leadership, and most wars and negotiations during this time period took place either to acquire or to protect the city. The second part of the dissertation, consisting of chapters five and six, investigates the ways in which the patriarchate of Constantinople, part of the Byzantine power structure for most of its history, redefined its role after 1261, as it responded to the challenges posed by the papacy and the rising Balkan empires which sought to redraw ecclesiastical boundaries in areas previously under Byzantine jurisdiction. While much of the confrontation between the iii patriarchate of Constantinople and its rivals took place via diplomatic contacts and negotiations at high level, emerging local rulers played a critical role in deciding the outcome of these encounters. The success of the patriarchal plans of ecclesiastical reintegration was to a very large extent contingent upon local priorities and interests; political maneuvering, patronage networks, and military hostilities often concurred to prevent the patriarchs from reestablishing their authority in the region. This study combines close readings of imperial registers, patriarchal acta, papal correspondence, and historical narratives with inquiries into local politics and social dynamics, in order to create the context for a better understanding of the dynamics of power in the late medieval northeastern Mediterranean. iv The dissertation of Natalie Sherwan is approved. Ronald Vroon John Langdon Teofilo F. Ruiz Claudia Rapp, Committee Co-chair Patrick Geary, Committee Co-chair University of California, Los Angeles 2016 v To Patris vi TABLE OF CONTENTS Introduction…………………………………………………………………………..………..1 Chapter One. Key Concepts and Historical Background…………………………………25 Chapter Two. Byzantium and the West: A Failed Brotherhood……………………….....70 . Chapter Three. Paradigm Shift in the Northeastern Mediterranean, 1204-1261……….151 Chapter Four. Mediterranean Greek Empires: Nicaea and Epirus.....................................207 Chapter Five. Byzantium Restored: Political Violence, Religious Disorder and the Quest for Consensus, 1260s-1390s…………………………….………………….………….293 Chapter Six. Balkan Empires: Political Ambitions, Ecclesiastical Diplomacy and War in the Age of Ottoman conquest…………………………………………………...………...375 Conclusion………………………………………………………………………….………....454 Bibliography…………………………………………………………………………….….....464 vii ACKNOWLEDGEMENTS My thanks go to the many people who have assisted me in various ways towards the completion of this dissertation. I am deeply grateful to the members of my doctoral committee for their guidance and encouragement throughout the writing process. This dissertation would not have been possible without Professor Claudia Rapp’s enthusiastic and unwavering support, from the proposal stage of the project to its final version. Her expert advice, timely feedback and critique, and willingness to accommodate difficult schedules and shifting deadlines are immensely appreciated. I am indebted to Professor Patrick Geary for the pertinent questions he raised at the beginning of my research, to which I returned time and again as I was writing, and for his overall contribution to my academic education. I thank Professor Teo Ruiz for trusting that I can complete this project and for his valuable suggestions on how to think historically and write effectively. I also thank Professors Scott Bartchy and Ronald Vroon, who were always generous with their time and assistance. Our conversations on various aspects of ancient and medieval Christianity and on religious authority in traditional societies stimulated my thinking and enriched my understanding of the interplay between religion, politics and the quest for power in the middle ages. I express my gratitude to Professor John Langdon, to whom I owe my interest in the Latin conquest of Constantinople and the subsequent efforts to rebuild the Byzantine oikoumene. His guidance and support were instrumental throughout my doctoral career. I am very thankful to Professor Richard Rouse, who introduced me to Latin paleography, manuscript traditions and codicology, and to the history of the book as a rich and vibrant academic field. Special thanks to the American Research Center in Sofia, which enabled me to conduct research and take field trips to the northern Balkans. I would like to acknowledge in particular viii Denver Graninger and the staff at the Center, as well as Elka Bakalova, Ivan Biliarsky, Margareta Doncheva, Yavor Miltenov and Elisavetta Moussakova. Many thanks to the Institut für Byzantinistik und Neogräzistik, Universität Wien, which sponsored my forays into Viennese archives and academic libraries. The months spent there were extremely fruitful for research and writing. My gratitude also goes to Dan Ioan Muresan, Marius Telea, and Ionut Alexandru Tudorie, who generously shared their expertise and contributions to the field with me. Likewise, I am grateful to the readers of various parts of this manuscript for their time, patience and thoughtful comments, and to all my colleagues and friends for the intellectual exchanges and moral support over the years. I thank particularly: Haleh Emrani, Leanne Good, Simona Livescu, Mary Momdjian, Maria Ornelas, Whitney Snead, Emily Spratt, Kristine Tanton, and Devon van Dyne. The staff members of the History Department have been wonderful, and I would like to mention especially Hadley Porter and Eboni Show, who were tremendously helpful whenever help was needed. Finally, heartfelt thanks to my parents, whose unfailing support, love and encouragement kept me going through good and bad times. My husband’s belief in me and his taking care of all aspects of life that did not pertain to studying and writing allowed me to complete successfully this long academic journey. Its final product is dedicated to him. ix VITA 1994 Bachelor of Arts, Area Studies, Persian and Romanian Languages and Literatures University of Bucharest, Oriental Studies Department 1998 Master of Arts, Islamic Studies University of Bucharest, Oriental Studies Department 2009 Master of Arts, History University of California, Los Angeles 2011 CPhil, History University of California, Los Angeles Publications “From Villa to Cloister: The Religious Transformation of the Book in Late Antique Gaul.” Viator 44.1 (Spring 2013), 1-23. “Limits of Patriarchal Power in the Fourteenth-century Balkans: The Case of Vidin,” Jahrbuch der Österreichischen Byzantinistik, forthcoming. Conference Papers and Presentations “Christian and Muslim Identities in the Early Modern Balkans,” Guest Speaker, Olive Tree Initiative – UCLA Chapter, May 2014 “Inglorious Heir to a Glorious Past: Byzantium through the Humanist Lens of Cyriac of Ancona,” Annual Meeting of the Medieval Academy of America, Los Angeles CA, April 2014 “Limits of Patriarchal Power in the Fourteenth-century Balkans: