VOLUME 7 Minnesota Monographs in the Humanities Leonard Unger, editor This page intentionally left blank A History of the Alans in the West From Their First Appearance in the Sources of Classical Antiquity through the Early Middle Ages BERNARD S. BACHRACH UNIVERSITY OF MINNESOTA PRESS Minneapolis © Copyright 1973 by the University of Minnesota. All rights reserved. Printed in the United States of America at the University of Minnesota Printing Department, Minneapolis. Published in the United Kingdom and India by the Oxford University Press, London and Delhi and in Canada by the Copp Clark Publishing Co. Limited, Toronto. Library of Congress Catalog Card Number: 73-77710 ISBN 0-8166-0678-1 For DEBBY This page intentionally left blank Preface n 1922 the Russian scholar M. I. Rostovtzeff wrote, "In most I of the work on the period of migrations, the part played by the Sarmatians and especially by the Alans in the conquest of Europe is almost ignored. But we must never forget that the Alans long resided in Gaul, . that they invaded Italy, and that they came with the Vandals to Spain and conquered Africa. ." In 1963 George Vernadsky echoed Rostovtzeff's remarks and concluded that during the intervening four decades still no major historical investigation of the Alans in the West had appeared.1 The pres- ent study is aimed at filling this lacuna in the history of early medieval Europe which has already existed too long.2 1. M. I. Rostovtzeff, Iranians and Greeks in South Russia (Oxford, 1922), p. 237. George Vernadsky, "Eurasian Nomads and Their Impact on Medie- val Europe," Studi Medievali, 3rd ser., IV (1963), 421. Vernadsky has made numerous contributions to the study of the Alans, which are synthesized in the article mentioned above. For Vernadsky's complete bibliography on the Alans and related subjects through 1963, see Essays in Russian History: A Collection Dedicated to George Vernadsky, ed. Alan D. Ferguson and Alfred Levin (Hamden, Conn., 1964), pp. xiii-xxv. 2. The most recent surveys of the Alans are R. Wenskus, "Alanen," Reallexikon der germanischen Altertumskunde, 1.2 (Berlin, 1970), 122-124; J. Ozols, "Alanen," ibid., pp. 124-126. Ozols discusses the archaeological materials and this discussion is supplemented by T. Sulimirski, The Sarma- tians (New York, 1970). Wenskus's attempt to cover Alan history in less than three pages falls short of W. Tomaschek, "Alanen," RE, I, cols. 1282- 1285. Sulimirski's treatment of the Alans in the West is less than four pages long (pp. 185-188). See my review of this work in AHR, LXXVI (1971), 1525-1526. In none of these works noted above are the latest studies of the vii A HISTORY OF THE ALANS A history of the Alans in the West during the Volkerwander- ung and the early Middle Ages, like histories of the other peoples during those hectic times, helps us to obtain a better under- standing of the end of the ancient world and the beginning of the Middle Ages. Unlike the various German tribes which dom- inated the migrations numerically and have dominated the his- torical literature of the migrations ever since, the Alans were Indo-Iranian nomads. In fact, the Alans were the only non- Germanic people of the migration period to make important set- tlements in Western Europe. The Huns were driven out of Europe; the Avars, Magyars, Bulgars, and Slavs confined their settlements to Eastern Europe. As a unique phenomenon in the history of Western Europe, the Alans have long deserved to be studied. The history of this nomadic people begins in the West not when they first entered the Roman empire but when Westerners first became aware of the Alans and left some written record of their observations. Therefore, to provide for a better under- standing of the Alans' migration westward and their reception, the first chapter of this monograph is devoted primarily to what Westerners thought and said about the Alans before the Volker- wanderung. Secondly, an attempt has been made to ascertain the nature of Alan culture in the period before migration. This latter task is far more difficult than the former because frequently we cannot accept the information provided in the written sources at its face value. In addition, the archaeological evidence is often ambiguous, and we cannot, for example, determine precisely whether a burial or an artifact is Alan, Sarmatian, or Roxolan.3 Alans in the West consulted. An incomplete collection of texts of the classi- cal and Byzantine periods in which the Alans are mentioned is to be found in lu. Kulakovsky, Alany po svedeniiam klassicheskikh i vizantiiskikh pisatelei (Kiev, 1899). 3. The virtually insurmountable problems of gaining exact knowledge of the history of nomad culture from archaeological evidence are set out in a most convincing fashion by E. A. Thompson, A History of Attila and the Huns (Oxford, 1948), pp. 4-5. Joachim Werner, Eeitrdge zur Archaologie des Attila-Reiches (Munich, 1956), illustrates even in the choice of his title the great difficulties attendant upon ascribing particular styles or objects to particular groups, especially when these groups are nomadic. On the prob- lem of drawing specific conclusions about a particular people from archaeo- viii PREFACE As the foregoing remarks imply, the Alans left us no corpus of written materials for the period under discussion; like most no- mads of the ancient and medieval world they were nonliterate. It was only after the Alans were assimilated into the late Roman- early medieval world that some of them attained literacy, and then only in Latin. Much of the extant information about the Alans is provided by certain contemporary and near contempo- rary individuals whose interests were more often than not focused on a subject other than the Alans. Therefore, information about the Alans survives in some unlikely sources, and only by critically examining this written evidence can we hope to understand a people whose culture and history largely remains obscure to modern scholars. A historical inquiry such as this one necessarily evokes the question of who exactly is being studied. In dealing with this problem, I have employed what may be called a modified nom- inalist approach. If the sources use the Latin term Alani (Gr. 'A\avoi), I have assumed that the information is relevant to my study. Conversely, if other barbarian groups such as the Roxolani or Aorsi, who were also Indo-Iranian nomads, appear in the sources but the Alans are not specifically mentioned, I have judged that the information is not relevant to my inquiry. This method has been modified in two cases. In the first, a writer might mention the Alani but mean some other group with a similar name such as the Celtic Alauni. The contrapositive of this case has also arisen. In the second, the source might mention the Roxolani or some other Indo-Iranian group but have confused them with the Alani because of similar customs or linguistic pat- logical evidence without the support of written evidence, see the brief re- marks in my review of Sulimirski's book, AHR, p . 1525-1526. On the gen eral problem of using archaeological evidence for writing history, see Thomas F. O'Rahilly, Early Irish History and Mythology (Dublin, 1946), p. 440, and P. H. Sawyer, The Age of the Vikings (London, 1962), pp. 48 50. For a highly critical attack on the intellectual validity of identifying certain styles or traditions with particular ethnic or "racial" groupings, see B. H. Slicher van Bath, "Dutch Tribal Problems," Speculum, XXIX (1949), 319-338. Slicher van Bath maintains that during periods when many peoples are in movement and there is a considerable degree of interaction between them it is preferable to emphasize the melange nature of artifacts. ix A HISTORY OF THE ALANS terns. Thus, where the nominal method led to a dubious result, I went beyond it, adopting a more flexible approach.4 The prob- lems raised by the nominal method obtain largely in chapter I, which deals with the Alans when they were beyond the borders of the empire and when information concerning them was frag- mentary and sometimes unreliable. After the migrations and dur- ing the early Middle Ages, the Alans who had come west and their descendants were generally known to those who comment- ed on their activities. From this point onward there is very little terminological confusion. BERNARD S. BACHRACH 4. See ch. I, n. 19, and appendix II. x Acknowledgments uring the seven years that I worked on the Alans, I have in- D curred many debts to friends, colleagues, and institutions. I owe special thanks to the late Otto Maenchen-Helfen who en- couraged my study of the Alans and gave generously of his time long after he had retired as a professor at the University of Cali- fornia, Berkeley. Richard W. Emery, professor emeritus at Queens College, C.U.N.Y., gave me invaluable help with south- ern French sources. Professor Frank Clover of the University of Wisconsin and Tom B. Jones, regents professor of history at the University of Minnesota, read the entire manuscript at one or another stage in its preparation and made many useful and chal- lenging suggestions. My colleagues Professor F. R. P. Akehurst of the French Department at Minnesota provided some important philological observations and Professor Tom Noonan of the History Department kept me informed of Russian scholarship. It would not have been possible for me to have written this monograph had not Mrs. Gertrude Battel and her staff of the Inter-Library Loan Division of Wilson Library, University of Minnesota, been so cooperative and efficient in securing so many obscure and rare publications.