Cover image: Vienna, Österreichische Nationalbibiliothek, Codex Vindobonensis 449 (ÖNB Codex 449): Codex epistolaris Carolinus, fol. 1r. Source: Facsimile, ed. Unterkircher. Design: Erik Goosmann Printed by: Proefschriftmaken.nl A TESTIMONY OF CAROLINGIAN RULE The Codex epistolaris Carolinus as a product of its time EEN GETUIGENIS VAN KAROLINGISCHE HEERSCHAPPIJ De Codex epistolaris Carolinus als een product van zijn tijd (met een samenvatting in het Nederlands) PROEFSCHRIFT ter verkrijging van de graad van doctor aan de Universiteit Utrecht op gezag van de rector magnificus, prof.dr. G.J. van der Zwaan, ingevolge het besluit van het college voor promoties in het openbaar te verdedigen op vrijdag 19 september 2014 des ochtends te 10.30 uur door DORINE BRIGITTE VAN ESPELO geboren op 30 maart 1981 te IJsselstein Promotor: Prof.dr. M.B. de Jong TABLE OF CONTENTS Acknowledgements ix Abbreviations xi INTRODUCTION 1 1. THE SOURCES 15 The Codex epistolaris Carolinus and the Liber Pontificalis: papal sources within a Frankish Framework 1.1 The Codex epistolaris Carolinus 15 1.1.1 The epistolary genre: letters and letter collections 21 1.1.2 Editions and historiography 24 1.1.3 A unique manuscript witness: Codex Vindobonensis 449 26 1.1.4 A reference book for Archchaplain Hildebald of Cologne? 30 1.2 The Liber Pontificalis 36 1.2.1 Editions 36 1.2.2 Genesis, genre, authorship and structure 37 1.2.3 Manuscripts 41 1.2.4 Carolingian interest in the Lives 43 Conclusion 46 2. CHARLEMAGNE’S IMPERIUM AND THE CODEX CAROLINUS 49 2.1 A foreword from the king himself 51 2.2 A time of reform: the Carolingian court in the 790s 54 2.3 Hildebald and the Council of Frankfurt 61 2.4 Charlemagne’s imperium 64 Conclusion 79 3 THE LATE CAROLINGIAN CONTEXT OF THE CODEX CAROLINUS 81 Codex Vindobonensis 449 3.1 Carolingian-papal relations in the second half of the ninth 84 century v TABLE OF CONTENTS 3.2 A changing political climate: Lothar II’s divorce and 87 Archbishop Gunthar’s involvement 3.3 Willibert’s succession to the see of Cologne 92 3.3.1 An archbishop’s perspective: the fall of Gunthar and the rise 94 of Willibert in the continuations to the Annales Xantenses 3.4 ‘If that little boy of yours lives, he will know greatness’: Louis 99 the German and his imperium 3.5 Historiography and collective memory 104 Conclusion 107 4 CAROLINGIAN HEADINGS TO PAPAL LETTERS 109 Into uncharted territory 4.1 The lemmata 110 4.2 Concern for names and identities 121 4.3 Lemmata providing a historical framework 125 4.3.1 Pippin: king or maior domus? The heading to CC, no. 3 125 4.3.2 A letter from St Peter himself: The heading to CC, no. 10 126 4.3.3 Adoptionism, a threat to orthodoxy: The heading to CC, no. 95 130 4.4 Terminology and rhetoric in the lemmata 136 4.4.1 An intimidating letter? CC, no. 45 137 4.4.2 Hadrian and the patrimonium Savinense: CC, nos. 60-71 140 4.4.3 Formerly perfidious Saxons: CC, no. 76 143 Conclusion 147 5. RECURRENT NOTIONS IN THE LETTERS 149 Patricius Romanorum, compaternitas, and Old Testament comparisons 5.1 The title of Patricius Romanorum 150 5.1.1 Interpretations and discussions in historiography 150 5.1.2 The title in the CC 155 5.1.3 Carolingian uses and interpretations 159 5.1.4 References in the lemmata 164 5.2 The spiritual bond of compaternitas 168 5.2.1 Interpretations and discussions in historiography 168 vi TABLE OF CONTENTS 5.2.2 Compaternitas in the CC 168 5.2.3 Carolingian uses and interpretations 177 5.2.4 References in the lemmata 178 5.3 The allusions and comparisons to Old Testament rulers 181 5.3.1 Interpretations and discussions in historiography 182 5.3.2 The comparisons in the CC 185 5.3.3 Old Testament ruler models in Byzantine imperial ideology 194 5.3.4 Carolingian uses and interpretations 197 5.3.5 References in the lemmata 200 Conclusion 202 CONCLUSION 205 Appendix One: The lemmata in Codex Vindobonensis 449 213 Appendix Two: Leo III’s triclinium mosaic in Rome 231 Bibliography 233 Nederlandse Samenvatting / Summary in Dutch 257 Curriculum vitae 265 vii ACKNOWLEDGEMENTS Finding a research topic is similar to seeking a new cat as a companion: instead of you choosing the topic, it chooses you...so, when I visited Rome for the first time as part of a course on Carolingian kingship taught by Mayke de Jong, it was beyond my control, for the history of this city and its bishops instantly captivated me. This book is the result of this fascination. Writing these acknowledgements almost seems the most difficult undertaking of the whole enterprise of composing this book – not because I do not know what to say, but because it is almost impossible to convey in words my gratefulness to those who have stood by me throughout the past years. To paraphrase Antoine de Saint-Exupéry: the most beautiful things in the world cannot be put in words, they are felt with the heart. Nonetheless, I will try to express my thanks, in words, hoping that their meaning transgresses paper and ink. I thank Mayke for her unwavering trust, words of wisdom, and encourage- ment. She has allowed me to grow not only as a researcher, but also as a person. During our discussions about research as well as other important things in life, weather permitting in the lush surroundings of her garden, I have often wondered if this in some way resembled life at the Carolingian schola; Mayke’s supervision transcended beyond that of your everyday thesis supervisor. Thank you for everything. I thank Rosamond McKitterick for her professional and moral support, not only during the wonderful time I was privileged to spend in Cambridge under her supervision, but also in the following years. You are an inexhaustible source of inspiration. I am greatly indebted to Tom Kitchen, Erik Goosmann, Irene van Renswoude, Robert Flierman, and Janneke Raaijmakers for reading, editing and correcting chapters of my thesis, and for giving me much needed advice, feedback, and helpful comments. Evina Steinova has graciously helped me translate some of the most impossible passages in Latin: she makes the illegible intelligible. All remaining errors are, of course, my own. ix ACKNOWLEDGEMENTS In composing this book, my colleagues and friends at Utrecht University, especially those in the Departments of Ancient History and Medieval History, have been a pleasure to work with. Similarly, the annual meetings and discussions with the members of the Texts & Identities network have always been highly motivational. Thank you all for your helpful advice and observations. I am grateful to my dear friends Claudia van der Ende, Hanneke Takken, Wendelijn van der Leest, Mariska Hendrickx-Lowes, Barend Noordam, and the pink-winged Flamingi Erik Goosmann, Rutger Kramer, Irene van Renswoude and Carine van Rhijn. Thank you for your endless support and for, well, just being you – keep those bitterballen coming! Special thanks go to my paranimfen Erik Goosmann and Carine van Rhijn, for their calm efficiency and bouncing enthusiasm, and for flanking me in a literal and a figurative sense. I feel privileged to have you on my side. My dear parents, Hans and Marian, and my sister Marlous have been a never-ending source of love, joy and warmth beyond words. I could not have done this without you. The final thank you is for Evert-Jan, for embarking on this life- changing journey with me. This book is for you. x ABBREVIATIONS AHP Archivum Historiae Pontificiae ARF Annales Regni Francorum (= Royal Frankish Annals), ed. Rau AX Annales Xantenses, ed. Von Simson c. chapter(s) CC Codex epistolaris Carolinus, ed. Gundlach CCCM Corpus Christianorum, Continuatio Mediaevalis CHR The Catholic Historical Review DA Deutsches Archiv für Erforschung des Mittelalters namens der Monumenta Germaniae Historica EME Early Medieval Europe Facsimile Codex epistolaris Carolinus, facsimile edition, ed. Unterkircher fol./fols. folio / folios FS Frühmittelalterliche Studien HZ Historische Zeitschrift LP Liber Pontificalis, ed. Duchesne MGH Monumenta Germaniae Historica Cap. Capitula Regum Francorum Conc. Concilia Dkar. Diplomata Karolinorum Epp. Epistolae in quarto Fontes Fontes Iuris Germanici Antiqui in usum scholarum ex Monumentis Germani Historicis separatim editi GPR Gesta pontificum Romanorum Ordines Ordines de celebrando concilio SRG Scriptores Rerum Germanicarum in usum scholarum SRG NS Scriptores Rerum Germanicarum in usum scholarum. Nova series SRLI Scriptores Rerum Langobardicarum et Italicarum saec. VI-IX SRM Scriptores Rerum Merovingicarum SS Scriptores NA Neues Archiv der Gesellschaft für ältere deutsche Geschichtskunde ÖNB Österreichische Nationalbibliothek RB Revue Bénédictine s.a. sub annum / sub annos TdS Typologie des sources du moyen âge occidental xi INTRODUCTION It was with immense love of heart that we received your eminent royal letter, sweet as nectar and most delightful. After opening it and learning of your royal safety and of the good health enjoyed by our spiritual daughter, the lady queen, and by your most noble children, we offered great thanks to almighty God, Who, through the intercessions of your patron, the blessed Apostle Peter – and we too, though unworthy, pray constantly for you – will grant you unending and ubiquitous victories and will order everything around you, both the marches and the frontiers, to your advantage.1 Pope Hadrian I’s words to King Charlemagne, written at some point in the late winter or early spring of 788, express the general tone in other contemporary papal letters that were sent to the Carolingian court well. It only survives, like most other papal letters to the Frankish rulers, because it was included in a letter collection produced in Carolingian court circles of the late eighth century.