Brill’s

History and Culture of Byzantium

New Pauly
Edited by
Falko Daim

English edition by
John Noël Dillon

Translated by
Duncan Alexander Smart

leiden – boston
2019
Contents
Area Editors vii
List of Contributors ix
List of Contributions xi
Preface xiii
Notes to the User xv
List of Abbreviations xvii
List of Illustrations xxi

Historical survey 1
1. The idea of empire and emperor 109
2. State and politics 137
3. People and society 162
4. Legislation and legal practice 190
5. State and government 214
6. War and warfare 237
7. Church and religion 251
8. Nature and environment, cultural and settlement landscapes 280
9. Transport, travel, logistics 318
10. Production and technology 350
11. Art and architecture 394
12. Language, literature, culture and education 425
13. Medicine 467
14. Music 483
15. The Byzantines and the outside world 498

Index
A. Index of persons  533
B. Geographical index  547
C. Subject index  558
Historical survey
Byzantium 395–602 same time, however, the Roman emperor invoked
Byzantium ca. 600–1000 the idea of the pax Romana, the imperial promise
Byzantium 1025–1204 of peace, security and prosperity [68126–151].
Byzantium 1204–1453 That promise faltered in the late 2nd century,
chiefly as a result of both geopolitical and climatic
Byzantium 395–602 changes within the Roman Empire [152]; [15376–81].
The Danubian frontier was put under increasing
A. From the Pagan Roman Empire to the Christian pressure by Germanic groups agglomerating into
Eastern Roman Empire (284–395) ever larger tribes through processes of consoli-
B. The long 5th century (395–518): the end dation (stimulated not least by their proximity
of the Roman Empire in the West and its to the Roman Empire). In an incursion of 170,
continuation in the East the Marcomanni penetrated as far as Aquileia in
C. The two ages of Justinian (518–565) Italy. Meanwhile, the Persian Parthian Empire was
D. Into the 7th century (565–602) challenging Rome along the Euphrates. Seeking
E. Aspects of internal transformation in the to meet this threat on two fronts, Marcus Aure-
empire: religion, state, economy and society lius (161–180) appointed a co-emperor for the first
F. The Roman Empire in the world of Late time, his adoptive brother Lucius Verus (161–169),
Antiquity: a ‘global’ survey to command the Roman forces in the East. Verus’
campaign against the Parthians was a success, but
A. From the Pagan Roman Empire to the returning army brought with it the ‘Antonine
the Christian Eastern Roman Empire Plague’ from Mesopotamia, which spread through-
(284–395) out the empire [9572–93, 96–107]; [68184–198].

A.1. The Roman Empire in the western and A.2. The crisis of the Roman Empire
eastern Mediterranean in the 3rd century ad
A.2. The crisis of the Roman Empire in the 3rd Securing several fronts simultaneously became
century ad a constant challenge for the imperial government,
A.3. Diocletian and the Tetrarchy (284–312) and the problem became urgent in the east after
A.4. The rise and reign of Constantine I (306–337) 224, when the Sasanid Dynasty overthrew the Par-
A.5. The dynasty of Constantine and its end thian Arsacids and adopted a more aggressively
(337–364) expansionist policy [6418–26]; [68256–263]. During
A.6. The beginnings of the ‘Age of Migrations’ this phase, the Franks and Alemanni were emerg-
and the definitive division of the empire ing around the Rhine and upper Danube, while
(375–395) various Gothic groups were active around the
lower Danube and the Black Sea [68242–256]. These
A.1. The Roman Empire in the western military threats amplified the already powerful
and eastern Mediterranean voice of the army in the power structures of the
The idea of dividing the Roman sphere of influ- empire. Commanders at military focal points along
ence into western and eastern halves was first the Rhine, Danube and Euphrates now began to
broached during the transition from the Republic be proclaimed emperor by their troops and then
to the Principate. In 40 bc, the three most powerful attempted to seize power over the whole empire.
Roman figures at the time, the triumviri Octavian As early as 192, the murder of the son of Mar-
(C. Iulius Caesar Octavianus, having inherited by cus Aurelius, Commodus, led to a ‘Year of Five
the terms of Caesar’s will), Mark Antony (Marcus Emperors’, from which the general Septimius
Antonius) and Marcus Aemilius Lepidus, agreed Severus (193–211) emerged as victor. Severus was
by the Treaty of Brundisium to divide the Roman able to secure the imperial succession for his own
domains among themselves, with Octavian taking sons, and during their reigns all free subjects of
the west, Mark Antony the Greek east and Lepi- the empire were granted Roman citizenship [167].
dus the province of Africa. This agreement did Following the assassination of the last member
not last. By 30 bc, Octavian, the future Augustus, of the dynasty, Severus Alexander, in 235, how-
had concentrated total power in his own hands ever, the influence of the armies mutated into a
and begun laying the foundation of the Roman ‘military anarchy’, in which rival soldier-emperors
Empire. Over the course of his reign and those of were constantly being proclaimed on the various
his successors, the empire expanded to reach the fronts and subsequently fighting for power, while
Rhine and Danube and the British Isles in Europe the defence of the frontiers was neglected and
and the Euphrates in the Near East. Even within massive harm was inflicted on the populace and
its borders, the power of the emperor depended in economy. Some 26 emperors came and went dur-
large measure on his command of the army. At the ing the half century between 235 and 284, and no
byzantium 395–602 2

fewer than 70 men claimed the imperial title, suc- (limitanei) and mobile field armies that accompa-
cessively and simultaneously, in this period. nied one or more of the emperors (comitatenses)
The 3rd century ‘crisis of the Roman Empire’ [110vol. 1, 42–60]; [236144–165].
saw not only the surrender of conquered regions In order to finance this expanded military
(in present-day Romania and between the Rhine and administrative apparatus and replenish the
and Danube), but also serious threats to the over- public treasury following the crisis of the preced-
all territorial integrity of the empire itself [6244– ing decades, the land taxation system was recon-
56]; [109]; [211]. Attempts were made to replace structed on a recurrent tax cycle of (ultimately) 15
the central government with regional power years, at the conclusion of which taxpayers would
structures that could manage problems locally. be reassessed in consideration of the size and
The ‘Palmyrene Empire’ extended across much quality of their lands and the labour force they
of the East, including Syria and Egypt, between employed (capitatio-iugatio; → 1.5. Public finances
260/67 and 272, while the ‘Gallic Empire’ (260– and taxation). The attempt to impose price con-
274) encompassed the Rhenish provinces, Gaul, trols to fight the inflation caused by debasement of
Britannia and Hispania. Central authority was the silver coinage proved less successful. Although
not restored until the reign of Aurelian (270–275), the ‘Prices Edict’ (or ‘Edict on Maximum Prices’),
who prevented the permanent collapse of the first issued in 301, is one of the most famous legal
empire. Nevertheless, in 271, Aurelian ordered texts of Classical Antiquity, the fact that it was
that new city walls be built encircling the capital, repeatedly reissued attests to its relative ineffi-
Rome, which had needed no such protection for cacy. This failure puts into perspective the notion
centuries. The Aurelian Walls vividly illustrated that the system introduced by Diocletian in Late
the fragility of the pax Romana [211]; [68243–246, Antiquity was a despotic ‘Dominate’ [110vol. 1, 60–68];
263–267, 270–275]. [15277 f.].
The same applies to the efficacy of another
A.3. Diocletian and the Tetrarchy initiative of Diocletian’s: the persecution of the
(284–312) Christians. The transformation of the office of
The period of ‘military anarchy’ was finally emperor in the 3rd century and its increasing
brought to an end in 284 with the accession of the sacralization certainly led to harsher measures
last in the line of soldier-emperors of the 3rd cen- against religious deviance, and Christians, who
tury, C. Aurelius Valerius Diocletianus. Diocletian by now were present across much of the Roman
sought to impose institutional order on the frag- Empire, suffered the first widespread campaigns
mented imperial power as it faced Rome’s western of persecution in 249–251 and 257/58. Under the
and eastern fronts, appointing the general Maxi- Tetrarchs, the effort to preserve the traditional
mian ‘Caesar’ (associate emperor) in 285/86 and cults, including those devoted to the imperial rul-
later co-emperor or ‘Augustus’ of the western half ers, first led to measures against the Manichaean
of the empire. In 293, each Augustus was allotted faith community from Persia in 297. Legislation
an associate emperor, Constantius I Chlorus for against the Christians followed in 303, ordering
the West and Galerius for the East, expanding the their removal from official and honorific positions
dual-emperor system into a system of four rulers, (in the military and administration), the destruc-
a ‘Tetrarchy’. The Augusti adopted their associate tion of churches and copies of scripture, and the
emperors and, like the status of the emperor as a death penalty for continued resistance and refusal
whole, this system of artificial kinship was then to make pagan sacrifice. The actual extent of
elevated to a sacral level. The quadruple college persecution, however, varied depending on the
of emperors was supposed to renew itself, as the zeal of both the emperor in charge and of local
Augusti would abdicate after twenty years and the officials. It tended to be greatest in the Eastern
associate emperors rise to become co-emperors, Empire, where the largest Christian congregations
who would then identify and appoint suitable were also found [110vol. 1, 70–76]; [16635–42]; [9996 f.].
associates of their own [4445–48]; [122]; [127]; [6257– When Diocletian abdicated as planned in May
60]; [16623–25]. 305 and retired to his great palace at Spalatum
Initially, the Tetrarchy worked well. The (modern Split) in Dalmatia, it soon became clear
authority of central government was restored, that neither the persecution of Christians nor
and there were foreign successes. Most crucially the tetrarchic system could be sustained. Various
for the ensuing centuries, administrative reforms pacts were concluded in attempts either to inte-
were implemented. The number of provinces grate ‘emperors’ proclaimed illegitimately into the
was doubled (thereby increasing the presence tetrarchic system or to eliminate them as enemies
of the imperial administration). The civil and of the state. The reality, however, was that, as in
military administration was separated, and more the decades before Diocletian, the various con-
troops were recruited, as forces were divided tenders would invariably soon be standing face to
into permanently stationed frontier detachments face on the battlefield.
3 byzantium 395–602

A.4. The rise and reign of Soon after his victory over Licinius, Constan-
Constantine I (306–337) tine was compelled to confront a debate within
In 312, the decisive battle for power over the the Church that revolved around the teachings of
Western Empire was fought between → Constan- the priest Arius of Alexandria. Arius argued that
tine (2.2.), the son of Constantius I Chlorus, and Christ, as a begotten being, was not identical in
Maxentius, the son of Maximian. The forces of essence to God the Father, but only similar (→ 7.1.
Constantine defeated their enemy at the Battle of Doctrinal history B.1.) [27]. To resolve this issue,
the Milvian Bridge on October 28, having painted Constantine convened a general (‘ecumenical’)
their shields with a Christogram following Con- council of over 250 bishops, who were summoned
stantine’s claim to have seen a vision. In fact, there to Nicaea in northwestern Asia Minor in 325. This
are a number of Christian and pagan versions of gave visible evidence that the Church was an
this story of a vision of light, some connecting it organization extending across all provinces of the
with Sol Invictus, whom Constantine had previ- empire. The council condemned Arian’s teachings,
ously venerated as a tutelary deity. Scholars also asserting instead the dogma of the threefold deity
continue to discuss the quality and nature of Con- in the form of God the Father, God the Son and
stantine’s conversion to Christianity; although it God the Holy Spirit, all identical in essence.
was quite usual at the time, it is noted that he was The Council of Nicaea established the authority
baptized only on his deathbed [66]; [4465 f.]; [204]; of the emperor as a key element in the structure
[16647–54]; [11143–49]. The facts of the matter are of the Church. Christian authors now developed
that following his victory in the West, Constantine a Christian → concept of the emperor (1.2.) and
met with one of the contenders for power over the sought to integrate the empire into the divine plan
Eastern Empire, Licinius, at Mediolanum (Milan) of salvation. Fowden and, more recently, Höfert
in 313. There, they agreed not only to divide the use the term ‘imperial monotheism’ to describe
empire, but also to tolerate Christianity. Constan- this construct: ‘one God, one emperor, one world
tine soon made it clear that his wish was actively empire, one faith’ (→ 1.1. Idea of empire and
to promote the Christian faith. In 319, Christian emperor; → 2.1. Byzantine view of the state). Even
clergy were exempted from all taxation, and Sun- at this very early stage, however, the debate over
day rest was enshrined in law in 321 [170194–235]; Arianism already showed the limits of imperial
[16660 f.]. religious policy, for Arius’ teachings by no means
When tensions grew between Constantine and vanished, but continued to attract followers (later
Licinius, the latter began attacking the Christians, among Germanic groups in particular) [80]; [174];
which gave Constantine a pretext for war. After [56]; [7858–64]; [7188–90]; [27]; [99129–150].
his victory in 324, Constantine ruled the reunified In his imperial administration, Constantine
empire as sole emperor. He immortalized his tri- devoted himself to continuing the reforms of
umph by laying the foundation of a new capital Diocletian. After the dissolution of the Praeto-
by expanding the old colony of Byzantium, which rian Guard, which had supported Constantine’s
enjoyed a strategic location on the Bosporus rival Maxentius, the office of praetorian prefect
between the Mediterranean and the Black Sea and was stripped of all military responsibilities, and
between Southeastern Europe and Asia Minor. praetorian prefectures were now established as
→ Constantinople (8.10.; Greek Konstantinopo- an administrative unit above the level of dio-
lis, ‘City of Constantine’) was not designed as an ceses, based on the tetrarchic subdivisions of the
exclusively Christian city. Besides churches, pagan empire (→ 5.1. Central civil institutions D.2.). The
monuments were also built there. Other monu- praetorian prefects supervised civil administra-
ments were also transported there from elsewhere tion in the provinces, their primary responsibility
in the empire, notably the famous Serpent Col- being the collection of taxes. In central govern-
umn from Delphi, which was put up in the Hippo- ment, the magister officiorum took on impor-
drome. However, the new imperial patronage and tant duties, including organizing and monitoring
growing influence of Christianity were clearly on diplomatic traffic and the state postal service.
public display in the form of the churches (→ 11.2. Magistri militum (‘masters of the army’) now
Architecture A.) built in the new capital, the old served as the commanders of the field armies in
capital of Rome, and Jerusalem. Stylistically, new the central imperial administration and in its dif-
productions were heavily indebted to the art of ferent macroregions (Gaul, Italy, Oriens, Thrace).
the late Imperial period, but independent tenden- Constantine proved more successful than
cies emerged and emanated from Constantinople Diocletian in renewing the Roman currency. The
and other urban centres of the eastern Mediter- 4.55 g gold coin he first had minted in 309, the
ranean, ultimately coalescing into the Byzantine solidus, became the standard coin of the empire
artistic genres (→ 11.1. The role of art; → 11.3. Art) and the basis for a monetary system that would
[57]; [4481–83]; [164668–683]; [26]; [205]. largely maintain its value until the 11th century
byzantium 395–602 4

(→ 1.5. Public finances and taxation). His admin- the East, and the administration and army were
istrative reforms underpinned the organization of divided between them. Valentinian I ruled in the
the empire until at least the crisis of the 7th cen- West until his death in 375, and he was succeeded
tury (→ 5.1. Central civil institutions; → 5.2. Basic by his son and (since 367) co-Augustus Gratian. His
features of government) [110vol. 1, 97–109, 366–469; younger son Valentinian (II) was later also named
vol. 2, 607–686]; [44137 f.]; [7195–110]; [160217–220]; [62275– Augustus [15911–13]; [62136–140]; [8713 f.]. Valens
324]; [19825–32]; [11135–43]. (364–378) also espoused Christianity, but in its
Arian form. Nevertheless, the Trinitarian doctrine
A.5. The dynasty of Constantine and ultimately gained the upper hand in the Church,
its end (337–364) partly because of the influence of figures like the
Constantine died on May 22, 337. Having been ‘three Cappadocians’ (Basil of Caesarea, Gregory
ruled by him alone, the empire was now divided of Nazianzus and Gregory of Nyssa) [173417–449];
once more, between his sons: Constantius II (337– [166101–103].
361) reigned in the East and his brothers Con-
stantine II (337–340) and Constans I (337–350) A.6. The beginnings of the ‘Age
in the West. The latter two in particular became of Migrations’ and the definitive
estranged, leading to the death of Constantine II division of the empire (375–395)
in 340 in an attempt to seize power in Italy from The geopolitical climate changed drastically in
Constans. In 350, Constans himself was over- 375 as a result of the attack by the Huns, a tribe
thrown by the general Magnentius, who drew from the steppes of Central Asia, on the Ostrogothic
support from Christians and the now declining kingdom in what is now Ukraine [139]; [11466–77].
pagan cults. Constantius, however, defeated the The neighbouring Visigoths were also pressed hard
usurper and other rivals, and in 353 he extended by this new enemy. In 376, Valens permitted flee-
his power over a once more undivided empire ing Visigoths, with whom agreements had already
[1596–10]; [879 f.]. previously been reached, to cross the Danube
The Danube and Rhine frontiers came under into imperial territory. Supply problems, however,
increasing pressure from the Alemanni and others, soon sparked conflict between the Visigoths and
and the East from the Sasanids under their long- the Roman state, and matters ultimately escalated
reigning Great King Shapur II (309–379), who also into full-scale war. The forces of the eastern part
launched persecutions of Christians in the Persian of the empire suffered a catastrophic defeat at the
Empire (where they were now seen as a Roman Battle of Adrianople (now in European Turkey) in
‘fifth column’) [1451080–1082]; [6432–34]. The influ- 378, where Valens and many senior army officers
ence of Christianity within the Roman Empire, were killed [234137–153]; [18948–64].
meanwhile, was increasing and the number of its In view of this crisis, the western emperor
adherents among the elite was steadily rising (see Gratian named the experienced general Flavius
below, E.2.). Even Julian (361–363), the nephew of Theodosius Augustus in the East in 379 [136].
Constantius II, whom Christian historians called Theodosius succeeded in pacifying the Visigoths
‘the Apostate’ for converting to a highly philosoph- by 382, through alternating military pressure and
ical, Neoplatonist form of paganism, had to take negotiation. The Goths were allowed to settle on
account of this trend when he took power over Roman imperial territory on the south bank of the
the whole empire in 361 and attempted to curtail Danube; they had their own rulers but acknowl-
the influence of Christians in public life, the edu- edged imperial sovereignty and obligatory mili-
cational system and the charitable sector (→ 13.2. tary service under the emperor. This provided a
Hospitals). Julian’s early death during a campaign template for later settlement of Germanic group
against the Persians in June 363 spelled the end on Roman soil, particularly in the West [44162 f.];
of all such efforts [44105–119]; [74396–413]; [62119–135]; [15913 f.]; [24320 f.].
[16690–100]. Meanwhile, decisive steps were being taken
With Julian’s death, the dynasty of Constan- towards the final Christianization of the empire.
tine died out. The officers of his army, who found In 379, Gratian abolished the pagan office of pon-
themselves in a critical position deep in enemy tifex maximus. Theodosius I, who in 380 became
territory, chose one of their own, Flavius Jovianus, the first reigning emperor to be baptized before
as the new emperor; Jovian thus became the first his deathbed, convened a second ecumenical
in a series of Christian soldier-emperors. He con- council at Constantinople in 381, at which a new
cluded an unfavourable peace with the Sasanids version of the Nicene Creed was announced and
and restored the privileges of the Christians, but made mandatory for the entire Imperial Church.
died after a brief reign in February 364. The mili- A law of 391 then not only made it illegal to prac-
tary leaders became kingmakers once more and tise any form of religion that ran contrary to the
proclaimed the Pannonian Flavius Valentinianus Nicene Creed, but also ended imperial support for
(Valentinian I) emperor at Nicaea. In March 364, all non-Christian cults. Christianity thus became
Valentinian named his brother Valens Augustus in the only religion supported by the state and prob-
5 byzantium 395–602

ably also the religion of the majority in the empire addition to their status as minors, this sedentari-
in these decades [173450–461]; [172462–471]; [7863 f.]; ness presented opportunities for army figures han-
[166108–120]. Nevertheless, ‘pagan’ cults continued kering after power and influence [50123]; [13135];
to exist and attract followers until the late 6th cen- [166195 f.]. This would have lethal consequences in
tury (see below, E.1.). the West, where the government of the eleven-
Theodosius I also felt compelled to find a per- year-old Honorius was for all practical purposes
manent resolution of the conflicts with the Persian in the hands of his magister militum, Stilicho,
Sasanid Empire. In 387, Armenia, a constant bone who was of Germanic origin like ever more senior
of contention, was partitioned between Rome and army officers and soldiers [166128 f.]. When Stilicho
the Sasanids, with the greater part going to the attempted to extend his influence to Constanti-
Persians (→ 15.4. The Caucasus A.). This heralded nople, tensions rose between the two imperial
a period of relative peace between the two great courts, despite the fact that the intensifying threat
powers of the East in the 5th century [8528–30]; from Germanic groups both inside (Visigoths) and
[6434–37]. outside the imperial frontier should have called
Theodosius thus gained a free hand to move for closer cooperation. In 402, the precarious situ-
decisively against the usurper Magnus Maximus ation led the western court to move its residence
in the Western Empire. Theodosius was de facto from Mediolanum to Ravenna, which at the time
now the most powerful man in the empire, and was well protected by its surrounding lagoons.
he subsequently spent a considerable amount In 407, however, Roman defences were tem-
of time in Italy. While there, he was forced in porarily breached along the Rhine frontier (from
390 by the influential bishop Ambrose of Milan which troops had been withdrawn and posted to
to do public penance after imperial troops put Italy), where the Vandals, Alans and Suebi crossed
down a rebellion in → Thessalonica (8.11.) with over before moving on to Spain in 409. The
much bloodshed, killing over 7,000 Christians. A Visigoths, under their king Alaric, were meanwhile
baptized emperor thus found himself compelled on the march from Southeastern Europe into the
to obey the rules of the Church [11152–54]; [8716]. Italian heartlands. In August 410, they even plun-
Theodosius won another victory against a west- dered Rome, which still possessed an enormous
ern usurper in 394, meaning that there was now symbolic power, although it was no longer the
one supreme emperor over the whole Roman residence of the emperor. In the same year, the
Empire again [15915 f.]. However, Theodosius died Romans withdrew their armies from Britannia and
at Mediolanum (Milan) in January 395, having elsewhere too, leaving ever wider expanses of the
already appointed his sons Arcadius (in the East, empire at the mercy of Germanic groups [15916–18];
born ca. 377) and Honorius (in the West, born 384) [17755–58]; [166130–136].
as co-emperors. This division of the empire proved The crisis intensified still further when the
final, although it was always assumed at the time Vandals conquered Roman North Africa, including
that there was a single Roman Empire. Carthage, between 429 and 439, having apparently
been ‘invited’ there as auxiliary troops to deal
B. The long 5th century (395–518): with an internal Roman conflict. The loss of these
the end of the Roman Empire in the wealthy provinces, which also had served as a vital
West and its continuation in the source of grain for Rome, fatally weakened the
East western empire. Trade relations between North
Africa and the eastern Mediterranean, however,
B.1. The end of the Western Roman Empire remained largely intact [12]; [17775–78]; [215137–141].
(395–476) From 425 to 455, Valentinian III, a nephew of
B.2. The continuation of the Eastern Roman Honorius’, was Roman emperor. Once again, how-
Empire ever, from 422 to 454, the magister militum Flavius
B.3. The reign of Theodosius II (408–450) Aëtius had critical influence. Aëtius had cultivated
B.4. ‘Barbarian’ emperors and theological debates good relations with the Huns that had settled in
B.5. The reign of Anastasius (491–518) and its what is now the Great Hungarian Plain before
enemies 420 [216]. In 434, however, Attila seized power
among the Huns, and his relentless campaigning
B.1. The end of the Western Roman compelled both Roman emperors to pay tribute.
Empire (395–476) Flavius Aëtius and his Germanic allies defeated
On account of their young age, Arcadius (395– the Huns and their associated Germanic tribes at
408) and Honorius (395–423) ended the era of the the Battle of the Catalaunian Plains in Gaul in 451
soldier-emperors. Ever since the late 2nd century, [189201–225]; [11495–107]. Valentinian III moved to
most emperors had been chosen from within the neutralize the dominance of Aëtius in 454 by mur-
military and had presented themselves as generals dering him, but he himself was then murdered by
leading their armies. The ‘child emperors’, how- Aëtius’ supporters in March 455. Thus ended the
ever, remained in their imperial residences. In dynasty of Theodosius I in the West.
byzantium 395–602 6

Rome was sacked again a few months later, in of leading members of the civilian (and gradually
June 455, this time by a Vandal fleet commanded also ecclesiastical) elites (→ 1.4. Emperor, elite and
by Gaiseric, who was skilfully accumulating greater subjects), the people (with whom the emperor
power under the pretext of protecting the imperial ‘communicated’ primarily during the games at
family [97]; [215196–205]. Over the ensuing – and the Hippodrome) and the troops stationed in
final – two decades of the Western Roman Empire, and around the capital, although the military was
between eight and ten emperors (depending on no longer able to function as (almost) lone king-
how one counts) succeeded to the throne, but real maker, as it had in previous centuries [1651–40];
power was again in the hands of Germanic mili- [16621 f., 196–205].
tary commanders like Ricimer (456–472), while The emperors needed ample resources to sup-
the authority of the central imperial government ply the administration, army and people and keep
was confined almost entirely to Italy. them happy. Despite losing control of much of the
In 476, the Germanic general Odoacer deposed Balkan Peninsula, the wealthy provinces in Asia
the last western Roman emperor, the 16-year- Minor, Syria and Egypt, which, unlike the territo-
old Romulus Augustulus (whom Constantinople ries of the western emperors, lay beyond the reach
never recognized) and seized power in Italy with of the Germanic tribes, still provided the emperor
the support of his followers. Odoacer make an with critical resources. At the same time, relative
effort, however, to have his status recognized by peace reigned on the Sasanid frontier in the east
the remaining Roman emperor at Constantinople, following the accord of 387 (see above, .6.) – not
who by granting this favour could indulge in the least because the Persians also were under threat
belief that his word still carried weight across on another front, from the Hephthalites in Central
the entire Roman Empire. Other Germanic kings Asia [22458–62]; [199]. These circumstances would
also felt the need for this pretence, seeking titles not change until the 6th and 7th centuries, when
from the eastern emperors as marks of recognition the consequences (including social and economic)
and (in the Kingdom of the Franks, for example, for the Eastern Empire would be just as dangerous
even as late as the 7th century) minting coins as they had been in the West.
bearing the emperor’s image [9418–32]; [22451–58];
[62204–216]; [13899 f.]. B.3. The reign of Theodosius II
(408–450)
B.2. The continuation of the Eastern Like the provinces of the Western Roman
Roman Empire Empire, those of Southeastern Europe were at
The harsh reality, however, was that Roman the mercy of various invaders. After the depar-
authority in the West had disintegrated within ture of the Visigoths for Italy [234178–190], it was
eighty years of the death of Theodosius I. The the Huns who proved to be a recurrent threat.
reasons for this have been the subject of intense In 395, the Huns even attempted to invade Asia
debate ever since [62579–609]; [63]. From another Minor, Syria and Mesopotamia via the Caucasus
perspective, however, a better question might be [18979–81]; [11476–81]. In 413, a new array of multiple
why the Roman Empire survived in the East [232]. walls was ordered built to improve the defences of
The initial situation, after all, was very similar. A the capital, at the nominal behest of Theodosius
young emperor (Arcadius) renounced direct com- II (408–450), the son and successor of Arcadius.
mand of his troops and withdrew to his capital The Theodosian Walls ran for approximately 7 km
(Constantinople), while Germanic army leaders from the Golden Horn to the Propontis (Sea of
accumulated power and other Germanic groups Marmara) at the landward side of the city, and the
(the Visigoths) took control of large parts of the land enclosed increased its area from 7 to roughly
empire (in the Balkans) not far from its centre. 14 km² (→ 8.10. Constantinople B.) [57]; [18]. At
Unlike Stilicho at Ravenna, however, no Germanic this point, however, Theodosius II was only twelve
general was able to prevail in the much larger city years old. The regency was in the hands of a num-
of Constantinople. The attempt by the Gothic ber of members of the imperial administration,
magister militum Gaïnas to do so ended with his and after 414, the emperor’s elder sister Pulcheria,
overthrow and a massacre of Gothic troops in the who was named Augusta, acquired considerable
capital in 400 [13133]; [15795 f.]. influence [13134 f.]; [157103–105].
The influence of (Roman) members of the civil This also had a bearing on policies concerning
service also remained strong. Overall, the stabiliza- the Church, which was shaken by new theologi-
tion of the emperors’ residence at Constantinople cal controversies that reflected rivalries among the
allowed a new, balanced ‘system of acceptance’ to leading ecclesiastical centres of the East (Alexan-
develop, much as it had in the first two centuries dria in Egypt, Antioch in Syria and Constantino-
of the Principate at Rome. Winning and maintain- ple itself). After the identical essence of God the
ing imperial power depended on the recognition Father and God the Son was established, these
7 byzantium 395–602

controversies mostly revolved around the relation- accident, and the male line of the dynasty in the
ship between divine and human nature of Jesus east expired with him [13139–42].
Christ (Christology).
Patriarch Cyril of Alexandria (in office 412–444) B.4. ‘Barbarian’ emperors and
argued for a ‘One Nature’ doctrine (‘miaphysitism’, theological debates
also called ‘monophysitism’ by its opponents), This situation offered an opportunity for
according to which Christ’s divine and human another ‘barbarian’ general to acquire greater
nature were united as one (→ 7.1. Doctrinal history influence over the imperial government in Con-
B.2.). This meant that Mary could also be called stantinople. With the support of the magister mili-
theotokos (‘she who gave birth to God’). It was tum Aspar, the officer Marcian was proclaimed
chiefly to this formulation that the Patriarch of emperor by the senate, people and army in August
Constantinople and imperial appointee Nestorius 450. Seeking legitimacy through a connection with
(in office 428–431) objected, preferring a doctrine the preceding dynasty, Marcian married Pulche-
of two natures (divine and human). It cannot be ria, the sister of Theodosius II [13142 f.]; [15921 f.].
proved at this distance, however, whether Nesto- According to some sources, it was her influence
rius and his followers really proposed strictly to again that led to the decision to convene another
separate the two natures and assume two per- council, this time held at Chalcedon (on the Asian
sons in Christ, as supporters of Cyril and his party shore of the Bosporus opposite Constantinople) in
alleged at the Third Ecumenical Council at Ephe- 451, throwing out the decisions of the Council of
sus in 431. Whatever the truth of the matter, after Ephesus of 449 and establishing a doctrine of two
the emperor had abandoned him, Nestorius was natures (‘dyophysitism’) as the mandatory ‘ortho-
condemned at the council and removed from dox’ dogma of the Imperial Church [100]. This doc-
office, significantly with Pulcheria’s consent [233]; trine stated that there was a divine and a human
[86]; [81570–617]; [1431024–1029]; [15919–21]; [7864–68]. nature inherent in Christ, ‘unmixed, unaltered,
Nestorius’ followers subsequently took refuge undivided and unseparated’ (quoted from [2137]).
primarily in the Persian Empire, where a ‘Nesto- Once more, however, the imperial government
rian’ Church of the East emerged, expanding over was powerless to enforce the general acceptance
the ensuing centuries through Central Asia as far of the conciliar rulings. Miaphysitism remained
as China. The conflict within the Imperial Church, especially strong in the wealthy provinces of
however, was by no means resolved at the Council Egypt and Syria and also in parts of Asia Minor,
of Ephesus. Shortly before his death, Theodosius II and opposition sometimes erupted in violent
called a second council at Ephesus in August 449. uprisings against proponents of the Chalcedonian
This time, Patriarch Dioscorus I of Alexandria was ‘orthodoxy’ (→ 7.1. Doctrinal history B.2.). One
able to enforce the adoption of a strict miaphysite important figure who supported the Chalcedon
doctrine and the deposition of Archbishop Fla- ruling, however, was the Patriarch of the West in
vian of Constantinople, partly with the help of a Rome, Pope Leo I [14690–113]; [149120–129]; [7869 f.].
force of militant monks and sympathetic soldiers The Council of Chalcedon of 451 also resolved to
(hence the epithet ‘Robber Synod’ later attached divide the Imperial Church into five patriarchates:
to the council). This again signally failed to bring in order of precedence, Rome, Constantinople,
internal peace to the Church [233114–130]; [833–76]; Alexandria, Antioch and Jerusalem. Constantino-
[156157–190]. ple was assigned Asia Minor and the eastern Bal-
A large compilation of the imperial laws so kan Peninsula as its diocese. Until the 8th century,
far issued was also been made in the name of the the western Balkans remained under the jurisdic-
emperor in 438/39 (the Codex Theodosianus, the tion of Rome [146113–117].
Theodosian Code; → 4.3. Legislation B.1.); it also The collapse of the Hunnic Empire after the
came into force in the Western Empire [22989]; death of Attila in 453 relieved some tensions on
[135244–246]; [156]. Constantinople launched one the frontier, but Constantinople now found itself
military expedition in support of Valentinian III in confronted by a number of groups formerly allied
425 (see above, B.1.) and two more in 431 and 441 to the Huns now claiming territories, some at the
to help (in vain) the struggle against the Vandals empire’s expense. The Ostrogoths, for example,
in North Africa and Sicily [118241–243]; [215100 f., 141 f.]. rose to become the dominant group in the west-
During this period, both halves of the empire also ern Balkans and also began demanding annual
endured increasing pressure from the Huns under tribute payments in 460 [13147 f.]; [234321–335];
Attila (434–453; see above, B.1.), who conducted [177118–125]. The influence of ‘non-Romans’ also
large-scale campaigns south of the Danube in remained strong at Constantinople. Following the
441, 443 and 447 and had to be placated with ever death of Marcian in late January 457, the magister
larger annual tribute payments. Theodosius II died militum Aspar again exerted a crucial influence on
unexpectedly, aged 49, in July 450 after a riding the choice of his successor, the officer Leo [210].
byzantium 395–602 8

Lacking a dynastic connection to his predeces- 475, was no more than an empty gesture [230].
sors (which was by no means a legal requirement An attempted compromise to quell the debate
but would have been useful), Leo was the first over the relationship between the two natures
emperor to consolidate his legitimacy by having in Christ, the Henotikon (Greek henōtikón), ini-
himself coronated by the Patriarch of Constanti- tiated in 484 by Zeno and Patriarch Acacius of
nople after his election [13145 f.]. Constantinople (471–489), alienated the supreme
During Leo’s reign (and at Aspar’s instigation), head of the Church in the West. Although the
one final major attempt was made by the Eastern move successfully reduced tensions with miaphy-
Empire to stabilize the empire in the west. In 467, site congregations in the eastern provinces, the
Anthemius, Marcian’s son-in-law who had been popes refused to retreat from the Chalcedonian
overlooked in the selection of emperor in 457, position. The result was what became known as
was sent as Caesar to Italy in command of a large the ‘Acacian Schism’, which divided the churches
force. The following year, a large and extraordi- of Rome and Constantinople until 519 [149131–137];
narily expensive naval expedition (supposedly [82180–209]; [124]; [72287–297]; [166178–180].
costing more than 7 million solidi) was dispatched Zeno faced another rebellion from 484 to 488,
to North Africa under the command of Basiliscus, this time among the ranks of ‘his’ Isaurians. It
the brother-in-law of Leo I, against the Vandals, brought unrest to Asia Minor in particular, but
who had also attacked Eastern Roman territories Zeno again emerged victorious [640 f.]; [72265–277].
in Greece in 467 [118249–251]; [215221–225]. The expe- He also proved to be a skilful ruler in his elimi-
dition failed, however, and Anthemius also proved nation of the Ostrogothic threat in the Balkans,
in the long term unable to prevail in Italy against which had been intensifying since the 470s. In
the powerful Germanic magister militum Ricimer, 488, Zeno succeeded in persuading the leader of
who had him killed in 472 [9745 f.]; [13148 f.]; the Ostrogoths, Theoderic, to invade Italy to over-
[21484–86]. Seeking to avoid the same fate at the throw Odoacer on his behalf. Theoderic murdered
hands of his own sponsor, the magister militum Odoacer at Ravenna in 493 and made himself head
Aspar, Leo I attempted to create a counterweight of an Ostrogothic kingdom that was – nominally
to Aspar’s Germanic troops in the form of ‘barbar- at least – under the sovereignty of the emperor,
ians’ from within the frontiers of the empire. whose image also appeared on gold coins now
In 467, Leo married his daughter Ariadne to minted in Italy. Following the departure of the
Trascalissaeus (Isaurian: Tarasicodissa), the chief Ostrogoths, much of the Balkans returned to the
of the Isaurian people who had settled the Taurus direct control of Constantinople after more than a
Mountains in southeastern Asia Minor. Trascalis- century [234346–353]; [166179–185].
saeus came to Constantinople with a large retinue
and was named commander of the Excubitors (lit- B.5. The reign of Anastasius (491–518)
erally: ‘those lying out of bed’, i.e. ‘sentinels’), the and its enemies
imperial guard founded in 461. With their help, Zeno, whose reign represented the most tur-
Aspar was overthrown in 471 and murdered along bulent period of the 5th century, died in 491.
with his sons [639 f.]; [13146 f.]; [72229–245]. Aspar’s The choice of his successor was left to his widow
place, however, was taken by Trascalissaeus him- Ariadne, daughter of Emperor Leo I – or at least
self, who was accumulating power and who now that is what the sources claim; the people suppos-
took the name Zeno. On the death of Leo I, Zeno’s edly called out in the Hippodrome for a ‘Roman’
son from his marriage to Leo’s daughter was even emperor ‘of righteous faith’ (presumably in con-
crowned Leo II in 474, despite being only seven trast to the ‘barbarian’ Zeno who had been concil-
years old. Zeno operated as co-emperor and de iatory towards the miaphysites). The first of these
facto head of government. When the boy Leo II demands was certainly met in the person of the
quickly died in 475, Zeno claimed the throne out- (already 60-year-old) courtier from the financial
right. This riled his brother-in-law Basiliscus (who administration who became Anastasius I (491–
had led the unhappy campaign against the Van- 519), and whom Ariadne also took as husband.
dals in 468). Basiliscus was even able to banish This solution provoked the wrath of the Isaurians,
Zeno from Constantinople for twenty months, but who had grown so powerful in the reign of Zeno.
Zeno ultimately succeeded in regaining power, They were subjugated only after a protracted war
this time with Gothic help [13149 f.]; [72251–262]. that lasted from 482 to 498, after which thousands
Immediately on his return, Zeno found himself of Isaurians were resettled in Thrace [72332–338];
facing the problem of the deposition of the last [15563–83].
western Roman emperor Romulus Augustulus by Anastasius faced another revolt in Thrace
Odoacer. Insistence on the rights of the imperial between 513 and 515, led by the Gothic commander
candidate Julius Nepos, whom Constantinople Vitalian (Vitalianus). Vitalian had some support
had supported since 474 and who had been in from King Theoderic of the Ostrogoths, whom
exile in Dalmatia since he had been deposed in Anastasius had actually recognized as king of Italy
9 byzantium 395–602

in 497. Vitalian’s rebellion also drew on opposition leaving a son, a brief struggle for the throne ended
to the religious policy of the emperor, who like in victory for the commander of the excubitors,
Zeno nursed some sympathy for miaphysite doc- who became Justin I (518–527). Born around 450
trine and upheld the compromise formula of the in lowly circumstances near what is now Caričin
Henotikon. This prolonged the schism with Rome. Grad south of Niš, Serbia, the future Justin grew
Supporters of the Chalcedonian orthodoxy also up in a part of the Balkans where Latin was the
rebelled against Anastasius at Constantinople in main common language rather than Greek as in
512, but the emperor was able to calm the masses most of the Eastern Empire. Also sonless, he set up
in the Hippodrome [149137–146]; [155250–288]. his nephew Petrus Sabbatius as his heir, adopting
On the eastern frontier, the period of peace him, giving him the name Justinian, and appoint-
came to an end in a war against the Sasanids ing him consul in 521 [4563 f.]; [13243–73]. In 525,
that lasted from 502 to 506. Great King Kavadh I Justinian married Theodora, a circus girl from the
(Cavades I; 488–496 and 499–531) had restored the Hippodrome (the historian Procopius of Caesarea
internal organization of the Persian monarchy after insinuates in his Secret History, written in the
a long crisis and now sought to enhance his repu- 550s/560s, that her background was shadier still),
tation further with success against the Romans. whose intelligence enabled her to involve herself
The fortress of Dara, also called Anastasioupolis, in government as Justinian’s partner (and so we
was built to reinforce the border in Mesopotamia, also find her portrayed in the famous mosaics of
and other fortifications were expanded [8562–81]; San Vitale in Ravenna from the 540s) [25]; [180].
[6436–38, 100 f.]; [155174–220]. Anastasius also moved In ecclesiastical policy, Justin veered away
to protect the hinterland of Constantinople (not from the compromise formula of the Henotikon
least from new incursions like those by the Bul- and back to an unambiguously Chalcedonian line
gars in 493, 499 and 502), ordering the building of in 519. This brought the schism with the papacy
what became known as the ‘Long Walls of Thrace’, in Rome to an end, and Pope John I even visited
which stretched for over 56 km between the Black Constantinople in 526, partly at the urging of the
Sea and the Sea of Marmara 60 km west of the Ostrogothic King Theoderic. Conflict with the
capital [987 f., 507–509]; [155141–147]. miaphysites in the eastern provinces, however,
As might be expected given his background resumed [149146–152]. Towards the end of Justin’s
prior to his election, the emperor also won plau- reign, in 526, a new war with the Sasanids also
dits for his financial policy. His adaptation of the broke out after the baptism of King Tzathes of the
currency system and his tax reforms meant that Lazi (in what is now western Georgia), who vis-
he achieved large surpluses despite the expensive ited Constantinople in 522, and the invasion of the
war against the Persians. On his death in July 518, Yemen in 525 by a Roman ally, the Christian king
he left a state treasury replete with 320,000 pounds of Aksum (in present-day Ethiopia), jeopardizing
of gold, even if the main beneficiaries of his mea- the Persian sphere of influence at the northern
sures will have been the elites [96475–492]; [9054 f.]; and southern ends of the contact zone between
[15925–27]; [196200–203]; [155118–137]. This reserve the two great powers [133]; [104307–310]; [198137–141].
formed one of the bases for the ambitious policies
of Anastasius’ successors. It also bears witness to C.2. Justinian as a Christian emperor
the relative good health of the empire in these and legislator
decades. Even before the death of Justin in August 527,
→ Justinian (2.3.) had been proclaimed second
C. The two ages of Justinian (518–565) Augustus. His elevation to emperor was initially
relatively uncomplicated [13289–91]. This new-
C.1. Emperor Justin I and his nephew Justinian comer to the elite was possessed by an excep-
(518–527) tional sense of mission (→ 1.1. Idea of empire and
C.2. Justinian as a Christian emperor and emperor), describing himself in the introduction
legislator of one of his many laws as ‘governing by the
C.3. The Nika Revolt of 532 appointment of God our Empire, which has been
C.4. The emperor’s building and reform projects entrusted to us by His celestial majesty’ (simulta-
C.5. Wars with the Persians and campaigns neously removing his position as emperor from
against Vandals and Goths the merely earthly choice of the senate, people
C.6. The ‘other’ Age of Justinian and army) [154104–135]; [99177–182]. Some historians
C.7. The final phase of the reign of Justinian argue that the first phase of Justinian’s reign was
driven by a colossal reforming zeal. His ambitions
C.1. Emperor Justin I and his nephew included completing the Christianization of the
Justinian (518–527) empire and finally crushing ‘heathenism’, which
Following the death of Anastasius, who like all entailed, among other things, closing down prom-
emperors since Theodosius II had died without inent surviving pagan institutions, such as the
byzantium 395–602 10

philosophical Academy founded by Plato at Ath- also as a venue of communication between the
ens and the Temple of Isis on the island of Philae emperor and the population of the capital [176].
in the Nile in southern Egypt. It was here, beginning in 473, that new emperors
Adherents of pagan cults, however, were not were proclaimed and acclaimed, and here that the
alone in suffering persecution. Members of minor- people (through chants) were allowed to express
ity religious groups were also victimized, including demands (as they did prior to the election of
the Samaritans (related to the Jews), the Manichae- Anastasius I; see above, B.5.) or grievances. The
ans and Christian ‘heretics’ like the Montanists so-called ‘circus factions’ of the Greens and the
(who emerged in Phrygia in the 2nd century) and Blues (and the far less powerful Reds and Whites)
Arians. Justinian’s fire was also trained on sup- thus functioned not just as ‘fan clubs’ of the vari-
porters of miaphysitism, but here it was mollified ous stables, but also as foci for the formulation of
by the emperor’s consort Theodora, who sympa- such wishes and protests (although it is not pos-
thized with the movement. Theodora also lent sible to establish the exact basis on which a par-
support to miaphysite clerics like Jacob Baradaeus ticular group may have belonged to one ‘faction’
(after whom the Syrian Orthodox Church was or another) [43].
also called ‘Jacobite’), who were establishing their January 532 saw a breakdown in this com-
own ecclesiastical organization in parallel to that munication between emperor and people. When
of the Chalcedonian Imperial Church. Indepen- Justinian responded to early rioting by ordering
dent miaphysite churches thus emerged in Egypt the execution of the ringleaders from the Green
and Syria, and outside the territory of the empire and Blue teams, despite a demand for clemency
in Armenia, Nubia and Ethiopia, in the 6th and voiced in the Hippodrome, the traditionally rival
7th centuries [39153–155]; [148426–460]; [147491–518]; ‘factions’ allied against the emperor. Under the
[138114–119]; [13292–106]. rallying cry níka (‘conquer!’), the unrest escalated
Seeking soon after his accession to root his leg- into an uprising against the emperor that laid
islation (4.3.) firmly in the Roman tradition, Jus- waste to much of the city, even culminating in
tinian commissioned a compilation that would go the proclamation of an anti-emperor (Hypatius, a
beyond the Codex Theodosianus (see above, B.3.) nephew of Anastasius I). Justinian I, however, ulti-
to include all imperial legislation since the reign mately gained the upper hand and put down the
of Hadrian (117–138). The first redaction was pub- rebellion with much bloodshed (supposedly over
lished in 529, and the second and final redaction, 30,000 dead) [70]. Members of the nobility who
edited by the quaestor sacri palatii, Tribonian, was had sided with the rebels were banished and their
published as the Codex Justinianus (the Code of assets confiscated [37].
Justinian) in 534. Also drawn up in 533 were the The rebellion thus provided the emperor with
Institutiones (Institutes of Justinian; a legal text- an opportunity to target and destroy opposition
book) and the Digesta (Digest, or Pandects; a col- among established elites (→ 1.4. Emperor, elite and
lection of writings by Roman legal scholars dating subjects) and in the capital at large. The notion
back to the Republic). The entire tradition of that he staged it deliberately for this very purpose,
Roman law was hereby safeguarded for poster- as suggested by some historians, appears doubt-
ity. The emperor could now embody the ideal ful, but he may have exploited it or perhaps even
of nomos empsychos, ‘living law’, for contempo- intentionally sought to exacerbate it, safe in the
raries, while also presenting himself (departing knowledge that he could regain control with the
from Roman republican tradition) as the sole support of loyal troops in and around the city
fount of justice. After the Corpus, Justinian went [132142–148]; [165178–210].
on to issue dozens of new laws (Novellae constitu-
tiones, known as Justinian’s Novels), but contrary C.4. The emperor’s building and
to former practice, these had to be published in reform projects
Greek, the dominant common language of the The destruction caused by the Nika Revolt also
East, in order to be understood. As a result, the made it necessary to rebuild the great Church of
importance of Latin as an administrative language the Holy Wisdom (Hagia Sophia; → 8.10. Constanti-
of the Roman Empire began to wane [135247–252]; nople B.), which had burnt down. The new, domed
[132167–181]; [99182–187]. building, of unprecedented splendour, was com-
pleted in record time by 537 and is reputed to have
C.3. The Nika Revolt of 532 cost 1 million solidi. Elsewhere too, the emperor
This honeymoon period ended with the first embarked on a massive building campaign
major crisis of Justinian’s reign in 532. It centred (although Procopius’ Buildings of Justinian proba-
on the great chariot-racing stadium of Constanti- bly exaggerates), including other churches (e.g. the
nople, the Hippodrome, which had a maximum famed St. Catherine’s Monastery on Mount Sinai
capacity of 80,000 people. The Hippodrome in Egypt and the Basilica of St. John in → Ephesus
served not only as a place of entertainment, but (8.12.), both of which name the emperor and his
11 byzantium 395–602

consort Theodora as benefactors), civic buildings rapid destruction of the Vandal regime was also
and fortifications. He even had an entire new city attributable to its weakened state, as a result of
built near his birthplace around 535 (Justiniana advances by Berber groups from the south and
Prima, probably modern Caričin Grad in Serbia). tensions between the Arian Germanic elite and
Many elements of what Procopius describes have the indigenous Christian population [132150–160];
been verified in the archaeological record there, [33135 f.]; [215299–310].
including an aqueduct over 20 km long. However, Nevertheless, this unexpectedly rapid success
the city was abandoned again in the first half of whetted Justinian’s appetite. The next target, cho-
the 7th century [7]; [103]; [132191–202]; [29]. sen in 535, was the Ostrogothic kingdom in the
The population of Constantinople itself climbed former Roman heartlands of Italy, where the mur-
to perhaps 500,000 in the first half of Justinian’s der of Amalasuntha, daughter and heir of Theod-
reign, and to supply this mass of people, the sup- eric (who had died in 526), provided a similar
ply of grain that had been imported by sea from pretext for intervention [234416–421]. In a novella
Egypt since the reign of Constantine was reorga- of 536 (30,11,2), Justinian declared the ambition
nized [98]. One indication of the scale of infra- of ‘regaining control of those provinces formerly
structure that was required here is the Harbour of subject to the Romans but lost by negligence,
Theodosius, which was discovered during building extending to the shores of the two oceans’. And
work in the Istanbul suburb of Yenikapı in 2005. indeed, Belisarius seemed capable of repeating his
Built in 390, its basin occupied 58,000 m². This rapid African triumph in Ostrogothic Italy. By 540,
was the supply harbour for consumer goods and almost the whole peninsula, including Rome and
foodstuffs, particularly grain, which was stored in Ravenna, had been conquered [191]; [132161–167];
special granaries built nearby [120]; [58]. [32136 f.]. An ivory tablet now in the Paris Louvre
The emperor’s reforming zeal also extended to (the Barberini Diptych), probably dating from the
the provincial administration. In 536, for example, reign of Justinian, shows the emperor on horse-
he established the quaestura exercitus, an admin- back, as ruler appointed by God over the entire
istrative unit that united the border provinces on oikoumene (the inhabited world), receiving gifts
the lower reaches of the Danube, impoverished as a from the personifications of the subjugated prov-
result of earlier invasions, with the Aegean islands, inces [157162–164]. The restoration of the Roman
Caria and Cyprus, which were to provide (by sea) emperor’s direct rule over the entire Mediterra-
the necessary resources to supply the troops on nean world seemed to be within reach.
the frontier. Around the same time, Justinian also
decreed to transform the territories added to the C.6. The ‘other’ Age of Justinian
empire following the partition of Armenia in 387 This optimism gave way to an atmosphere of
into regular provinces. This aroused opposition doom within only a few years. The ‘other Age of
among the nobility there, and a rebellion followed Justinian’ [154359–364] began in apocalyptic fashion
in 539. The leaders of the revolt fled to the Persian in 536, when the sun darkened for several months.
court [89]; [166230]. It seems that a major volcanic eruption caused an
atmospheric haze that was observed from Ireland
C.5. Wars with the Persians and to China [88]; [157372–375]. Modern climate stud-
campaigns against Vandals and Goths ies show that the resultant cooling, which led to
Abroad, Justinian had inherited a war with extreme weather conditions and failed harvests,
the Persians, which he ended in 532 by accepting was permanent (see below, E.8.; cf. fig. 1). The
a ‘Perpetual Peace’ (which would last just eight eastern provinces were shaken in 540 by a sur-
years) and paying 11,000 pounds of gold [8596–98]; prise invasion by the Sasanids under Great King
[6438 f.]. The emperor then planned a military expe- Chosroes I, who had been in diplomatic contact
dition to former Western Roman imperial territo- with the Ostrogoths under pressure in the West
ries. The overthrow of the Vandal King Hilderic, a and with the Armenian rebels (see above, C.4.).
Roman ally, provided a pretext for an intervention The invasion culminated in the Persian capture of
in the still very wealthy North Africa. An expedi- Antioch, the third city of the empire. This catastro-
tionary force, relatively compact at around 15,000 phe made a lasting impression on the population,
men compared with the colossal expedition of 468 which miaphysitism had to some extent already
(see above, B.4.), put to sea under the command alienated from the imperial orthodoxy.
of the general Belisarius in 533. Exploiting the The emperor’s promise of security was thus
absence of much of the Vandal fleet in Sardinia, also undermined in the East, all the more so as
the force succeeded in putting ashore and, after a the attack heralded a protracted war, interrupted
brief campaign, conquered the entire Vandal king- by brief truces, that would last until 562, spread-
dom by 534, including the capital Carthage, where ing to affect all regions from Arabia to the Cau-
a Roman administration was re-established for the casus [85103–130]; [6439–41]. At the same time, the
first time in almost a hundred years. In part, this hope of a quick victory in Italy proved illusory. The
byzantium 395–602 12

-4

-2

-3

-4

-5
200 220 240 260 280 300 320 340 360 380 400 420 440 460 480 500 520 540 560 580 600 620 640 660 680 700
Russian Altai, summer temperature anomalies, °C (compared to the period 1900–2003) 10 periods running average (Russian Altai, summer temperature anomalies, °C (compared to the period 1900–2003))
Central Europe, summer temperature anomalies, °C (compared to the period 1900–2003) 10 periods running average (Central Europe, summer temperature anomalies, °C (compared to the period 1900–2003))

Fig. 1: Reconstructions of summer temperature patterns for Central Europe and the Altai Mountains, ad 200–700
(diagram; data: [42]; graphic: J. Preiser-Kapeller, 2016)

540s were marked by bloody assaults by Belisarius sapped the emperor’s optimism [132288–293]. He
on the Ostrogoths under King Totila (541/42–552) devoted himself increasingly to theological ques-
that achieved little success, while laying waste to tions. He convened a Fourth Ecumenical Coun-
the Italian provinces and (together with the war in cil at Constantinople in 553, the most important
the East) placing a heavy burden on the Constanti- outcome of which was the condemnation of the
nople treasury [119]; [186]; [132264–276]. writings (the ‘Three Chapters’) of three 4th and
The heaviest blow of all, though, came in 5th-century theologians whom the champions
541/42, when a wave of plague spread from Egypt of miaphysite doctrine regarded as ‘Nestorians’
to afflict the entire empire, indeed the whole of the (Theodore of Mopsuestia, Theodoret of Cyrrhus,
Mediterranean, Europe and the Near East, killing Ibas of Edessa). The goal was to achieve reconcili-
somewhere between a quarter and a third of the ation with the miaphysites, but this failed, and the
population (→ 13.6. Epidemics B.1.) [119]. This was council rulings, which this time were also recog-
doubtless one cause of the shrinkage of cities seen nized by the Pope in Rome, also triggered a schism
in many places, a trend exacerbated by the flight within the Western Church, chiefly in parts of Italy
of the population to the countryside and a general [148443–460]; [212469–489]; [132293–308].
ruralization of settlement structures. The demo- The emperor’s legislation now again intensified
graphic deficit became all the more entrenched as its targeting of minority religious groups, pagans
the plague recurred in waves every few years until and Jews, as well as homosexuals, whose ‘godless
the mid-8th century, much like the great plague activities’ were interpreted as one of the causes
epidemics of the Late Middle Ages and early mod- of the catastrophes, which were believed to be
ern period. Together with climatic changes and divine punishments [198149–151]. Ominously, part
the deteriorating security situation, the popula- of the dome of the Hagia Sophia even collapsed in
tion decrease contributed to the decline of a num- May 558 and had to be rebuilt. Finally, towards the
ber of cities and regions, although others proved end of his life, Justinian turned to the doctrine of
more resilient [213]; [137]; [198158–160]. aphthartodocetism, a branch of miaphysitism that
This crescendo of catastrophes created fertile taught the incorruptibility of the body of Christ.
soil for apocalyptic prophecies, which had been on Most miaphysites rejected this teaching. Adrift
the rise since the calculation of the date of cre- in these theological speculations, the ‘emperor
ation to around 5500 bc (usually 5508 bc), which became lost to the world’, as Leppin puts it [154198–
placed the dawn of the seventh millennium, 290]; [132330–334].
marking the beginning of the Last Days and the Nevertheless, Justinian was still able to cele-
return of Christ, at around ad 500. Although the brate the successful conclusion of the war against
world failed to end, unease in the population led the Ostrogoths achieved by the new commander
to intensified religiosity, reflected for instance in Narses in 552/53. The Constitutio pragmatica of
new forms of worshipping the Mother of God and 554 established a provincial government in Italy,
sacred images (icons) [36]; [15411–20, 64–100, 373–386, dissolving the institutions of the Western Roman
481–560]; [132206–215]. Empire, which had continued to exist even under
Ostrogothic rule. The country, however, was dev-
C.7. The final phase of the reign of astated by long years of war. A successful interven-
Justinian tion in the Visigothic kingdom at around the same
Justinian himself caught the plague but recov- date won back the cities of southern Spain, and
ered. Besides all the misfortunes that had befallen a province was also set up there [219]. The Medi-
his empire, it was especially the death of Empress terranean at least now seemed reunited under the
Theodora in 548 (probably from cancer) that Roman Empire [157378–386]; [33137 f.]. War with the
13 byzantium 395–602

Persians had begun in 540, but they now faced a and Italy. In 567, the Avars allied with the Ger-
new enemy on their eastern front in Central Asia manic Lombards to annihilate the Gepid kingdom.
the form of the Turks. Justinian was thus able to The Romans secured its strategically important
end the war with a ‘Fifty Years’ Peace’ signed in capital, Sirmium (west of Belgrade), but the Avars
562, but this left a number of territorial disputes now threatened the Balkan provinces, as the Huns
unresolved (and thus contained the seeds of fur- had before them, from their new position on the
ther conflict) and came at the cost of heavy annual Danube [17852–60]. In 568, the Lombards under
tribute payments [85131–133]; [6441, 138–148]. King Alboin (ca. 560–572) launched an invasion of
The frontiers of the newly enlarged empire Italy, which Byzantium had only just conquered
were far from secure, which was particularly evi- (and here, as elsewhere, the Romans had initially
dent in the → Balkans (15.3.), where defence was invited the ‘barbarians’ as auxiliaries). The north
neglected (despite the establishment of the quaes- along the Po and regions around Spoletium in
tura exercitus, see above, C.4.) in favour of the Central Italy and Beneventum in the south were
other theatres of war just as new migrations were lost to the intruders, and Constantinople’s hold on
beginning. Several incursions were made after 550 the coastal regions, the territory around Ravenna
by Bulgar and Slavic groups (whose aggregation at (Romagna and the Pentapolis), the corridor to
the Danube frontier had probably been catalysed Rome and its environs (where the influence of the
by interaction with the empire, as had occurred pope as the ruler of the city was increasing) and
previously with Germanic tribes), and they even Sicily was weakened [235]; [186].
briefly reached the walls of → Thessalonica (8.11.) Despite this rapid collapse of Justinian’s recon-
and Constantinople. The first embassy from the quista in the west, Justin devoted most of his ener-
Avars to reach the capital arrived in 558, and this gies to preparing a new war against the Persians,
steppe people would soon inherit the mantle of because he considered the peace of 562 dishon-
the Huns on the Danube frontier [53]; [5456–69]; ourable. A suitable opportunity seemed to present
[17818–21]. When Justinian died (in his eighties) itself when the Turkic groups who had dominated
on November 14, 565, he left an Eastern Roman the steppes between China and the Black Sea
Empire at its greatest ever territorial extent (hav- since 552 sent a deputation to Constantinople
ing grown from around 1.3 million km² to 2 mil- in 568/69 (see below, F.3.). Soon afterwards, rep-
lion over the course of his reign), but under severe resentatives of the rebel Armenian nobility also
pressure on almost all its borders. arrived from the Persian portion of their coun-
try to seek the emperor’s support. The influence
D. Into the 7th century (565–602) of the Romans suffered a blow, however, in the
southern Red Sea, when Persian forces became
D.1. Justin II, Tiberius II and the long war with the established in the Yemen and drove out Rome’s
Persian Sasanids (565–582) allies, the Aksumites. In 571, when Justin refused
D.2. Maurice and the successful conclusion to the to pay the tribute promised to the Persians by the
Persian War (582–590) 562 treaty, a new war indeed broke out between
D.3. The war with the Avars and Slaves, and the the two great powers.
overthrow of Maurice (602) Hopes of an alliance with the Turks and Arme-
nians were disappointed. When the important for-
D.1. Justin II, Tiberius II and the tress of Dara, in northern Mesopotamia, fell to the
long war with the Persian Sasanids Sasanids, Justin suffered a mental breakdown that
(565–582) rendered him unfit to rule [115]; [85136–150]; [6441 f.,
Of the potential successors to Justinian, who 109–115]. The regency was put in the hands of his
died without issue, the victor was his nephew, consort Sophia (the first empress to be portrayed
who became Justin II (565–578). Justin was mar- on coins alongside her husband) and especially
ried to Sophia, a niece of Theodora’s, and Sophia of the young commander of the imperial guard,
emulated her aunt in laying claim to her share of Tiberius, who was made Caesar (co-emperor) in
power [3]. Justin differed from his uncle in that 574. A truce was concluded with the Persians in
he relied more heavily on the support of the tra- 575/76, following a heavy defeat inflicted on Great
ditional senatorial elite, whose influence over the King Chosrau I, but it was limited in duration and
government now grew (see below, E.2., E.4.). The territorial extent, and had to be purchased with
measures Justinian had imposed on the miaphy- new tributes [22994–96]; [166243 f.].
sites in the final years of his reign were eased, Justin died in October 578, and Tiberius II
and new talks were initiated, although no lasting (578–582) became emperor. The Persian Great
agreement was reached [22986–90]; [147495–501]; King Chosroes I, such a dangerous enemy to the
[198227 f.]. Romans, also died in 579. Chosroes’ son and suc-
The new imperial couple soon faced a deterio- cessor Hormizd IV (579–590), however, rejected
rating external situation in Southeastern Europe the recent truce, and war resumed [85151–166].
byzantium 395–602 14

The Avars, meanwhile, conquered the strategi- clients of Rome in the 6th century, but which had
cally vital city of Sirmium in 582. Not only did come into conflict with Constantinople in part
Constantinople now have to agree to pay large because of its miaphysite sympathies, ultimately
annual tribute, but also the partial collapse of proved fatal [147503 f.]; [841213 f.]; [48188 f.]; [198273 f.].
the Danube frontier defences enabled a range of
Slavic groups to advance across the entire Balkan D.3. The war with the Avars and
Peninsula as far as Thessalonica and the Pelopon- Slaves, and the overthrow of
nese, as Roman authority was pushed back to the Maurice (602)
coasts [117]; [5456–69]; [5513–96]; [17870–121]. Tiberius Elsewhere on the eastern frontier, peace pre-
II died unexpectedly in August of the same year. vailed, and Maurice used the opportunity to relo-
cate troops to the Balkans to wrest back control
D.2. Maurice and the successful from the Avars and the Slavic groups that had
conclusion to the Persian War joined them. Some of these campaigns proved
(582–590) highly successful between 591 and 602, raising
During his illness in August 582, Tiberius had hopes of a restoration of the Danube frontier and
adopted the experienced general Maurice, marry- even the annihilation of the Avar power base
ing him to his daughter Constantina and elevat- [226]; [178128–162]. This, it was hoped, might even
ing him to co-emperor. Maurice was proclaimed make it possible to reconquer the whole of Italy.
Augustus the day before Tiberius’ death and thus In his will of 597, Maurice is said to have arranged
ascended the throne without complications. In 584, for the installation of his second son Tiberius
while the Persian War proceeding with increas- as iunior Augustus at Rome (with the elder son
ing success, Maurice sought to reinforce Roman Theodosius at Constantinople), thus renewing the
rule in Italy by concentrating military and civil- double imperial monarchy in the East and West
ian authority in the hands of an exarch resident at (and perhaps even a ‘tetrarchy’ by incorporat-
Ravenna [41]. A similar exarchate was also estab- ing both younger sons as co-emperors) [158219];
lished at Carthage for North Africa, where incur- [no. 121a]; [33189].
sions by peoples (called Mauri, or Moors) of the However, the campaigning deep into enemy
desert peripheries were threatening the provinces territory north of the Danube asked much of Mau-
[182]; [215314–330]. The administration of the west- rice’s troops. The prospects for spoils were also
ern regions regained during the reign of Justinian much poorer in these much-plundered regions
was thus permanently reorganized, but much of than in the still-wealthy eastern provinces. Mau-
the territory gained under Justinian in southern rice again proved somewhat tactless in respond-
Spain was lost around 584 [46560–562]; [33138 f.]. ing to the grievances of his soldiers, who had
There was also a conflict with the dynamic Pope already rebelled against his cost-cutting measures
Gregory I (590–604, ‘the Great’), who concluded on the eastern frontier in 588. The army on the
a truce with the Lombards on his own initiative Danube mutinied in 602, ultimately abandoning
[77131 f.]; [10119 f.]. the campaign and marching on Constantinople.
A great opportunity to bring the war with the The emperor might well have been able to defend
Persians to a favourable end after almost twenty himself behind its walls, but he had also lost sup-
years arrived in 590 with a coup in the Sasanid port within the capital, his popularity having been
Empire. The legitimate heir to the throne, Chos- damaged by a grain shortage.
roes II, was driven out following the overthrow Maurice was overthrown in November 602,
of Hormizd IV by a usurper, the general Vahram and he and his sons were brutally massacred. The
Čobin. Chosroes fled to Roman soil; he pleaded mutinying army named one of its spokesmen,
for Maurice’s support in his quest to regain the the 45-year-old centurion Phocas (602–610), as
Persian throne, and his plea included far-reaching emperor. This was the first murder of a reigning
promises. With Armenian support, Roman troops emperor since the transfer of the empire to Con-
succeeded in defeating Vahram Čobin, and Chos- stantinople, and the first successful coup d’état
roes II ceded large territories in Armenia and for over 125 years. Even more violent overthrows
Georgia (Iberia) to the Romans in a peace treaty would now follow [163]; [229100–108]; [165261–293].
of 591 [85172–175]; [6442 f.]. The events of 602, however, did more than just
The emperor now tried to organize the Arme- knock out of balance the ‘acceptance system’ that
nian lands into provinces and to compel the had underpinned the stability of imperial rule
Armenian Church, which followed miaphysite and especially the succession for over two centu-
doctrine, to recognize the Council of Chalcedon. ries. The shifts in geopolitical and environmental
This, however, provoked an Armenian schism and conditions that had begun in the ‘second age of
widespread unrest. Maurice’s decision to destroy Justinian’ now began to coalesce into a crisis that
the Ghassanid princedom, which had successfully would threaten the very existence of the empire
defended the borderlands of the Arabian Desert as in the 7th century, heralding the transformation
15 byzantium 395–602

of the Roman Empire of Late Antiquity into the pagans from the 540s to the 570s. Even before
‘Byzantine’ Empire of the Middle Ages [138128 f.]; pagan cults were banned outright, they were sub-
[16525–28]. jected to ever greater restrictions. Constantine
had already outlawed what were considered par-
E. Aspects of internal ticularly offensive ‘pagan’ practices, such as magic,
transformation in the empire: haruspicy and temple prostitution. In reality,
religion, state, economy and society influential pagans could still be found until the 6th
century, but they retreated from public to practice
E.1. The Christianization of the Roman Empire their religion (as can be observed for instance in
E.2. The bishops as a new Christian elite Aphrodisias in southwestern Asia Minor, where
E.3. The genesis of the Christian monastic and paganism is attested in the form of statues and
pilgrimage traditions ritual practices in closed, secondary rooms long
E.4. Ownership conditions and public into Late Antiquity).
administration New rules, meanwhile, applied to those con-
E.5. Economic and demographic growth in the verted to Christianity. Space and time were reorga-
eastern Mediterranean nized, the former through the building of churches
E.6. Invasions and reconstruction in Late Antique and other ecclesiastical monuments and imagery,
Southeastern Europe the latter through the imposition of Sunday rest,
E.7. Changes to the elites in Late Antiquity holidays and fasts [170236]; [172474 f.]; [164688–699];
E.8. Plague epidemics, climate change and the [75735–767]; [193]; [148428 f.]; [1149 f.]. Dealing with
‘End of Antiquity’ ancient statuary proved particularly challenging,
especially with controversial images of deities,
E.1. The Christianization of the where the spectrum of responses ranged from
Roman Empire deliberate celebration to violent destruction [22].
The transition from the Roman Empire of Clas- The Church punished adultery and other breaches
sical Antiquity to the Eastern Roman Empire was of Christian faith and morality ever more severely
marked by profound changes in the structure of (exclusion from the congregation, penitential
society, the economy and the state. The most strik- practices), and, beginning in the late 4th century,
ing and fateful of these was the effect of the rise the state as well. Even in Late Antiquity, however,
and spread of Christianity in the regions around the Church still recognized civil marriages con-
the Mediterranean and beyond (see also F. below). cluded according to Roman law. A fully developed
In numerical terms, the Christianization of the Christian marriage law would not appear until
population must remain a matter of conjecture. later centuries [170236]; [172474 f.]; [164688–699];
Drawing on papyri and onomastic material, Bag- [75735–767]; [193]; [148428 f.]; [184149 f.].
nall [19] estimates that around 20% of the popu-
lation of Egypt was Christian around 313, around E.2. The bishops as a new Christian
50% in 337 (the death of Constantine) and around elite
80% in the early 5th century (after Christianity had The emperor’s support made conversion to
become the only religion to enjoy official support Christianity in the interest of the elite (→ Emperor,
from the state). The dynamic among holders of the elite and subjects (1.4.)) and those who aspired to
highest offices in the Western Empire between 324 join them. Constantine installed two Christians
and 423 was slightly different: Christians did not as consuls in 333, but pagans could still make a
attain an absolute majority until the end of the 4th career, even in the 5th century under Theodosius
century [194]. II. In the upper reaches of government and society,
Christianization thus appears to have pro- only measures enacted by Justinian and his suc-
ceeded at different speeds according to region and cessors in the late 6th century eliminated the most
social group. In its first centuries, it was primar- ‘stubborn’ remnants of pagan cults. In their place,
ily an urban religion. In rural areas, where wide- a new Christian elite arose, particularly among the
spread conversion began relatively late, ‘islands’ of functionaries of the Church, which became ever
paganism persisted for a long time. more closely interwoven with the Roman state.
Archaeology supports this picture. Churches, The practice of having a bishop at the head of a
for instance, were largely confined to major urban Christian congregation had become established
centres in the 4th century, and wide-ranging eccle- as early as the 2nd century, and bishops subse-
siastical infrastructure did not begin to develop quently became ever more important in the life of
until the early 5th century, even in large, ancient the Church. A bishop was honoured not only as a
cities like → Ephesus (8.12.). The monk John of successor to the Apostles, but also as a reflection
Amida (the future miaphysite bishop of Ephesus), of Christ, particularly in his liturgical function, and
who undertook several journeys through western as the ‘source’ of all priestly activity in his diocese.
Asia Minor, claimed to have baptized over 70,000 He functioned as supreme teacher (especially in
byzantium 395–602 16

the form of the sermon), shepherd (supervision of ideal of the orthodox ascetic was soon identified
all clergy, pious foundations and monasteries) and as St. Anthony of Egypt (d. 356), particularly as a
judge. Special privileges granted to bishops since result of his biography, written by Bishop Athana-
the reign of Constantine gradually put them on an sius of Alexandria (d. 373; → 7.5. Monasticism and
equal footing with state officials. monastic institutions B.).
For their part, bishops also began to make use The founder-figure of coenobitic (from the
of the growing authority of the episcopate in a Greek koinòs bíos, ‘communal life’) monasti-
majority Christian society. Beginning in the reign cism, meanwhile, was Pachomius. A former sol-
of Anastasius (see above, B.5.), bishops belonged dier, Pachomius lived an ascetic life for several
to local colleges of notables concerned with the years before setting up a monastic community at
financial administration of cities and their envi- Tabennisi in Upper Egypt around 321. All aspects
rons. Conversely, as elites became Christianized, it of community living (prayer, work, clothing, food)
was often members of the upper class who entered were strictly regulated, while nearby guesthouses
the clergy and rose to senior office (although there for pious visitors marked the beginnings of the
were also ‘parvenus’ from modest backgrounds), tradition of the Christian hostelry. The monks
and some transferred directly from state to church answered to an abbot, and were not allowed pri-
roles. There was also visible proof of the fusion of vate property – all such possessions were surren-
secular and ecclesiastical power in the addition of dered on entry to the monastery for common use.
symbols to public buildings to ‘Christianize’ them. Many monastic institutions were founded in the
Generally, every major town or city had a Pachomian tradition, some outside Egypt (→ 7.5.
bishop. In the 6th century, the episcopate of the Monasticism and monastic institutions C.), but
Eastern Roman Empire (corresponding approxi- the crucial foundations of Byzantine monasticism
mately to the list in the Synecdemus of Hierocles) were laid in Cappadocia in Asia Minor, by Basil
comprised more than 900 local bishops. These met the Great. Himself bishop of Caesarea from 370 to
regularly at provincial assemblies (synods), while 379, Basil advocated monastic life in communities
the larger, ecumenical councils, beginning in the under church supervision [144]; [151155 f.]; [190];
reign of Constantine with that of Nicaea in 325, [161941–946]; [62548–551].
devoted themselves to discussion of major theo- The growth of the new monastic way of life
logical controversies. The aforementioned fact in fact created some potential for instability in
that such assemblies could no longer achieve una- church and society. In Egypt, for example, bish-
nimity, and that various communities splintered ops made use of militant monks as ‘shock troops’
off from the ‘orthodoxy’ determined by the cen- in their struggles with ecclesiastical and secular
tral imperial authority at the time and set up their opponents. Such groups were even used at the
own, rival episcopal institutions (e.g. the miaphy- highest level of the Church, during the so-called
sites in Syria and Egypt in the 6th century), must ‘Robber Synod’ of Ephesus in 449 (see above, B.3.).
have vexed the emperors all the more as Christi- Where monks opposed policy decisions of the
anity permeated society and the Imperial Church Church or the secular authorities, they invariably
was used to reinforce the imperial regime itself. demonstrated their ability to mobilize the masses.
→ Justinian (2.3.), among others, strove vigorously The Council of Chalcedon in 451 changed canon
to achieve doctrinal unity in doctrine, church and law to place monasteries under the control of the
empire, but ultimately in vain [171635–666]; [76521– local bishop, in order to forestall overly indepen-
578]; [184]; [185]; [99110–118, 145–150, 190–193, 197–206]. dent action by monks. Justinian (6th cent.) then
stipulated that it was henceforth necessary not
E.3. The genesis of the Christian only for the local bishop to permit the foundation
monastic and pilgrimage traditions of a monastery, but also to bless its site and erect
The recognition of Christianity in the early a cross there. He was also charged with the task
4th century and the ongoing integration of the of appointing, or confirming the election of, the
Church into the structures of the empire also abbot of a monastery. The sale of the (growing)
added momentum to an ascetic turn, originating property of monasteries was also banned, and the
in Egypt. Anchorites (from anachōreîn, ‘to retire, control of those assets made subject to special
withdraw’) wandered in the desert and sought protections. This effort to ‘domesticate’ the mon-
out a life of isolation, partly as a method of blood- asteries, however, was only partially successful,
less martyrdom after the violent persecutions had and they remained a potential seat of resistance
come to an end. Some of them settled in relatively to imperial interventions in the Church until the
close proximity and formed ascetic communities. fall of the Byzantine Empire [40]; [140209–213]; [93].
Each of these had a church at its heart, with one or The spatial fabric of the whole empire was also
more priests to celebrate the liturgy and adminis- permanently changed by the rise of pilgrimage
ter communion to the hermits who attended. The (→ 7.3. Sanctity, piety and deviance B.; → 9.7.
17 byzantium 395–602

Pilgrimage) [125]. As the Church became orga- mately 80–90 % of the populace probably worked
nized in the 4th century, more and more people in agriculture [121118–120]. It was also in the distri-
strove to visit the Holy Places in Palaestina, espe- bution of the wealth generated through agricul-
cially Jerusalem. The pull of Jerusalem increased tural surpluses that the balance of power between
further with the discovery of the Holy Sepulchre state and social actors was negotiated [19794–99].
of Christ and (allegedly) the True Cross by Helena, State intervention increased as a result of the
mother of Constantine, in 325 [102]; [66]; [231]; reforms of Diocletian and Constantine at the turn
[67]. The relics of various martyrs also attracted of the 4th century, not least as a result of the
many pilgrims to destinations such as the monas- effort to provide for civil servants and the soldiers
tery of Abu Mina near Alexandria in Egypt or the serving on the frontier and field armies (totalling
sanctuaries of St. Nicholas at Myra (Lycia) or John somewhere between 400,000 and 600,000 men
the Evangelist at Ephesus [8342–359]; [183]; [150]; across the empire in the 4th century). Tendencies
[59]. The more widely known a saint became, the towards regulation and standardization are also
greater the number of pilgrims visiting his final apparent in material culture, especially in areas
resting place. directly related to the government provisioning
Founding a place of pilgrimage, however, was system. Wine and oil began to be supplied in
also sometimes a planned act of religious policy. amphorae of standard sizes and volumes, and the
The establishment of the cult of the Seven Sleep- range of vessel types narrowed to a small num-
ers in the reign of Theodosius II, for example, can ber of characteristic forms. The diversity that had
be explained not only in terms of theology, but developed as a result of the abundance of small
also as a kind of ‘investment package’ for the city production regions in the Imperial period was
of Ephesus and its expansion into an important thus lost, replaced by a standardized government
Early Christian pilgrimage centre (→ 8.12. Ephesus system of production and distribution [4449, 174];
C.). Stylites (holy men living atop pillars) were a [15279–284].
great attraction, and after the death of Simeon Contemporary sources (e.g. the Notitia Dignita-
Stylites the Elder in 459, the pilgrimage centre of tum, a register of civilian and military officials and
Qal‛at Sim‛ān/Telanissus was established, with its military units across both halves of the empire in
gigantic, cruciform church at the octagonal heart the early 5th century) and modern sources alike
of which homage was paid to the saint’s columnar characterize the administrative system (→ 5.1.
abode [11220 f.]. Particularly prestigious relics were Central civil institutions; → 5.2. Basic features of
sometimes transferred to Constantinople, which government) as the elaborate and rigidly hierar-
also entailed transplanting the cult of the saint in chical machinery of a ‘Late Antique Zwangsstaat’
question. or ‘coercive state’ [157167–180]. In fact, however, the
Such developments also altered the points late Roman administration never constituted a
of attraction for → sea routes (9.2.) and → land strictly ‘bureaucratic’ regime in the sense meant
routes (9.1.). The ‘Holy Land’ and Constantinople by Max Weber [225].
now shifted to the centre of the ‘mental map’ of In practice, there were many different ways of
the faithful across all parts of the empire. The circumventing duties, competencies and authori-
cartographic mosaic at Madaba (in modern Jor- ties that appeared to be set in stone, particularly
dan), showing the holy places of Palaestina, is one through personal kinship, friendship and patron-
physical manifestation of this. The limited avail- age networks, and also at the pleasure of the
ability of first-class and second-class relics also emperor, the most powerful patron of all, whose
led to the parallel development of a lively trade in position as ‘arbiter’ of the administration could
third-class (touched) relics and eulogiai (‘blessed even be strengthened by rivalry between compet-
objects’), including the widespread Menas flasks ing factions. Functionaries who were in favour
and the clay plaquettes of St. Simeon [164683–687]; could accrue temporary or permanent competen-
[142115–119]; [11220–223]; [128]. cies unrelated to their nominal roles. Laws and
regulations were never applied without consider-
E.4. Ownership conditions and public ation of one’s personal reputation, and outcomes
administration differed according to social status and influence.
As the wealth of the Church grew, dioceses, Members of the elite (→ 1.4. Emperor, elite and
monasteries and pilgrimage centres joined the subjects) were thus able partially to escape the
ranks of the largest landowners in the empire. reach of the central government, particularly
The transfer of extensive temple estates to the taxation, or to exploit administrative functions for
ownership of the Church is amply attested, bring- their own purposes [151145–155]; [21164–202]; [228288–
ing agricultural land and valuable sources of raw 295, 300–308].
materials, such as mines and quarries, into its pos- In the Western Empire in particular, some
session [39136 f.]. As in any premodern society, land members of the senatorial aristocracy began in
ownership was the key to social power: approxi- the 4th and 5th centuries to accumulate enormous
byzantium 395–602 18

lands and wealth in single regions or even across of this kind are unmistakable, the ancient town
several provinces, with influence to match. Some plan remained essentially intact in many places
of these elites then turned their backs on the cen- until the 7th century, when massive destruction
tral government when the invasions of the 5th caused by enemy attacks brought about dramatic
century undermined its promise of security. This changes [107]; [31].
contributed to the collapse of the empire in the Wide-ranging trade networks that still spanned
West [15287–293]. the whole empire offered opportunities for mar-
keting on a regional and transregional scale.
E.5. Economic and demographic Wine from Gaza and the coasts of Palaestina,
growth in the eastern for instance, was sold throughout the Mediter-
Mediterranean ranean in this period [116]; [168]. Overall, the
A period of economic and demographic growth, Eastern Roman Empire still had a commercial
once again fostered by climatic conditions (→ 8.1. network extending virtually all the way around
Landscape and climate), occurred in the parts of the Mediterranean in the 6th century, regardless
the empire – Egypt, Syria and Asia Minor – that of political boundaries. Urban centres were sup-
were not afflicted by invasion in the 5th century. plied with oil and wine from the Black Sea region,
By the 6th century, before the plague broke out, Asia Minor, Egypt, the Aegean, Greece, Cyprus, the
the population may have grown in excess of 20 Levant and even western North Africa and Italy
million. There were, however, significant regional [134214–217]; [222319, 339–345]; [223346–381]; [227469];
differences, as recent pollen analyses have shown, [113604–611]; [112612–629]; [13016 f., 23–38]; [19799–107];
with implications regarding land use [105145–215]; [169]. Archaeologists have also successfully gained
[91]. Against this background, we can also observe sometimes highly detailed insights into a number
a rise in large-scale land ownership in the East of artisanal sectors, manufacturing techniques and
(the powerful Apion clan, for instance, controlled local peculiarities in recent years, e.g. the artisans
over 30,000 hectares in the 6th century, amount- shops in Sardeis (Lydia) [51], the stone industry
ing to 40 % of the arable land in two Egyptian dis- (→ 10.6. Stone working and processing), non-fer-
tricts). These estates were worked by slaves and rous metal production (→ 10.9. Non-ferrous met-
rural labourers and also by tenant farmers, whose als) in → Ephesus (8.12.) [141]; [59] and the wide
conditions varied. Population growth and the con- variety of trades at → Thessalonica (8.11.) [17].
sequent growth of the labour pool in the 5th and The role of the state in economic development
6th centuries, probably shifted influence even fur- is controversial. There is no doubt that taxes and
ther in favour of those who held land. compulsory army and administrative service were
In at least some regions, however, small-scale a heavy burden. State demand, however, also
and medium-scale landowners also reaped the stimulated production, particularly in peripheral
benefits of economic prosperity. This is reflected regions lacking substantial markets, e.g. along the
in the growth of towns and villages as documented Persian frontier, where entire new cities were built
in archaeological surveys, e.g. at Hauran, between at Theodosioupolis and Dara in Mesopotamia. Pri-
Damascus and Bosra in southwestern Syria, in the vate commerce could also benefit from the trans-
limestone massif east of Antioch on the Orontes port infrastructure built for state purposes, e.g. the
in the north (where archaeologists have identified grain fleets that plied the route between Egypt and
between 700 and 800 villages, the largest of which Constantinople, stopping at many ports along the
have several churches and even bath houses) and way [98]; [13016 f., 33–35]; [6083 f., 248–251]; [50107–180].
in the Negev in Palaestina [206]; [60205–257]. Simi-
lar developments can be traced in Asia Minor, E.6. Invasions and reconstruction in
on the southern coast of Lycia, which benefited Late Antique Southeastern Europe
from its position on the sea route linking Syria The state undertook efforts to stimulate eco-
with the Aegean, and in the limestone regions of nomic and demographic recovery in Southeast-
‘Rough’ Cilicia north and east of Seleucia on the ern Europe, much of which had slipped from
Calycadnus [6]. Constantinople’s grasp between 376 and 488 and
Many ancient cities of western Asia Minor fallen prey to invasions. The trend here was one
experienced a phase of reurbanization in the early of contraction, even in cities that remained under
5th century, as public and private construction Roman rule, such as Nicopolis, the capital of the
surged [35]; [79]. The city of Assus, on the south province of Epirus Vetus in northwestern Greece.
coast of the Troad directly opposite the Greek The city suffered lasting damage as a result of an
island of Lesbos, was completely rebuilt in the 4th earthquake in 375 and later in an assault by the
century, then again in the 6th. The reconstruction Vandals, who plundered it in 474. It was probably
swept away not only the pagan structures, but in the wake of this attack that new city walls were
also the heart of the Agora, where new residential built, but they enclosed only a sixth of the former
buildings were put up. Although transformations urban area of 180 hectares. The record shows a
19 byzantium 395–602

new spurt of building activity in the much-reduced confronted the state as a power factor and spokes-
city beginning in the late 5th century, by which men in cities (see above, E.2.). Justinian attempted
time much of the Balkans was back under Roman to enlist the episcopate in his efforts to restore
control. In particular, a number of basilicas were provincial administration to stronger central con-
built, commissioned by bishops in the 6th century. trol, in part to weaken the grip of local magnates
Thereafter, however, a new wave of Slavic migra- and to undermine their tax evasion schemes. Jus-
tion and Avar invasions, along with the return of tinian’s successor Justin II, however, issued a law
the plague, brought a longer interruption to urban in 569 that made the appointment of governors
life [5439–69]; [28351–381]; [6181–108]. subject to the approval of leading landowners and
Similar archaeological evidence of changing the relevant bishop, thereby de facto acknowledg-
urban life in Late Antique Greece has been found ing the new conditions [134208–222]; [196209–224];
in Corinth, where earthquakes in 365 and 375 and [157179–187]; [19796–111]; [10no. 12]; [15282–284, 293–297].
the sack of the city by the Goths in 395 marked
the onset of contraction, after which the city was E.8. Plague epidemics, climate
also enclosed within a defensive wall. Large new change and the ‘End of Antiquity’
churches built in the 5th and 6th centuries attest Demographic and economic development
to a recovery, but the outbreak of plague in 542, suffered a major setback with the outbreak of
further severe earthquakes and (later) the Slavic the ‘Plague of Justinian’ in 541/42, an epidemic
threat left the ancient city centre derelict. Some of that recurred at intervals of 10 to 15 years for the
the population fled to the island of Aegina [11725– next two centuries (→ 13.6. Epidemics B.1.). This
40, 72–101]; [195]. incident was also accompanied by deteriorating
climatic conditions (recently dubbed the ‘Late
E.7. Changes to the elites in Late Antique Little Ice Age’; cf. fig. 1; → 8.1. Landscape
Antiquity and climate F.) [213]; [137]; [217]; [42]. Population
Power structures within cities were also chang- losses (25–33 % depending on the region) were
ing across the empire. Until the 3rd century, the directly reflected in labour shortages and thus
imperial authorities relied on the self-government also in harvests and tax revenue. Resultant cash
of cities by members of municipal council (curia- flow problems for the state, which plagued it for
les or decuriones) recruited from the local prop- the remainder of the period, can be observed in
ertied classes. These councils took care of most the production of lighter solidi to defray expenses
public duties, such as collecting taxes and financ- in the 540s [96492 f.]; [196218 f.]. In the short term,
ing and maintenance of public buildings. In the this demographic change may even have enabled
4th century, the state began to make these ser- artisans, rural labourers and tenant farmers to
vices mandatory, and they came to be seen not as improve their living standards, as lords and land-
an honour, but as a burden that many sought to owners were forced to offer better conditions
evade. to keep what had now become a more precious
Even so, there was no general ‘decline of the labour force [13038–42]; [15306–319].
curiales’ as scholars formerly believed. Rather, Sarris sees indications of such developments in
the internal differentiation of elites on the basis the 540s and 550s, for instance in the rising num-
of wealth and status intensified. A combination ber of indefinite tenancy agreements in Egypt
of property ownership and government positions and the increasing value of copper coins against
gave rise to an even richer group of large-scale the gold currency (in which tax payments and
landowners (like the aforementioned Apions in landowners’ transactions were settled). These
Egypt). This group was able to pursue their own will have increased the purchasing power of the
interests against those of the state and to use the lower classes. Sarris also suspects, however, that a
income acquired from their administrative func- reaction followed from landowners and the state,
tions to expand their own property. Smaller land- all of whom wanted to keep the (economic and
owners now also became their dependents, as they social) cost of labour at the usual level, in the form
sought to protect themselves from the attentions of stricter controls on rural labourers and tenant
of the state authorities, which were often felt to be farmers. Moreover, the purchasing power of cop-
oppressive. Even entire towns sought out powerful per coins soon fell again. Sarris offers evidence
patrons of this kind. for this scenario in similar developments that
This differentiation within the elite known took place in Western Europe in the Late Middle
as the honestiores (as distinct from the humilio- Ages after the plague epidemic of the 14th century
res) was reflected in the invention of new ranks, [196217–234]; [198159 f., 238 f.].
dividing curiales between ‘ordinary’ decuriones The effects of the plague were not uniform
and the ‘more eminent’ principales, and the high- everywhere, particularly in the countryside. Pros-
est senatorial ranks between illustres, spectabiles, perity continued to some extent until the late 6th
senatores and clarissimi. Bishops, meanwhile, also or early 7th centuries in parts of Syria and Palaes-
byzantium 395–602 20

tina, e.g. in the aforementioned regions east of eral rhythms of the emergence and fragmentation
Antioch and in the Negev. However, major cities of imperial structures become apparent across
like Antioch on the Orontes (which even before the whole of the ancient world, locating the ‘fall
the plague had already been hit by a catastrophic of Rome’ and the transformation of the Roman
earthquake in 526 and the Persian conquest of Empire in the East in a wider and now genuinely
540) [16182–189] and Apamea (also plundered by global context. This approach also permits us
the Persians in 573) show clear signs of decline. to survey important developments that will be
The number of village settlements around Petra described below.
(in modern Jordan) also dwindled dramatically; Around the middle of the 2nd century ad, the
climatic reconstructions for this region in the 6th empires that had been established across Eurasia
and 7th centuries show increasing aridity [22134– since the 2nd century bc (the Roman Empire
47]; [126204–210]. Similar trends are seen in various around the Mediterranean; the Parthian Empire in
parts of Asia Minor, where pollen analyses docu- Persia and Mesopotamia; the Kushan Empire in
ment the end of the agricultural boom over the Central Asia and Northern India; the Han Dynasty
course of the late 6th and 7th centuries (→ 8.2. in China) increasingly found themselves con-
Environmental changes D.) [105203–233]; [91]; [106]. fronted with changing environmental conditions
Apart from the plague and climate changes, (e.g. climate, epidemics like the Antonine Plague)
the devastating wars on the eastern frontier also and new external threats (the emergence of larger
contributed greatly to the end of Late Antique ‘barbarian’ groups) that altered the internal equi-
prosperity during this period, as economic con- librium between central government, the military
traction, socio-economic unrest and the stability deployed on the frontiers and regional elites. The
of both Roman and Persian Empires were affected resultant crises of the 3rd century caused tempo-
in a complex interplay with the intensity of the rary breakdowns of imperial unity (Rome, China),
confrontation between them. Again, the imperial changes of dynasty (Persia and Mesopotamia:
promise of security and prosperity was broken. the Parthians succeeded by the Sasanids, who
Social tensions were now aggravated by the ecclesi- in turn represented a major challenge to Rome),
astical alienation of the miaphysite congregations and even complete collapse (Kushan Empire).
from the central imperial authority, representing The unity of the Roman and Chinese empires was
‘the price the Christian Roman Empire paid for the restored towards the end of the 3rd century, but
greater cultural and religious cohesion offered by more precariously than before as pressure from
imperial monotheism: an increased potential for outside continued to intensify, especially from the
conflict resulting from doctrinal disputes’ [99236 f.]. Eurasian steppes (the Xiongnu in Mongolia, the
The effect of all this was to undermine the foun- Huns in Eastern Europe), where climatic shifts
dations of Roman rule across much of the east- stimulated increasing mobility [2090–114]; [201103–
ern provinces. The results would become clear in 109]; [1320–29]; [200]; [220190–201]; [49]; [38339–349];
the 7th century [22988 f.]; [223383–391]; [196228–234]; [52256–280, 296–306]; [202343–345]; [69404 f.].
[157331–335, 372–377]. ‘Barbarian’ groups of fluid identity and com-
position began penetrating and occupying north-
F. The Roman Empire in the world of ern China with increasing frequency in the early
Late Antiquity: a ‘global’ survey 4th century (e.g. 311, sack of the capital Luoyang by
the Xiongnu), and the same fate befell the Roman
F.1. The empires of the ancient world in turmoil Empire a century later (410 Visigothic sack of
from Rome to China Rome). To differing degrees, these groups strove to
F.2. The Roman Empire and Sasanid Persia as adopt the concepts of government and culture of
rival global powers the empires they attacked (‘Romanization’, ‘Sini-
F.3. One final ‘global moment’ and the end of the cization’). This also involved their ‘conversion’ to
world order of Late Antiquity the dominant universal ‘religion of salvation’ of
the empire concerned: respectively, Christianity
F.1. The empires of the ancient world or Buddhism (especially of the mahāyāna school).
in turmoil from Rome to China These religious groups had been exploiting the
As discussed above, the ‘decline and fall of the opportunities offered by the imperial ‘regimes of
Roman Empire’ continues to be hotly debated mobility’ since the 1st century ad, and the sup-
among scholars to this day. The narrative is the port that particular rulers gave them (Constan-
classic example of the collapse of a vast civiliza- tine I and his successors; the Tuoba-Wei Dynasty
tion (thought of at the time as effectively global) in Northern China between 386 and 534; Liang
that also laid the foundation of ‘West’, which it Wudi in Southern China from 502 to 549) made
arguably distantly reflects [62579–609]; [63]. If, how- the new cults bulwarks of the state. Even where
ever, we conclude by broadening our perspective imperial power collapsed, the established religious
beyond the limits of the Roman Empire, then gen- infrastructure (dioceses, monasteries) and spiri-
21 byzantium 395–602

tual connections (pilgrimage, relic cults) survived Persia, Constantinople refused, partly out of fear
as overarching networks [201113–123]; [220201–205, that Chosroes might use such a position to make
213–218, 223–231]; [52313–320]; [203411–417]; [108457–466]. a claim on the Roman throne (Procopius, De Bello
Traditional imperial regimes persisted in Persico 1,11,6–11 and 29 f. [4]; [32308–317]). Neverthe-
Southern China and the Eastern Roman Empire less, these long-term diplomatic contacts led to
[220219–221]; [108444–452]. The latter benefited from the establishment of a ‘shared register of universal
relatively safe location of its wealthiest provinces, monarchy’ [99123], visible in mutually comprehen-
Egypt and Syria, the strength of the fortifications sible documents and ceremonies and the adoption
protecting the new capital at → Constantinople of elements of court culture. The game of polo, for
(8.10.), and its ability to maintain the crucial flow example, which was a popular pursuit of the Per-
of resources from the imperial system. sian aristocracy, was imported to Constantinople
in the 5th century, while the Great King had a hip-
F.2. The Roman Empire and Sasanid podrome built. This ‘global visual culture of mon-
Persia as rival global powers archy’ [99125] also resonated beyond Rome and
The Persian Sasanid Empire also successfully Persia. The Chinese court also began to play polo
weathered a severe crisis in the final decades of in the 6th century, reflecting its diplomatic con-
the 5th century. Competition between Rome and tacts with the Sasanids in particular [101]; [1343 f.];
Ctesiphon for dominance in the East duly flared up [47]; [181]; [99119–121, 193–196].
again in the early 6th, this time assuming ‘global’ Another conduit beyond the immediate bound-
dimensions. Ever since the 3rd century, relations aries of the empire was offered, as indicated above,
between the two empires had amounted to an by the ‘mobile’ universal religions. The ‘conversion’
‘ambivalence of reciprocal recognition, rivalry and of the Roman emperors meant that any other rul-
mutually exclusive claims to “world domination”’ er’s adoption of Christianity could now be seen as
[99119–121, 193–196]. alignment with the Roman Empire. The Sasanids,
One aspect of this ambivalent relationship was who themselves were descended from a Zoroas-
the idea that the two powers were of approxi- trian priestly clan and relied on Zoroastrianism to
mately equal rank and hence had a special sense underpin their state, certainly saw it as such, and
of responsibility for maintaining the world order. Christians in the Persian Empire suffered several
The historian Theophylactus Simocatta (Theoph- waves of persecution in the 4th and 5th centuries.
ylaktos Simokates) quotes a letter of 589 from the Later, theological disputes led to the emergence of
Persian king Chosroes II to Maurice: ‘Ever since churches opposed to the consolidation of Roman
the beginning, God has provided that the entire ‘orthodoxy’ (the ‘Nestorians’ and miaphysites; see
world be illuminated by two eyes, that is, by above, B.3.), which the Sasanids were able to con-
the most mighty empire of the Romans and the sider loyal [157387–391]; [192137–144].
benevolent authority of the realm of the Persians. The conversion of client kings traditionally
For these two powerful empires keep down the belonging to the Persian sphere must have posed
unruly and war-loving tribes and keep the lives a particular challenge. In the Caucasus, for exam-
of the people in good order and under constant ple, the rulers of Armenia, Eastern Georgia (Iberia)
governance’ [5128]. and Caucasian Albania were baptized soon after
The idea of cooperation between Rome and the conversion of Constantine (the ‘Constantinian
Persia was also reflected in the construction of Shift’, konstantinische Wende) and the king of the
a kinship relationship between the emperor and Lazi of western Georgia eventually followed suit in
the Great King (who called each other ‘brother’ in 522. This last event triggered the outbreak of a new
their diplomatic communications). This link was war between Rome and Persia in 526. The Persians
especially likely to be invoked whenever either also saw the intervention by the king of Aksum (in
monarch sought to consolidate his domestic posi- what is now Ethiopia) in the kingdom of Himyar
tion by demonstrating his bond with the other (Yemen), assisted by ships from Roman ports on
world power. Procopius, for example, reports that the Red Sea, as a provocation. Aksum, a valuable
Emperor Arcadius formally named the Persian ally by virtue of its intermediary position on the
king Yazdegerd I (399–420) as guardian of his long-distance trade route between India and Sri
minor son Theodosius II in 408, and that Yazde- Lanka and Rome (from where exotic goods con-
gerd took on this obligation, threatening anyone tinued to find their way into Central Europe until
who undermined the rule of Theodosius with war the 7th century [65]), had been Christianized as
(Procopius, De Bello Persico 1,2,6–10 [4]). early as 324 from Egypt (while a Jewish kingdom
Such attempts at constructing kinship, how- became established in Himyar). These new ‘micro-
ever, sometimes failed. In 522, when Great King Christendoms’, as Peter Brown has called them,
Cavades I asked Justin I to adopt his son Chosroes subsequently developed their own alphabets
(the future Chosroes I) to secure the succession in as the basis for local Christian literatures [175];
byzantium 395–602 22

2
1 3
4
5
83
82
13 6 7 66
81
69
80 79
8 78 70
14
71
9 10 77 67
76 68 65
72 54
43 40º
11 60 41
75 73 61 53 42
15 12 56 52
59 55 44 40
16 62 39
74 47
51
57 48 38
63 50 46 45 36
17
58 49
37
35 35º
64
32 34
31

18 30 33

29
28
19 27
Administrative structure
(prefectures and provinces) 20 24 25 30º
of the Roman Empire, 565 23 26
Prefectural boundary

Provincial boundary 21 0 100 200 300 400 500 km

Quaestura exercitus 20º 25º 30º 22 35º 40º

Praefectura Italia 15 Numidia 28 Arabia 43 Helenopontus 58 Lycia 70 Moesia II (made part

1 Alpes Cottiae 16 Zeugitana 29 Palaestina II 44 Cappadocia I 59 Lydia of the Quaestura
2 Aemilia 17 Byzacena 30 Phoenice 45 Cilicia II 60 Bithynia exercitus in 536)
3 Venetia (et Histria) 18 Tripolitana 31 Theodorias 46 Cilicia I 61 Hellespontus 71 Thracia
4 Liguria 32 Cyprus (made part 47 Cappadocia II 62 Asia
5 Flaminia (et Picentum) Praefectura Oriens of the Quaestura 48 Lycaonia 63 Insulae (made part Praefectura Illyricum
6 Tuscia et Umbria exercitus in536) 49 Isauria of the Quaestura 72 Macedonia I
19 Libya Pentapolis
7 Picenum (Suburbicarium) 33 Phoenice Libanensis 50 Pamphylia exercitus in 536) 73 Thessalia
(superior)
8 Samnium (and Valeria) 34 Syria II 51 Pisidia 64 Creta 74 Achaea
20 Libya inferior
9 Campania 35 Syria I 52 Galatia Salutaris (II) 65 Europa 75 Epirus Vetus
21 Arcadia
10 Apulia et Calabria 36 Euphratensis 53 Galatia I 66 Bosporus 76 Epirus Nova
22 Thebaïs inferior 54 Paphlagonia
11 Lucania et Bruttii 37 Osrhoëne 67 Haemimontus 77 Macedonia II
and superior (and Honorias)
12 Sicilia 38 Mesopotamia 68 Rhodope 78 Dacia Mediterranea
23 Augustamnica II 55 Phrygia Salutaris
39 Armenia III 69 Scythia (made part 79 Dardania
24 Aegyptus I and II 56 Phrygia Pacatiana
Praefectura Africa 40 Armenia IV of the Quaestura 80 Praevalitana
25 Augustamnica I 57 Caria (made part
41 Armenia I exercitus in 536) 81 Dacia Ripensis
13 Corsica 26 Palaestina III of the Quaestura
14 Sardinia 27 Palaestina I 42 Armenia II 82 Moesia I
exercitus in 536)
83 Dalmatia

Map 1: Administrative structure (prefectures and provinces) of the Roman Empire, 565

[1451091–1093]; [39]; [207]; [73]; [218]; [187]; [208]; the defeated alliance fled west, appearing north
[209]; [17922–28, 42 f., 47–68]. of the Caucasus as the Avars in 557/58. From this
position, they made contact with Justinian. They
F.3. One final ‘global moment’ and would play a fateful role in the history of Byzan-
the end of the world order of Late tium (see above, C.7., D.1.).
Antiquity The Turks under Muqan Qaghan (553–572)
The proxy war in the southern Red Sea flared and his uncle Istemi (552–575/76) established
up again around 570, when a Persian expedition- themselves as a dominant force in the vast region
ary force marched into the Yemen and destroyed between the Caspian Sea and the borderlands of
the kingdom of Rome’s allies the Aksumites [218]; China, where the Zhou and Qi Dynasties were
[17961–86, 190–202]. This conflict again had parallels fighting for control of the north. Muqan Qaghan
in the Caucasus (where the Armenians attempted exploited this situation, extorting annual trib-
a revolt in the Persian-controlled zone; see above, utes of 100,000 balls of silk from both dynasties.
A.6.) and – because of new turmoil in Central The Turks hoped to find buyers for these gigantic
Asia – far beyond. Around 552, an alliance of supplies in the western regions of their empire.
Turkic nomads defeated their former lords, the Muqan’s uncle Istemi had entered an alliance
Rouran, who had dominated the steppes north of with the Persian Great King Chosroes I in 560,
China since the early 6th century. Some groups of and together they conquered and partitioned the
23 byzantium 395–602

Hephthalite Empire, a dangerous enemy of the quently became one of the global powers of the
Persians for over a century. This brought the city- 7th–9th centuries, along with the newly reunified
states of Sogdia, including Samarkand, into the Chinese Empire of the Tang Dynasty [201126–133];
Turkic sphere of influence. [1331–48, 57–63]; [220231–273]; [52343–360].
The Sogdians had built an extensive trade net- In contrast, for all its imperial aspirations, the
work between the Persian frontier and the great Eastern Roman Empire found itself reduced to
cities of China since the 3rd century. They now the status of an important but merely regional
proposed to the Turks that the Persian market power of the eastern Mediterranean, as existen-
could be opened up to silk from China by send- tial threats loomed over its remaining heartlands
ing an embassy to the Sasanid court. Great King of Asia Minor (from the Arabs) and the Balkans
Chosroes I, however, rejected the request. The (from the Bulgars after 680 and the Slavs). Its
Sogdians responded by suggesting to Istemi that remaining Italian possessions were threatened
they instead seek an agreement with the Persians’ by the Lombards [235]; [186]. Finally, the rise to
‘arch-enemy’. Around 568/69, a large delegation power of the Kingdom of the Franks introduced
of Turks and Sogdians travelled by the Caucasus another potential rival to the Christian Roman
and Black Sea to Constantinople, where Justin ‘ecumene’, whereas the various Germanic ‘succes-
II received them with honour. Agreements were sor kingdoms’ had previously, at least in principle,
not confined to the establishment of trade rela- accepted Constantinople’s pretentions to recogni-
tions: hoping to forge an anti-Persian alliance, the tion in the former western half of the empire.
emperor sent two return embassies to the court Maps and plans: Map 1–Map 3, Map 14–Map 15;
of the Turkic Qaghan in Central Asia [30116–126]; Plan 1; BNP Suppl. 3, 225, 233, 234, 235, 236, 237, 241
[20131–138]; [129235–249]; [10no. 13]; [198170 f.]; [123104–
148]; [23177–180]; [162140–145]. These diplomatic Bibliography
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which the fates of the empires across all the lands (325–787), edited by G. Alberigo et al., 2006 [3] F. C.
between China, the Danube, the Bosporus and Corippus, In laudem Iustini Augusti minoris libri IV,
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España Tardoantigua (ss. V–VIII). Un capítulo de his- A.1. Justin II to Phokas (565–610)
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F. Winkelmann, Die östlichen Kirchen in der problems, overcome resistance to ever-steeper tax
Epoche der christologischen Auseinandersetzungen increases and especially manage rising costs asso-
(5. bis 7. Jahrhundert) (Kirchengeschichte in Einzel-
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Jahrhunderts, 42001 [235] E. Zanini, Le italie Maurice [105], there was serious friction with the
bizantine. Territorio, insediamenti ed economia nella army, especially with the forces stationed in the
29 byzantium ca. 600–1000

Balkans, arising from the extreme conditions of A.2. Herakleios

winter campaigning and the emperor’s attempts
to curtail military expenditure, which included A.2.1. Wars up to ca. 630
pay cuts. The soldiers saw this as greed on the A.2.2. Monoenergism and monotheletism
part of a reluctant emperor who was becoming
increasingly unpopular. In 602, the troops across A.2.1. Wars up to ca. 630
the Danube accordingly rose in rebellion. Led by Phokas was deposed with little resistance, and
a subaltern, Phokas, they marched on → Constan- Herakleios was crowned the new emperor. Some
tinople (8.10.), where they acclaimed Phokas as eastern army units, however, remained loyal to
emperor [2vol. 3, 1030–1032 (Phocas 7)]. Maurice and his Phokas long after he had been deposed and exe-
family were executed in the most gruesome man- cuted. A relatively short period of civil war ensued,
ner, and the ‘Tyranny of Phokas’ ran its course for mainly in Asia Minor, Syria and Egypt.
eight years (602–610). Overall, the empire fell into an increasingly
Although Phokas appears to have been largely desolate state during these years. As resources
incompetent as a politician, his armies stood fast dwindled, it became ever more difficult to defend
against the enemy on the Balkan front. The Sasa- the empire against its growing number of exter-
nid Persians seized the opportunity to invade nal enemies, particularly in the → Balkans (15.3.),
Byzantine territory on the pretext of avenging the where the Slavs and Avars were now making
murdered Maurice, but they were unable to reap inroads [87]; [37]. After 614, the Persians occupied
the great rewards they anticipated. To this day, the Egypt and Syria (until 628/30), which caused tax
general view of the usurper Phokas is coloured by revenues to fall drastically and interrupted the
the propaganda of his successor Herakleios (610– food supply to Constantinople and other major
641). Even modern historians often accept the cities. The Persians seemed likely to conquer the
unflattering image of Phokas seemingly attested whole of Asia Minor and even posed an indirect
by the sources (most recently [77], with earlier (soon direct) threat to Constantinople itself.
literature). Byzantine Italy, meanwhile, had now become
Phokas, however, was popular in many parts fragmented. Various territories in northern and
of the empire, especially in Italy and Rome, central Italy (especially the Exarchate of Ravenna,
where Pope Gregory I had a statue and column the Doukats of Rome, Venice and several smaller
dedicated in his honour. Nevertheless, the empire realms) were still under Constantinople’s control,
was increasingly destabilized by attacks by out- but they faced a constant threat from the Lom-
side enemies (especially the Persians), ongoing bards. Since the empire could no longer send
domestic unrest fomented by the ‘circus factions’ large contingents of troops to Italy from the East,
(the ‘Blues’ and ‘Greens’, well-organized clubs these Byzantine remnants were largely left to their
that arranged horse races in the Hippodrome and own devices. A tendency towards local autonomy
participated in – usually extremely destructive – can be observed in these territories, and some
political activism) [34] and the draining effects of remained part of the empire effectively only in
the chronic economic, demographic and epide- name [31]; [32].
miological crises. When the exarch of Carthage, A joint attack on Constantinople by the Avars
Herakleios (the Elder; see [2vol. 3, 584–586 (Heraclius 3)]; and Persians was repelled in spectacular fashion
[61]; [93]), rose up against the emperor in distant in 626, contemporaries attributing this important
Constantinople in 608, it took some time for the victory to the intervention of the Virgin Mary.
new coup d’état to take effect. The exarch appears At the time (and ever since 623), Herakleios was
to have sent his son, Herakleios the Younger (who engaged in eastern Asia Minor and the Caucasus,
subsequently became emperor), to the capital in intending to take the war that had been raging for
command of a fleet, while his cousin Niketas (see years into Persian territory. The emperor invaded
most recently [92]; [2vol. 3, 940–943 (Nicetas 7)]) took the Persian heartlands from the north via Arme-
a land army via Egypt with the same destination. nia, and the armies of Chosroes II and his gener-
The notion that the two were engaged in a als (Chosroes himself was deposed and murdered)
‘race’ dominates the Byzantine historiographic tra- were defeated in a brilliantly planned campaign. A
dition. The slightest analysis of the practicability peace accord was signed in 628 (→ 15.6. The South
of such an enterprise undermines this interpreta- A.) [7no. 194]. The Persians were now required to
tion. At all events, Herakleios and his African fleet return the True Cross, which had fallen into their
reached Constantinople relatively quickly, and the hands when they conquered Jerusalem in 614.
gates were opened to him. Niketas faced consid- They had taken it east along with the patriarch
erable resistance, especially in Egypt, and did not and much of the population. The return of the
reach the capital until late 612. True Cross by Herakleios in person (630 [16with
byzantium ca. 600–1000 30

bibliography]) became a major event, reflecting the (Byzantine) emperor, to rouse himself, take con-
ideological significance of the war. trol in this acute crisis (which many Byzantines
Herakleios designed the peace agreement with saw as heralding the end of the world) and save
considerable skill. He refrained from major territo- the empire. It was without doubt with this in
rial expansion, focusing instead on restoring the mind that Herakleios and his patriarch Sergius
status quo ante. Although the long war had consid- made attempts to reach a modus vivendi with the
erably weakened the Byzantine Empire (as it had miaphysites that was acceptable to all. However,
also weakened the Persian Empire), Constantino- some leading figures in the Imperial Church (and
ple now enjoyed dominance throughout the east- various representatives of the different strands of
ern Mediterranean. To any contemporary, it must miaphysitism) vehemently rejected the ‘monoen-
have seemed that it would remain so indefinitely. ergetic’ formula.
In the Balkans, the Danube still marked the In consequence, the monoenergetic doctrine
frontier of the empire in theory, but Byzantium (of a single energy in Christ) underwent further
had long since lost control of much of the West. refinement. From this, in the 630s, emerged the
Imperial authority was only temporarily restored doctrine of the single will (thelema) in the person
whenever a sufficiently large army was sent. of Christ (who was still understood as having two
Meanwhile, the imperial treasury was in ever direr natures). This was monotheletism (→ 7.1. Doctrinal
straits, as its resources had been largely exhausted history B.2.). It must be noted that the monothe-
by the long years of war and devastation. letes and their opponents, the dyotheletes (who
followed the doctrine of two wills in Christ, one
A.2.2. Monoenergism and human and one divine), always presumed the
monotheletism Chalcedonian dogma of two natures in the per-
At the same time, the emperor’s religious pol- son of Christ. Monotheletism was thus not, as it is
icy was causing new problems for the Imperial occasionally portrayed, a ‘continuation’ of mono-
Church and the state [38]; [106]; [39]; [54]; [16]. physitism or miaphysitism [104]; [84]!
The approach to conflicts with the rival miaphy- Herakleios enjoyed some success with his reli-
site church, by now well-established, oscillated gious policy in the 630s, particularly in Armenia
between negotiation and brutal persecution, the and Egypt. Yet resistance remained undiminished
latter for instance in the reign of Justin II. As on both sides. Two figures were particularly prom-
yet, no successful compromise formula had been inent in the struggle against the state (monothe-
found. During the partial Persian occupation of lete) religious policy: Sophronius, the patriarch
the very Byzantine territories where most of the of Jerusalem, and especially Maximos Homolo-
miaphysite population was concentrated (Syria getes (‘the Confessor’), the leading theologian
and especially Egypt), the problem had faded of his day [9]. The West (especially the papacy)
somewhat into the background, but the dramatic also remained hostile to monotheletism, and the
victory over the Persians in 628 heralded another famous Lateran Council of 649 even declared the
acute phase. imperial religious policy anathema [88].
Patriarch Sergius (610–638) [106258–260], a per- Following Herakleios’ death in 641, a law (the
sonal friend of Herakleios’ and an important figure Typos) made the imperial policy of monotheletism
in many respects, worked with an assortment of universal and mandatory [7no. 225].
advisors to produce what purported to be a com- The political situation in the Near East, how-
promise formula, which later became known as ever, changed fundamentally during these unsta-
monoenergism [16188 ff.]. This theory postulated ble years. The expansionism of the Islamic Arabs
that Christ had only one ‘energy’ (energeia), in meant that the very regions inhabited by the
which both his divine and human aspects were miaphysites (especially Syria and Egypt) were now
united. under the sway of the Caliphs. It was anticipated,
It was at this point that Islam now began its however, perhaps in recollection of the temporary
seemingly unstoppable expansion, which made occupation of the same provinces by the Sasa-
agreement on a unified ecclesiastical position nid Persians a few years earlier, that the Roman
a matter of extreme urgency. Even more impor- Empire would soon regain control of these very
tantly as far as the people of Byzantium were important provinces. It took years or even decades
concerned, the string of military defeats at the to accept that this was an illusion. Imperial reli-
hands of the Islamic Arabs seemed to be a clear gious policy, albeit no longer pursued very consis-
sign of God’s wrath at the sins of Christendom tently, reached a final ‘resolution’ of the doctrinal
(which was equated with the Roman Empire). problem at the Sixth Ecumenical Council (Con-
They therefore considered it absolutely essential stantinopolitanum III) in 680/81.
for God’s representative on earth, the Roman
31 byzantium ca. 600–1000

A.3. Islam and the Arab wars and apathy, as well as a general collapse of army
morale (most soldiers being Armenian mercenar-
A.3.1. Islam ies, although the army was multi-ethnic) led to a
A.3.2. Islamic expansion series of catastrophic defeats (especially the Battle
A.3.3. The Byzantine reaction (army, of Yarmouk in 636). Severe fiscal problems ham-
administration, taxation) pered the regular payment of soldiers (→ 1.5. Public
finances and taxation), and inept defensive tactics
A.3.1. Islam further paved the way to complete defeat. Within
Islam originated in the north of the Arabian less than a decade, Syria, Palaestina, Mesopota-
Peninsula, where various forms of Christianity mia and Egypt had been lost, and the Arabs began
and Judaism had coexisted for centuries. There attacking Asia Minor in the late 640s. Byzantine
were also local Arabian religious forms whose territory was under almost annual attack until the
influence on Islam should not be underestimated 8th century. The goal of the Islamic Arabs was the
(e.g. veneration of the Ka‘ba). Mutual influence conquest of Constantinople. They knew very well
was especially strong in the commercial centres that the fall of the capital of such a centralized
of Mecca and Medina [40]. Mohammed himself state as the Eastern Roman Empire would amount
was a respected and well-established merchant to the fall of the entire empire. At the same time,
who took part in several commercial expeditions the Arabs were also constantly advancing west
northwards as far as Roman Syria. through North Africa, and they finally conquered
Syria and Palaestina were already home to sub- Visigothic Spain in 711.
stantial Arab populations – of peasants and live- The Persian Empire, meanwhile, once so
stock farmers, but also paid warriors in the service powerful, was quickly overrun and completely
of the Byzantine Empire. Over time, they formed destroyed. An Islamic Arab Empire soon formed
buffer states between Rome and the Sasanid Per- [62]; [64]; [65].
sian Empire.
In its earliest days, Islam comprised Moham- A.3.3. The Byzantine reaction (army,
med’s individual synthesis of Jewish, (miaphysite) administration, taxation)
Christian and traditional Arabic beliefs, which The gravest loss the Byzantine Empire had
he originally developed in a messianic, eschato- to weather was that of Egypt, with its enormous
logical context that had more to do with Jewish economic wealth (and accordingly prodigious tax
than Christian traditions. Islam, however, rapidly revenues). Egypt had previously been occupied for
achieved a considerable level of theoretical theo- a number of years by the Sasanid Persians during
logical reflection. the Persian Wars in the reign of Herakleios (to
Mohammed’s sermons initially met with con- 628). The province provided most of the grain sup-
siderable resistance within his own Quraysh clan, ply for Constantinople (and other major cities),
which dominated Mecca and the trade that was and the cutting of these supplies had major conse-
concentrated there (as well as the Ka‘ba, the most quences. At the same time, it must be remembered
important cult centre in Arabia). Nevertheless, he that the demographic crisis (resulting in part from
succeeded after 628/29 in taking control of most the recurrent waves of plague [24]) had drastically
of the Arabian Peninsula. His alliance with the reduced populations, particularly in the capital (cf.
Quraysh pointed the way forward for the develop- → 13.6. Epidemics B.1.), compensating for the loss
ment of fledgling Islam, both as a religion and as a of Egyptian grain in the 7th (and 8th) centuries.
system of government. The central government, particularly the financial
administration, had to be radically restructured at
A.3.2. Islamic expansion Constantinople (→ 5.2. Basic features of govern-
The death of Mohammed (which Islamic tra- ment) [22]. In view of the danger posed by the
dition dates to ad 632, although there are some permanent Arab attack, a priority was placed on
indications that it may have been later) was fol- supplying the army and recruiting new soldiers.
lowed by a period of warfare as his successors The notorious shortage of sources for this period
(the Caliphs) had to weather fight fierce battles (beginning in the 630s and 640s) makes it impos-
to secure the authority of Islam. It is generally sible to describe these changes in detail, but their
accepted today that the real motivation for the results were more clearly visible by the end of the
Islamic attacks on the Roman and Persian Empires 7th century. The Byzantine state of 700 differed
was religious fervour combined with a quest for in almost every major respect (administration,
renown, booty and new land. For the Eastern military structure, taxation etc.) from that of the
Roman Empire, which had hitherto dominated 630s. These changes were not (as often used to be
the Near East, a fateful amalgam of incompetence argued) the result of a comprehensive programme
byzantium ca. 600–1000 32

of reforms, generally attributed to Herakleios. This Phokas, then under Heraklonas ([2vol. 3, 587–589]:
theory has been decisively refuted. Rather, the Augustus in 641) and Constantine III ([2vol. 3, 349–
Byzantine government and its central administra- 351 (Heraclius Constantinus 38)]: Augustus in 641), before
tive departments at Constantinople implemented emerging in full in the first half of the reign of
a number of pragmatic decisions that together Constans II (641–668 [3#3691]).
brought about the restructuring. It can be said
that the late Roman state exhibited a remarkable A.4.2. The wars with the Islamic Arabs
capacity for innovation at the very end of its life, and their impact on the Byzantine
emerging under the pressure of events. These pro- state
cesses belie the overused image of a sclerotic Late The Eastern Roman Empire, greatly diminished
Antique society and a state in paralysis and inca- in extent and accordingly impoverished, now had
pable of change. to defend itself against a highly aggressive and
very successful new enemy on its eastern frontier
A.4. Changes after the death of (which now ran through the Taurus Mountains in
Herakleios (641) eastern Asia Minor). Available resources (recruits,
supplies, weapons etc.; cf. → 9.10. Logistics) were
A.4.1. Constans II and monotheletism greatly reduced and control of the European prov-
A.4.2. The wars with the Islamic Arabs and their inces had long since been lost. In Italy, where the
impact on the Byzantine state Lombards were steadily expanding their territo-
A.4.3. The Arabs at the gates of Constantinople ries, the Exarch resident at Ravenna was scarcely
A.4.4. The ongoing monoenergetic-monothelete able to defend the remnants of imperial authority.
controversy The consistency with which the imperial gov-
A.4.5. The West ernment of Constans II held to the monothelete
A.4.6. The monoenergetic/monotheletic dogma in part reflected the necessity of using all
controversy and the imperial monarchy possible means of authority to uphold the institu-
A.4.7. Constans II, the Typos of 648 and the tion of the imperial monarchy (→ Idea of empire
Lateran Council of 649 and emperor (1.1.)). Action had to be taken to
A.4.8. The trials of Pope Martin I and Maximos counter the argument that the empire’s devastat-
Homologetes for high treason ing defeats at the hands of the Islamic Arabs repre-
A.4.9. The last years of Constans II (d. 668) sented God’s punishment for its inability to unify
the faith and the Imperial Church. As various
A.4.1. Constans II and monotheletism sources attest, however [23], there was in practice
Constans II [3#3691] was eleven years old when little or no persecution of opponents of the official
he became sole ruler of the Byzantine Empire on monothelete doctrine in ordinary everyday life.
November 9, 641. Real power during the first years Even so, the policy deepened the conflict
of his reign was exercised by senior senators (as between the empire and the papacy and the
the senate began to resume a role it had lost in Western (Latin) Church. Growing internal opposi-
the preceding centuries; → 5.1. Central civil insti- tion was inextricably linked with this, leaving the
tutions B. [19]). Amidst general catastrophe, the empire to some extent politically and ideologically
issue of brand-new copper folleis coins was an isolated from the rest of Christendom.
eye-catching move. The coins bore the inscrip-
tion en touto nika (‘under this sign’ – i.e. the True A.4.3. The Arabs at the gates of
Cross – ‘conquer!’) and ananeosis (‘renewal’) on Constantinople
the reverse. They delivered a clear and unambigu- All these processes were unfolding against a
ous ideological message to Constantinople’s sub- backdrop of permanent Arab threat. Asia Minor
jects and neighbours: the new regime was intent came under attack almost every year during the
on restoring the empire in all its old glory [44Tl. 2, reigns of Constans II, Constantine IV (668–685
409, 411]; [15]; [21]. [3#3702]) and Justinian II (685–695 [and again
Probably buoyed by memories of the historic 705–711] [3#3556]), as it had been since the 640s
victory over the Persians in 628, people still hoped and would continue to be attacked until the first
for victory over the Islamic Arabs and the recovery decades of the 8th century (regular, if less frequent,
of the lost provinces. It would take decades before Arabian attacks continued even after this). Large
contemporaries accepted that the expansion of parts of the territory were laid waste. The impact
Islam could not be stopped at present, and that on the population, economy, culture and not least
the battle to be fought was one of sheer survival. urban life was catastrophic. Worst affected, of
As mentioned above, this complex situation course, were border areas, where a once flourish-
presented the senate with new opportunities to ing urban landscape disappeared almost entirely.
participate in important political decisions. It What urban culture remained, moreover, was gen-
had already begun to flex muscles in the reign of erally reduced to heavily fortified garrison towns,
33 byzantium ca. 600–1000

shabby shadows of former grandeur. The ultimate the formula, as did a growing number of bishops
target of all these attacks remained → Constanti- in the eastern provinces.
nople (8.10.). However, the Patriarch of Jerusalem, Soph-
Attacks on the Byzantine capital, which were ronius, vehemently opposed the formula. His
well planned and prepared, began in the 650s and resistance, especially his notorious synodal letter
increased through to 668/69 (traditionally mis- of 634 to Sergius [17635], was a major reason for
dated to 674–678 because of a misinterpretation another turning of the tide, as opponents again
of the most important source for the event, the grew in number. Although it is not known in detail
Chronographia of Theophanes) [58]. However, the how individual clerics in Syria received Sophro-
Byzantines always succeeded in repelling these nius’ harsh denunciation of imperial religious pol-
assaults. The magnificent 5th-century fortifica- icy, it is clear that he was not alone in his views.
tions of the city, which can still be viewed to this Maxim0s Homologetes and his circle warrant spe-
day, held the Arabian armies at bay. The (sup- cial mention here. Given what happened later in
posed) invention of ‘Greek Fire’, against which North Africa, it seems plausible that the religious
the Arabian fleets were powerless, also did its part. conflict in Syria drained the Syrian population of
Constantinople faced its longest and most the will to defend itself against the Islamic Arab
dangerous siege in 717/18. The Arabs suffered very invasion that soon came ([71]; [16186–224]; [5715–24,
heavy losses, weakening their offensive against 49–95, 133–149]; [19147 f.]; [84]; [9]; on the life of Maxi-
Byzantium for several years. Contemporaries were mos cf. esp. [3#4921]).
convinced that the city was lost, and even today The new patriarch, Pyrrhus (638–641; 654),
it is impossible to avoid the feeling that Constan- responded, doubtless at the urging of the emperor,
tinople ‘escaped by the skin of its teeth’ (most to the opposition of Sophronius and his followers
recently [25] with bibliography and sources). and to papal criticism of monoenergism by issu-
Had the city fallen in 718 (after an Islamic army ing a synodal decree called the Ekthesis in 638 or
had defeated the Spanish Visigothic kingdom in early 639 ([4no. 294]; date is not entirely secure).
711 and occupied the Iberian Peninsula), history The contents of the decree were probably still the
would have taken a very different turn. Western work of Sergius. It was hoped that a strict prohibi-
historiography praises Charles Martel as the ‘sav- tion on all discussion of the ‘energies’ and ‘opera-
iour of Europe’ because of the Battle of Tours (or tions’ of Christ would put an end to the conflict.
Poitiers) against the Hispanic Arabs in 732. If such Harsh penalties were threatened for violating the
a title is to be bestowed at all, it should surely be ban. At the same time, however, yet another com-
given to Leo III (717–741 [3#4242]). promise was being prepared, this time based on
the concept of the single ‘will’ (thelema) in the
A.4.4. The ongoing monoenergetic- person of Christ.
monothelete controversy However, this ‘monotheletic’ attempt to find a
The reign of Constans II was overshadowed by universally acceptable solution failed. The Ekthesis
problems inherited from his grandfather Herak- instead intensified the conflict, strengthening the
leios. First among these was ongoing controversy opposition and ultimately even provoking at least
over monoenergism and monotheletism, which two attempts to depose the reigning emperor. The
converged with debates on the ‘true’ faith in the heart of the anti-imperial opposition appears to
face of the greatest challenge to the empire in liv- have been the patriarchate of Jerusalem.
ing memory, the relentless attacks by the Islamic
Arabs. Even before those attacks began, Herak- A.4.5. The West
leios and his patriarch Sergius had begun a quest As many monks and clerics fled west from
for a doctrinal formula that would make it pos- Palaestina and Egypt (often via North Africa [Car-
sible to unite the miaphysite and dyophysite com- thage] to Rome) ahead of the Arab advance, they
munities (see above,  A.2.2.; most recently [84]). swelled the ranks of the opposition to the emper-
The theological doctrine of monoenergism stated or’s monotheletic formula in the Church of the
that only one ‘energy’ (energeia) was at work in Latin West.
the person of Christ. The patriarch of Constanti- Maximos Homologetes took the lead among
nople refined this doctrine in the late 620s. Some these Greek clerics in the West. Maximos was one
parts of the Eastern Church received the new for- of the most erudite theologians of his day, and he
mula positively at first, and it formed the basis on maintained an extensive network of followers and
which the Armenian Church (albeit under heavy correspondents. These included not only many
imperial pressure) and some leading lights of the leading churchmen and monks, but also high-
Syrian Church accepted union with the Imperial ranking civil servants and military officials (cf.
Church at Constantinople. The miaphysites of his letters and theological writings dedicated to
Egypt (especially the Theodosians) also accepted members of his network: [17697 (1–26), 7699 (45 letters),
byzantium ca. 600–1000 34

7700–7703 etc.]). He probably even had close contacts Arabs in the late 7th century, Byzantine North
with the imperial family, dating back to the years Africa is ‘invisible’ in the surviving sources [65].
618/28, when Palaestina and Egypt were occupied
by the Persians and Maximos was in North Africa. A.4.7. Constans II, the Typos of 648 and
The first wife of Herakleios, Fabia, was a member the Lateran Council of 649
of the North African aristocracy. Constans II, at the behest of Patriarch Paul
(II [3#5763]), issued an imperial law generally
A.4.6. The monoenergetic/ known as the Typos in 648 [7no. 225]. Its aim was
monotheletic controversy and the to strengthen the emperor’s authority. The law
imperial monarchy banned all discussion of whether there were one
The imperial government was not alone in see- or two wills, or one or two energies, inherent in
ing the theological positions of Sophronius and Christ. The Ekthesis (see above, A.4.4.), issued just
Maximos as an attack on the entire political sys- a decade before, was repealed and removed from
tem. The logical implication of their argument was, the narthex of Hagia Sophia, where such laws were
after all, that a community of righteous faith could publicly exhibited. Anyone acting in breach of the
exist independent of the Roman state. Such views Typos faced harsh penalties. Even so, all these
were diametrically opposed to the hitherto gener- measures were in vain.
ally accepted ideology of the emperor and empire, The Lateran Council held in Rome in 649 [88],
according to which the Roman state (represented prepared by Pope Theodore I (d. May 14, 649;
by the institution of the emperor) and orthodoxy the council was held between October 6 and 31,
(represented by the orthodox Imperial Church) 649) and Maximos Homologetes with his Greek
were identical. Such an attack on this core tenet monks, was chaired by the new pope, Martin I.
of → the Byzantine view of the state (2.1.) called The 105 bishops who signed the acts of the coun-
the state and monarchy into question – and did so cil condemned the Ekthesis and Typos and the
in a period when crushing defeats at the hands of Patriarchs Sergius, Pyrrhus and (the incumbent)
the expansionist Arabs were being suffered almost Paul. Although the emperor was not mentioned
yearly [7no. 211, 215]; [57]; [16151–154]; [106]; [20]; [104]; by name, it was clear to all that the rulings of this
[3840–92]. council were directed against his authority. The
As opposition to the official ecclesiastical council acts were distributed east and west from
policy grew, it appears (although the evidence is Rome. The Lateran Council of 649 remains unique
retrospective) that a considerable number of neo- in the history of Christian synods, because the
Chalcedonian congregations in northern Syria and bilingual council acts were written (in Greek and
Palaestina were falling into line on the monothe- Latin) before (!) the actual council was convened
letic formula – despite the arguments of Soph- and before its participants had even gathered at
ronius and his followers. This may explain the Rome. Yet they still signed them. The authors
continuing adherence of Constans II and his advi- were Maximos Homologetes and a number of
sors to the monotheletic policy [2967–71]; [106164, other Greek monks, all of whom then took part in
168 f. with nos. 163, 169]. Meanwhile, several local syn- the council. These Greeks in Rome were far more
ods were held in North Africa (in the first months highly educated than the Latin clerics, and they
of 646), associated with Maximos Homologetes’ went on to dominate theological and ecclesiasti-
opposition to the imperial religious policy. These cal political events for several decades [106125–127
synods even went so far as to condemn that policy. (no. 110)]; [7no. 225]; [8859–68].
The banished (monotheletic) patriarch Pyr- Constantinople could not ignore an action in
rhus – one of the least agreeable figures among the defiance of imperial policy like the Lateran Coun-
participants – was humiliated by the erudite Maxi- cil. Olympius, the exarch of Ravenna [3#5650], was
mos in a public debate at Carthage, chaired by the ordered to arrest Pope Martin and compel the
exarch Gregory (‘the Patrician’) [17698]; [3#2345]; western episcopate to recognize the Typos. Like
[2vol. 3, 554 (Fl. Gregorius 19)]. It was probably the sup- Gregory in North Africa a few years before, how-
port of the North African episcopate, together ever, the exarch decided to rebel and have himself
with the pope and Maximos Homologetes and his proclaimed emperor instead. He could certainly
followers (especially in Rome), that emboldened count on papal support. Martin himself adminis-
the exarch to rise up against Constans II in distant tered the oaths of loyalty to the ‘new emperor’ to
Constantinople in 646/47, and have himself pro- the Italian troops. Sadly, the sources are too thin
claimed emperor. This attempted usurpation was to establish the real intentions of Olympius and
short-lived, however, as Gregory was killed by the those behind him. It should also be remembered
advancing Arabs at the Battle of Sufetula in 647. that he was a eunuch, like most of the Exarchs of
Imperial authority in North Africa was restored Ravenna, and this would at the very least have
when the Arabian army withdrew to Egypt, but hampered him in ruling as emperor. It seems
from this point until its final conquest by the more than likely, however, that he was entirely an
35 byzantium ca. 600–1000

instrument of the papacy, which in turn was domi- anti-imperial propaganda. A second trial there-
nated by Greek monks and Maximos. fore took place in 662 in the form of a synod [4no.
Constantinople was hardly in a position to 306], and its outcome was considerably worse for
respond with military force, with the empire Maximos (and the two Anastasii). Maximos was
embroiled in defending itself against the Arabs, sentenced to mutilation (removal of right hand
whose attacks had spread to Cyprus and else- and tongue) and he lived out the rest of his life in
where, and who were even threatening the capital a fortress named Schemarion in the Caucasus [19];
itself. Olympius’ aims, as remarked above, cannot [88]; [16]; [106150–152 (no. 148 f.)]. The imperial gov-
be known. What is certain is that he moved into ernment was reacting here to actions it could only
southern Italy, probably hoping to take control of possibly regard as high treason. In the particular
Sicily. The island had so far been largely spared context, the outcome was foreseeable, not least to
Arab attacks, and its economy was flourish- Maximos, who probably hoped for martyrdom.
ing (and thus producing plentiful tax revenues).
According to a Roman source, Sicily was now A.4.9. The last years of Constans II
under threat from an Arab fleet, which the rebel (d. 668)
exarch intended to confront. Whatever the truth The patriarchs of Constantinople and Antioch
of the situation, Olympius and his army fell victim (both of whom had resided in the capital since
to an outbreak of the plague. Just as the Arabs had the latter’s seat fell under Arab occupation) [19]
eliminated the usurper Gregory in North Africa, so firmly supported the official religious policy, but
disease now did the same for Olympius. Naturally, Rome continued its implacable opposition to
there were those who saw all this as the work of monotheletism. Even the election of Pope Eugene
God in support of the emperor [61163 f.]; [57278 f.]; by the Roman clergy (doubtless with Constan-
[3#5650]. tinople’s permission) in 654, to replace the still-
The reign of Olympius remained no more than living, exiled Martin I, did nothing to change this.
an interlude, and in June 653, Theodore Calliopas During his trial in 655, Maximos was told that
[3#7295], who had been exarch of Ravenna between the entire Church – including Rome – was now
643 and ca. 645, returned to the city to take com- united and only he was on the outside. If this
mand of the remaining Byzantine forces in Italy. was ever true, however, it did not remain so for
His first official act was to arrest the pope, whom long. Information had reached Italy (and Sardinia)
the government in far-off Constantinople regarded regarding the real nature of Maximos’ trial, and
as guilty of high treason. Eugene found himself with no alternative but to
reject the synodical letter of the new patriarch of
A.4.8. The trials of Pope Martin I Constantinople, Peter [3#5941]. Although Maximos
and Maximos Homologetes for high still refused to bend, the government was now in
treason a position to enforce its policy. Resistance, in any
The detained pope arrived in Constantinople case, was insignificant.
in December 653 and faced the prospect of trial Analysis of these events, however, raises a
for high treason. Given the realities of Roman number of questions regarding the authority of the
law, this trial was a fair one: the pope’s support emperor and the relationship between faith, doc-
for (and perhaps even manipulation of) Olym- trine, the secular imperial state and its rulers, the
pius’ rebellion in itself fulfilled the definition of emperors. The role and function of the emperor
the offence. It was no surprise, therefore, when he as God’s surrogate on earth had been undermined
was convicted. Martin was sentenced to exile in (although not yet denied), while Constantinople’s
the Crimea (Cherson) – blessed with an agreeable insistence on monotheletism also attested to
climate. He died there in 656, while a new pope government fear and uncertainty regarding the
had long since been elected at Rome. emperor’s authority. Almost all the provinces of
The trial of Maximos Homologetes and his two the empire where the miaphysites were a signifi-
students, both called Anastasios (Apokrisarios and cant force had been under Arab occupation since
Monachos) [3#238 (Anastasios Apokrisiarios), #237 (Anas- the 640s, but, as discussed above, it would be
tasios Monachos)], followed in 655 and proceeded in decades (the 680s) before Constantinople grasped
identical fashion – even the officers and staff of the fact that these losses were not temporary
the court were the same. Efforts were made to [39106–110]; [53255–259]; [8877–83]; [46304–312].
prevent the trial from descending into theological Some leading courtiers and military officers
debate, and the focus was ultimately restricted to certainly harboured doubts about the imperial
the clearly political aspects of Maximos’ actions policy. The brother of Constans II, Theodosius
against the emperor. Considerable time and effort, [3#7797], may have become involved in an anti-
however, were spent on trying to persuade Maxi- monotheletic conspiracy that aimed to depose
mos to reconcile with the Imperial Church, but he the emperor. The sources are not particularly
remained stubborn and even continued issuing clear, but it is certainly striking that Constans
byzantium ca. 600–1000 36

had his son Constantine crowned co-emperor in of his closest advisors) continued later when he
654 [3#3702], and that he also had imperial titles had assumed personal power. This was again
bestowed on his two younger sons, Herakleios symptomatic of a failure to recognize the dramatic
[3#2556] and Tiberius [3#8484], in 659. This appears changes that the expansion of Islam had brought
to have been a deliberate strategy to exclude the to the world of the Near East for what they were.
emperor’s brother from the succession. Theo-
dosius was then killed, no doubt on the instruc- A.5. Constantine IV and Justinian II
tions of Constans, shortly after the elevation of
his nephews. The assassination provoked riots in A.5.1. The Sixth Ecumenical Council
Constantinople, although they cannot have been (Constantinopolitanum III)
overly threatening, for the emperor now left the A.5.2. Justinian II (685–695; 705–711): the struggle
capital. against the Arabs
In 662, as the military situation on the eastern A.5.3. The political situation ca. 700
front seemed sufficiently under control, Constans, A.5.4. Notes on army structure
his entire court and a sizeable army went to Italy.
The purpose of this western expedition, which A.5.1. The Sixth Ecumenical Council
ended with the establishment of a second capital at (Constantinopolitanum III)
Syracuse, was probably to consolidate the empire’s Constantine IV (668–685) was without doubt
remaining western possessions (especially Sic- one of the most important Byzantine emperors.
ily, Southern Italy and North Africa) that had so He worked vigorously to stabilize the political
far escaped the ravages of the devastating wars situation, making full use of the years of breath-
with the Arabs. The administration of the empire ing space won in a truce with the Arabs that
from Syracuse, however, was short-lived. Constans was signed in 677/78 [7no. 239]. Treaties were also
was murdered in 668. Troops of the exarchate of signed with the Lombards and Avars at around the
Ravenna and Constantine IV, Constans’ eldest son same date [7nos. 240 f.]. The emperor now had time
and successor, suppressed the usurpers at large in and opportunity to come properly to grips with
Sicily. The pope supported Constantine, heralding the monotheletism crisis in the Imperial Church.
a slow reconciliation between Rome and Constan- This necessitated calling a sixth ecumenical coun-
tinople. The empire’s centre of gravity shifted east- cil. The first task facing this council (Constanti-
wards once more, and the brief experiment came nopolitanum III), held in 680/81, was to revoke
to an abrupt end. both monoenergism and monotheletism in order
Assessing the achievements of Constans II is not to restore the ecclesiastical and political unity of
straightforward. He conducted a policy of aggres- the empire. A long letter was sent to the pope in
sion towards the Islamic Caliphate, motivated no 678 [7no. 242], initiating negotiations to prepare for
doubt by the hope of reversing the momentum of this council, which was thus an initiative of the
the catastrophic situation. The dramatic events emperor. Constantine’s main aim was no doubt to
of the early 7th century, when Herakleios defeated put an end to the relative ideological and politi-
the Sasanid Persians after long years of war, will cal isolation of the empire. Former good relations
still have been vivid in the collective memory. with the papacy were to be restored.
Many of those living in Constantinople will have Constantinople was ready to pay a heavy price
remembered those wars, particularly Herakleios’ for this. The former patriarchs of Constantinople
campaigns in the Caucasus, from where he ulti- (Sergius, Pyrrhus, Paul) and the former patriarch
mately struck southwards into Persia to win his Cyrus of Alexandria were all anathematized. The
final victory. patriarchs of Antioch (in particular the still-living
Constans’ attempts to find allies and establish Macarius, who was deposed during the council
client states in the Caucasus, however, were fruit- and incarcerated at Rome) [3#4670]; [20] were
less. Likewise, his project to put the defence of the also condemned. Rome, on the other hand, ‘only’
empire in the west and North Africa on a firm foot- had to accept the condemnation of Pope Hono-
ing by moving to Syracuse proved unsuccessful. rius (625–638). Eighteen sessions were held, some
His insistence (or that of his advisors) on the presided over by the emperor in person, though
monotheletic doctrine – and in this respect too he his attendance was interrupted by a war against
may have been seeking to follow the example of the Bulgars, who were busy establishing their own
his grandfather Herakleios – alienated the papacy empire in the → Balkans (15.3.) [108].
from Constantinople and created problems at The fact that this council was held is surely also
→ court (1.3.), in parts of the populace of the capi- a sign that Constantine IV viewed the schism in
tal and even in the imperial family. the Church, which had ultimately been caused by
The issue of copper folleis with the motif of his own father, as weakening his position as the
ananeosis (see above, A.4.1.) in the first years of righteous emperor and defender of the faith, thus
his reign (when actual power was in the hands undermining his political and theological author-
37 byzantium ca. 600–1000

ity. At the same time, the change of direction must in a position to meet Arab armies in the field and
be assumed to have kindled some opposition at achieve something approaching parity.
court and in the army. There seems no other Before this, Byzantine resistance to the per-
explanation for the deposition and mutilation of petual Arab attempts at occupation succeeded
Constantine’s younger brothers Herakleios and by means of a kind of ‘partisan warfare’ (ambush
Tiberius – probably while the council was still and flight), supported from heavily defended key
underway. Unexpected defeat at the hands of the positions, in preventing the Arabs from establish-
Bulgars may also have turned soldiers and officers ing themselves permanently in Asia Minor. The
against the emperor. In such a situation, the two Romans were able to use regional geographical
imperial brothers would have posed too great conditions to their advantage. The Taurus and
a threat (by simply being alive), so Constantine Antitaurus Mountains functioned as a natural
had them eliminated. The officers of the protest- frontier stronghold. The few passes were well
ing troops (probably the thema of Anatolikon) known and could be controlled and defended –
were arrested and executed, and the soldiers were although in the end this could not prevent Arab
ordered back to their bases. bands from launching very frequent raids into
Monotheletism still had adherents even after Asia Minor. The climate, with its cold winters, was
the Sixth Ecumenical Council. Congregations in also alien to the Arabs.
northern Syria, now outside the empire, seem to
have remained loyal to it. There were also many A.5.3. The political situation ca. 700
individuals in the empire, including some in the One of the most important results of the dra-
military, who continued to espouse it for some time matic redrawing of the political map of Byzantium
[26]; [7nos. 244 f., 247 (see also nos. 248–250)]; [29]; [30]. during this period was that the empire now found
itself reduced to its ‘dyophysite regions’. From now
A.5.2. Justinian II (685–695; 705–711): the on, the subjects of the Byzantine emperors were
struggle against the Arabs ‘orthodox’, i.e. adherents of the Imperial Church,
Constantine’s son Justinian II [3#3556] main- which always saw itself as ‘correct’ (Greek orthos)
tained a degree of stability at first, but then fell in its ‘opinion’ (doxa). The majority miaphysite
victim to his own very unwise policies. Unneces- populations of the eastern provinces were now
sary defeats to the Arabs and an unpopular fiscal lost to the empire and outside it. The Byzantines
policy led to his deposition in 695. He succeeded regarded these (with the exception of the Mel-
in regaining the throne in 705, after a decade in kites) simply as heretics, while the miaphysites
which emperor followed emperor in a rapid suc- naturally returned the compliment. To them, the
cession of coups that pitched the institution of devastating defeats inflicted on the Romans by the
the imperial monarchy into deep crisis. Justin- Arabs came in consequence of the cacodoxy of
ian’s policies after his restoration, however, were the emperor and empire.
driven by vengeance and irrationality, and he was These circumstances also reinforced the (long-
deposed again in 711. This internal chaos contin- standing) tendencies towards stabilization and
ued until a general took power as Leo III (717–741 consolidation in the Imperial Church and its
[3#4242]). Leo’s great accomplishment was repel- hierarchies. ‘Imperial’ became synonymous with
ling the great Siege of Constantinople in 717/18 ‘orthodox’, and the qualification ‘Greek’ was also
(see above, A.4.3.). His successful economic usually added. The population thus gradually
policy also laid the foundations for the convales- began to see the (Christian) empire as eastern and
cence of the imperial economy that began in the ‘orthodox’, and the imperial government exploited
8th century. this to fan opposition to external cultural or politi-
Arab policies and strategies with regard to Byz- cal influences. This was of great significance in the
antium varied over time, and Byzantine-Arab rela- Byzantine responses to the economic and cultural
tions passed through a number of phases. Until the challenges that began to come from the west in
decisive Arab defeat in 717/18, Byzantine resistance the 8th century; by the 11th century at the latest, it
had mostly been passive. The empire contented was vital to the position of the empire.
itself with keeping hold of its local centres, which The Balkan front remained crucial to the con-
were now well fortified, and avoiding meeting the tinuing survival of the empire. The Danube contin-
Arab armies directly [73]; [49]. Where imperial ued in theory to form the northern frontier, even
armies enjoyed success, they did so thanks to the in the turbulent 660s and 670s, but in practice,
appointment of able commanders, and especially the large Slavic tribes could only be compelled to
by exploiting internal Arab divisions. The latter submit by the immediate presence of Byzantine
was the case, for example, in the 680s and early troops. As soon as the army departed, the Slavs
690s, when Justinian II succeeded for a time in again seceded from the empire.
winning victories on the eastern frontier. Not until The situation in the Balkans changed dramati-
the 720s, in the reign of Leo III, were the Romans cally in 679 (and over the years that followed). The
byzantium ca. 600–1000 38

nomadic Turkic Proto-Bulgars, whom the Khazars paganda’ against the veneration of sacred images
had driven from their pasturelands in the Volga exacerbated hostility [27]; [89]; [90]; [91].
region, now reached the Danube. Their Khan, The quarrels over monoenergism and mono-
Asparuh [3#654], asked Constantine IV for per- theletism can be seen as the last act in the Chris-
mission to cross the river to seek ‘protection’ in tological controversies of the early Church, but
Roman territory. The Danube indeed functioned the dispute over images in churches possessed a
as a boundary in a sense, even though the Balkans quite different character. The famous Canon 82 of
had long slipped from the direct control of the the synod (called Trullanum or Quinisextum) held
Byzantine state. The river itself was navigable and in the palace of Constantinople in 691/92, which
remained under the control of the Roman fleet. banned the depiction of Christ in the form of a
The Bulgars’ request was denied, and when they lamb, marked the beginning of a series of new
crossed the Danube anyway, the Byzantine Empire debates ([3363]; on the Trullanum see esp. [83];
mobilized an army. Commanded by the emperor [8277–84]).
himself, it set off northwards from Constantino- The question of the permissibility of depict-
ple. This took place during the Sixth Ecumenical ing Christ (and Mary, the theotokos/‘[she] whose
Council and explains the emperor’s absence from offspring is God’ and the saints) surfaced again
a number of sessions. during the reign of Leo III. The emperor himself
Despite initial successes, the campaign ended came to the conclusion that worshipping the
in a decisive defeat. Over the two decades that fol- image of Christ and the saints was idolatry. How-
lowed, the Bulgars established themselves south ever, whereas the kanones of the Trullanum had
of the Danube and built their own state, subju- been prepared in close cooperation between the
gating the Slavs and other groups already settled emperor and the patriarch, this was no longer the
there. The Bulgar Khanate was an important polit- case by Leo’s reign, and Leo was either unwilling
ical and military force in formerly Byzantine terri- or unable to enlist Patriarch Germanos [3#2298]
tory for three centuries after 700 [98]; [108]. or to win him over to his ‘iconoclastic’ version of
religion. In 730 (?), when Leo decided to impose
A.5.4. Notes on army structure his views on the Church [7no. 294], Germanos stub-
Despite misadventures of this kind, the first bornly refused to sign the document in question,
half of the 8th century saw a gradual revival in and in the end either abdicated or voluntarily
the empire’s military strength, and the border retired. This did not mean, however, that the
with the Arab Caliphate along the Taurus and emperor was without supporters among the epis-
Antitaurus was consolidated. New administrative copate and the clergy. A few years before, a num-
mechanisms were also implemented in the fiscal ber of Anatolian bishops, including Constantine
and military administration. These developments, of Nakoleia [3#3779], had taken a consistent stand
which ultimately had their roots in the frustra- against the veneration of sacred images. Although
tions of the 640s, took effect gradually. There were no concrete evidence appears in the sources, it
no impulsive, hasty reforms (and certainly no may be assumed that the emperor was in contact
broad reform programme designed by Herakleios), with such clerics.
but rather a plethora of individual measures aris- There was also opposition to this ‘new’ impe-
ing from specific political and military situations. rial policy. John of Damascus, for instance [3#2969],
What emerged now was the structure scholars another Palestinian monk (and therefore living
formerly, and somewhat inaccurately, called the and writing outside the Byzantine Empire), wrote
‘theme system’. several theological treatises against it. And Pope
Gregory III (731–741 [3#2523]) not only now refused
A.6. Leo III, Constantine V and the to sign imperial documents, but also convened
first phase of the Iconoclasm a synod explicitly to denounce the emperor’s
new policy. In contrast to the age of Maximos
A.6.1. Outbreak of the Iconomachy Homologetes and Pope Martin I (see above,  A.4.),
A.6.2. Constantine V however, opposition to the emperor failed to join
forces, essentially because of the increasing politi-
A.6.1. Outbreak of the Iconomachy cal fragmentation of the Mediterranean world.
The reign of Leo III (717–742) brought new The real causes of the controversy over ‘icons’
estrangement between Constantinople and Rome, are far less obvious than was generally believed
this time chiefly caused by disputes over fiscal a few decades ago. The key question of whether
policy. The conflict originally had nothing to do Christians were permitted to use and venerate
with iconoclasm (also known as the ‘Byzantine images of Christ or Mary was certainly being asked
Iconomachy’; Greek: eikonomachía; → 7.1. Doctri- with increasing frequency by the late 7th century,
nal history C.), but rather Constantinople’s ‘pro- and ‘iconoclasts’ were answering it with a resound-
39 byzantium ca. 600–1000

ing ‘no’. Traditionally, in a view influenced in part a more radical policy of iconoclasm. The claim
by the iconophile propaganda of the ultimate ‘vic- (made much later) that Artabasdos explicitly
tors’, who rewrote the history of the controversy in fought for the cause of iconolatry also proves to
their own favour, it was thought that massive per- have been misinformation put about by iconodule
secution took place, countless steadfast defenders historians. But when a devastating wave of plague
of icons were executed and martyred (often, of (the last recorded before the mid-14th century;
course, monks; see above,  A.4.5.–A.4.7.) and many → 13.6. Epidemics B.) hit the empire in the sec-
icons were systematically destroyed. ond half of the 740s [24], discussion began over
Such stories, however, are grotesque exaggera- how one should interpret the catastrophe, and
tions or simple inventions. Leo III himself seems the emperor took part in them. Was the plague
to have been a rather mild critic of iconolatry. His punishment by God for the excessive veneration
son Constantine V (741–775), who took a deeper of images?
interest in the theological problems of icon ven- In the end, a synod was convened for 754
eration, did not take serious action against it until [7no. 314a] with the aim of resolving the icon ques-
the eighth year of his reign. It must be empha- tion. It clarified the theological positions and
sized once more that there is no incontrovertible collected or formulated arguments against icono-
evidence in the sources that icons were physi- latry. Usually called the Council of Hiereia today
cally destroyed. The fact that efforts were made (after the imperial palace on the Bosporus where
to remove icons in churches from places where it was held), it styled itself the Seventh Ecumeni-
the faithful could reach and venerate them and cal Council, which on closer inspection it was not,
to locate them securely where they could not be given that an ecumenical council by definition
‘falsely’ worshipped, does not mean that icons required the presence of representatives of the
were physically destroyed en masse. other patriarchates (Rome, Antioch, Alexandria,
Whatever the truth of the outbreak of the Jerusalem). Constantine V refrained from inviting
Iconomachy and its subsequent course in the them, knowing full well that it was impossible for
reign of Leo III (and his son Constantine V), it them to attend. The council now known as the
must be stressed that Leo was a very competent Seventh Ecumenical Council did not take place
soldier and an important statesman. Under his until 787 at Nicaea (Nicaenum II). The historical
rule, the Byzantine Empire, so humbled in the memory of later, iconodule generations (moulded
7th century, began its economic, military and not least by the clergy and monastic orders) saw
political recovery. Constantine as a fanatical persecutor of icons
and iconodules, and especially as an enemy of
A.6.2. Constantine V the monks. He was said to have had entire mon-
Constantine V, who was also a capable military asteries burned to the ground, turning churches
leader and very popular with the people, not least into stables and ordering countless other actions
thanks to his victories over the Bulgars, continued against the Church and its institutions and facili-
his father’s policies. He restored Byzantium to the ties. Detailed and unprejudiced analysis of the
status of one of the leading powers of the eastern sources for these stories debunks them all as his-
Mediterranean and Balkans. torical propaganda by later iconophiles or, at the
In the last year of the reign of Leo III (740/41), very least, as misinterpretations of events of the
a law code called the Ekloge (‘Selection’) came into distant past. There is no proof that icons were
force (→ 4.3. Legislation B.3.). This was a concise destroyed or that monks were subjected to general
and handy law code compiled from the elements persecution; in all probability, no such things ever
of Justinianic law and references to the moral happened. Nor is there any reliable evidence that
concepts of the Old Testament (via canon law), the populace was divided into implacably hostile
thus reflecting the ideological perceptions of the camps. Naturally, there were supporters of the
period. iconodules and iconoclasts in the ranks of erudite
The accession of Constantine V, however, was theologians, the clergy and monks. But Constan-
jeopardized by a dangerous attempted usurpa- tine V was very popular in the army, and so too
tion. Constantine’s brother-in-law Artabasdos as a result was his policy. The theological dispute
[3#632], one of the closest friends and confidants left the mass of the population largely unmoved.
of Leo III, made his own bid for the imperial A few individuals in the government or at various
purple. Although Constantine initially had to monasteries opposed the official policy against
cede Constantinople and much of Asia Minor to icons, but these made their appearance only later,
his opponent, he succeeded in recapturing Con- in the reigns of Leo IV, Irene and Constantine VI
stantinople after more than 18 months of fighting, (see below, A.7.).
securing victory and the throne. The sources offer The controversy over the role of images, how-
no evidence that Constantine now embarked on ever, always also had a political dimension. This
byzantium ca. 600–1000 40

became particularly clear in 780 following the the post. But this procedure was in flagrant disre-
accession of the empress Irene [3#1439]. It is clear gard of canon law, which prescribed long intervals
today that the formulation of a genuine theology between these consecrations.
of icons, which would become so important in the Another issue, and one that was always impor-
later history of orthodoxy, dates only from this tant in Byzantium, was that there was no prec-
period, and especially from the Seventh Ecumeni- edent for such an appointment. The only instance
cal Council of 787 and its aftermath. of a layman being raised to the rank of patriarch
Although Constantine’s place in history has had come by order of the notoriously erratic
superficially been determined by his iconoclasm, Justinian II. The elevation of Tarasios, however,
his real historical significance lay elsewhere: in the itself now set a precedent. Irene’s successors,
refinement of the ‘theme system’, with concomi- Nikephoros I Logothetes and Leo V, also handed
tant administrative reforms and the creation of a responsibility for the Imperial Church to their
field army of elite soldiers, the tagmata, stationed protasekreteis, (Saint) Nikephoros (806–815) and
at Constantinople (→ 6.5. Tactics). Changes to the Theodotos (815–821) [3#5301, #7954]).
system of taxation brought increased revenues and The new policy had a profound impact on the
replenished the treasury (→ 1.5. Public finances ecclesiastical establishment. In particular, the
and taxation; → 5.3. State budget). The emperor rights of the permanent standing synod respon-
seems to have taken a responsible attitude to the sible for the patriarchate of Constantinople (the
increased funds now at his disposal, as evidenced endemousa synodos) were infringed. The synod
by his prudent approach to campaigns against the had traditionally proposed a shortlist of three can-
Bulgars and in the east against the Islamic Arabs. didates for the patriarchal throne, one of whom
His frequent expeditions into the Bulgar heart- would then subsequently be selected. The candi-
lands almost destroyed their state, despite fierce dates tended to be figures from the clergy of the
Bulgar resistance. central patriarchal administration or the adminis-
In the east, Constantine launched a num- tration of Hagia Sophia. The change in procedure
ber of assaults on key Arab fortresses and finally instigated by Irene was without doubt the result
achieved military parity with the Arab army. All of a combination of political and religious factors.
this had a highly beneficial effect on the domes- Irene had faced battles with opposition forces
tic economy (and demographics). After almost a ever since her accession, and her plan to make the
century and a half of destruction and plunder by veneration of ikons official state policy represented
the Arabs in Asia Minor, the peace that the land a drastic political shift. Under the circumstances,
needed in order to recover had now been achieved she needed a patriarch by her side who was able
[3369–247]. to represent and implement the new theological
direction within the Church, and who was, at least
A.7. Leo IV and Irene as importantly, utterly loyal to her.
Initially, senior clergy acquiesced. But when
A.7.1. Preparations for the Seventh Ecumenical the empress and patriarch decided (in 786) to
Council (787) convene a general, ecumenical council to settle
A.7.2. The Seventh Ecumenical Council (787) and the icon question permanently in their favour,
its historical context resistance broke out. Tarasios invoked → canon
law (4.2.) to threaten the bishops who were agitat-
A.7.1. Preparations for the Seventh ing against him with sanctions. The opposition of
Ecumenical Council (787) many bishops, and especially of the soldiers of the
Constantine V died on campaign in 775, and his tagmata, who remained loyal to their hero Con-
son succeeded him as Leo IV (775–780 [3#4243]). stantine V, made it impossible to open the synod
Leo continued his father’s policies, but did not in Constantinople in 786. The iconoclast soldiers
live long enough to make his own mark. After his and bishops celebrated what they believed to be
death in 780, his widow Irene (780–802 [3#1439]) a victory. But these events really represented a
initially acted as regent for her minor son Con- collision of the patriarchate and the episcopate,
stantine VI [3#3704]. This regency radically broke each of which pursued different interests. None-
with the existing imperial religious policy, as Irene theless, these events at Constantinople offer the
abandoned her predecessors’ hostility to the ven- first case in which a substantial number of bishops
eration of icons. Indeed, the empress did every- defied the emperor (and his mother Irene) and
thing in her power to make iconodulism the new the patriarch (apparently with the support of the
state doctrine. She appointed Tarasios, the head of tagmata, founded and unfailingly supported by
the imperial chancellery (protasekretis), as patri- Constantine V).
arch in 784 [3#7235]. Tarasios was a layman and The fact that Tarasios’ elevation to the patri-
therefore had to be hastily ordained lector, dea- archate broke ecclesiastical law helped the icono-
con and priest in order to make him eligible for clasts in their argument that he (and Irene) were
41 byzantium ca. 600–1000

seeking to make heresy the official doctrine of the not least by introducing a financial system built
empire. The participation of laity, especially the around the provincial structure known as the
military, in support of the iconoclastic resistance thema, which entailed that soldiers should be sup-
indicates the political dimension of the policy ported and financed by their own (village) com-
change the empress was pursuing. Although the munities (→ 6.3. Strategy B.).
rebels’ aim was to force Irene to abandon her Although Nikephoros enjoyed initial military
political initiative, the threat of deposition always success, he took personal command of a campaign
loomed in the background. deep into Bulgar territory that ended in a cata-
strophic defeat at Pliska in 811. The emperor him-
A.7.2. The Seventh Ecumenical Council self and many of his leading officers were killed,
(787) and its historical context and the Byzantine army suffered severe losses.
Unsurprisingly, what was a political crisis was Nikephoros’ son Staurakios succeeded him
resolved by political means. The rebel soldiers were (811 [3#6866]), but since he had suffered grievous
dispersed across the country in small groups and wounds during the Bulgarian campaign, he was
their leaders punished later. The bishops involved forced abdicate in favour of his brother-in-law
were threatened with removal from office, and Michael I (Rhangabe; 811–813 [3#4989]). Michael’s
hence with the loss of their incomes. No real theo- reign was dominated by violent battles with the
logical discussion took place [33248–294]. ever stronger Bulgars under their khan Krum
Although Irene seems to have been a capable [3#4164]; [108]. Finally, Michael too abdicated
administrator, a great many contemporaries (and, after Byzantine forces suffered another punishing
of course, political rivals) considered her incom- defeat in 813. His successor was a successful sol-
petent because they judged her in the context of dier of Armenian descent, who now became Leo
the political circumstances of her reign (problems V (813–820 [3#4244]).
with her son Constantine VI, especially after his Leo at least succeeded in stabilizing the military
eyes were gouged out in 797 as a result of a coup situation on the Balkan frontier, but his domestic
d’état staged by Irene herself) [3#1439 (Irene), #3704 and ecclesiastical policies brought about a return
(Constantine VI)]. The Seventh Ecumenical Council to iconoclasm. He appears to have interpreted the
was eventually held at Nicaea without further dis- indisputable military triumphs of Constantine V
ruption, and iconodulism became the official doc- in the 8th century as a sign that iconoclasm guar-
trine, a position coordinated with Rome. anteed victory in war. From now until 843, the
The resurgent Bulgar Empire now pressed Byz- rekindled controversy over the role of images in
antium again, and several military defeats ensued, faith and religious practice split society, church
just as the Arabs were achieving notable successes and state (→ 7.1. Doctrinal history C.).
in Asia Minor.
A campaign to regain the Peloponnese and A.9. Theophilos and the end of the
Central Greece from Slavic occupation now began, Iconomachy
probably at Irene’s behest. These important regions The long process of economic recovery and
had been outside imperial control for more than social consolidation in the Byzantine Empire that
a century. Thanks to a campaign of Christianiza- had begun in the 8th century under Constantine V
tion and the establishment of a functioning eccle- continued through the reigns of Michael II (820–
siastical structure, along with the installation of 829 [3#4990]), who deposed Leo V, and his son
civil and military administrations, they were fully Theophilos (829–842 [3#8167]; [101]). The economic
reintegrated into the empire by around the mid- conditions now began to become established that
9th century. Forced Hellenization almost entirely would later form the basis for the ‘Macedonian
eradicated the Slavic language and culture. Renaissance’, when the arts and sciences flour-
ished. The process continued in spite of several
A.8. Nikephoros I to Leo V grave setbacks, notably the siege and destruction
Irene fell victim to a palace coup in 802, and of the strategically vital fortified town of Amorion
her ‘finance minister’ (logothetes tou genikou) now in Asia Minor in 838. Catastrophic though this
became emperor Nikephoros I (802–811 [3#5252]). event appears, the longer-term trends of recovery
It should be noted that the coup appears to have and economic growth prevailed.
had nothing to do with iconoclasm. As a specialist Iconoclasm, expedited by the emperor in
administrator with long years of experience, the particular, seems mainly to have affected senior
new emperor instigated a range of administra- clergy and leading military and civilian officials.
tive reforms (particularly in the financial sphere). The overwhelming mass of the population, if they
These also set the tone for changes in government were aware of this theological controversy at all,
made by later emperors (→ 1.5. Public finances and remained quietly loyal to their traditional religious
taxation D.). Nikephoros also seems to have been practices, although, if asked, they professed loy-
responsible for restructuring military finance, alty to the official policy. Meanwhile, however, an
byzantium ca. 600–1000 42

opposition was forming, with monks as the prime indirectly ordained by iconoclasts also lost their
movers, especially the Monastery of Stoudios in positions. The reason behind these consistent
Constantinople, with its famous abbot, Theodore measures in accordance with → canon law (4.2.)
the Studite [3#7574]. The propaganda of this oppo- was probably the memory of how archbishops and
sition was highly effective, generating a number of bishops had changed horses mid-stream in 815,
myths and legends after the Seventh Ecumenical turning against Nikephoros as iconoclasts. It was
Council (787), particularly concerning the oppo- also, however, a blow aimed at the senior clergy.
sitional role of monks in the fight against the To indulge briefly in hyperbole, the Imperial
(supposed or real) hostility to images of emperors Church was now reduced to the emperor and
Leo III and Constantine V in the 8th century. The his patriarch. Methodios could implement such
purpose of all this was to legitimize their ambi- severe measures only if he had the full support
tions and the doctrine they propounded. of the secular authority. The sources report no
By the 840s at the latest, these monks had resistance, but it cannot be known whether those
become a powerful element in the Church. The deposed remained silent because they had been
historical view of the Iconomachy period, shaped granted material concessions, or because they
by historians of the 9th and 10th centuries, must feared retribution [8].
today be attributed to these same monastic inter- Methodios now faced the task of building the
ests and to the increasing influence of monks in Church as an organization anew. Because the cler-
church and society. The degree to which these ics in the patriarchal administration were compro-
monastic circles succeeded in dominating later mised, he had serious difficulty finding suitable
centuries’ perspectives on the events that took candidates for vacant positions. He preferred
place during the debate on the role of icons, and in monks who could prove uninterrupted iconodule
manipulating them in their own favour, has only sympathies, but these were too few in number.
become clear through the intensive research of Methodios was therefore compelled to appoint
recent years and decades [33]. In fact, these quar- underqualified or unsuitable people, probably
rels were far less dramatic than historical descrip- even including laymen, to positions of responsi-
tions of them suggest. bility [33448–451].
Influenced in particular by one leading civil
servant, the eunuch Theoktistos [3#8050], Empress A.10. Michael III to Leo V
Theodora [3#7286] – regent for her young son
Michael III (842–867 [3#4991]) – lifted the ban on A.10.1. The Church after 843
venerating sacred images (requiring in return that A.10.2. Political events after 842/43
Theophilos, who had died in 842, should not be A.10.3. The Paulicians
condemned as a heretic). This fundamental shift A.10.4. Basil I and Photios
in policy was stage-managed in a series of quasi- A.10.5. Notes on the emperor-patriarch
private meetings and gatherings in 842 and 843. relationship
The change was then made known to the public A.10.6. Patriarch Photios and Pope Nicholas I
in a triumphal procession through Constantinople
(from the Church of the Theotokos of Blacher- A.10.1. The Church after 843
nae to Hagia Sophia). This event, called the ‘Tri- Remarkably, these sweeping changes had few,
umph of Orthodoxy’, is celebrated to this day in if any lasting negative effects. Within just a few
the liturgical calendar of the Orthodox churches. years, deacons from the patriarchal administration
It appears, though, that the everyday life of the were again becoming bishops and archbishops.
populace was affected very little, if at all, by these Methodius’ successor, Ignatios (847–858 and
events [33357–452]; [101]. 867–877 [3section 2, #22712]), was also raised to the
Theodora, the widow of the iconoclast emperor patriarchate by Theodora, and he was very loyal
Theophilos, entrusted a new patriarch with the to her. When Bardas [3#791], Theodora’s brother,
implementation of the new, pro-icon policy. began to marginalize her, Ignatius accused him of
Methodios [3#4977] was a member of the entourage sexual abuse and banned him from entering Hagia
of the former patriarch Nikephoros. Accepted by Sophia [41]. Such a move was unprecedented in
the endemousa synodos, Methodios proceeded to Byzantium and contrasts sharply with the subor-
turn against the church establishment. Unlike his dinate attitude of earlier patriarchs.
predecessor Tarasios in 787 (at the Seventh Ecu- In what could be seen as a repetition of the
menical Council in Nicaea), he revoked the ordi- actions of Irene after 780, Bardas forced Ignatius
nation of iconoclast bishops and patriarchs. This to resign and named a layman, another protasekre-
meant that all archbishops appointed before 787 tis, Photios [3#6253], as his successor. After a brief
or between 815 and 843 were dismissed. Bishops, period of uncertainty, the endemousa synodos
deacons and priests who had been directly or reacted and assembled as if the patriarchal throne
43 byzantium ca. 600–1000

were vacant. Keeping strictly to the established appointment as patriarch in 858. Skilfully packing
procedures, the synod presented the authorities vacant episcopal sees with his own supporters, he
with three candidates of its choice. Once again, succeeded in exerting increasing influence over
the Constantinopolitan synod was declaring itself the synod. Keen to reinforce his legitimacy, he also
the ‘true Church’; attacking the imperial circle and emphasized his coincidental kinship with Tarasios,
its upstart layman patriarch was a chance worth the patriarch at the time of the Seventh Ecumeni-
taking. The sources show that this resistance ema- cal Council, as well as the fact that, together with
nated from a relatively small group of Ignatius’ his parents, he had suffered persecution because
confidants, who worked to persuade their less of their veneration of icons. Photios planned to
resolute colleagues to take a stand. As soon as the convene another council over the iconolatry ques-
imperial government intervened, however, this tion [4139–63].
brittle solidarity fractured. The majority of arch- Photios’ influence, however, as always ulti-
bishops supported Photios, and a few hardliners mately depended on support from the emperor.
were sent into exile. Although he managed to regain the post of patri-
arch even after being deposed (when his archri-
A.10.2. Political events after 842/43 val Ignatios died), he found himself dismissed
Civil war in the Arab Caliphate following again and promptly dispatched into exile by
the death of Caliph al-Mu‘tasim [3#5205] in 842 Leo VI (886–912 [3section 2, #24311]) when Leo suc-
enabled Byzantium to turn the situation on the ceeded Basil I in 886. Leo was probably moved
eastern frontier increasingly in its own favour. to act not only out of fear of Photios’ influence,
The main enemy of the empire in this region was but also because Photios had developed a theory
no longer an army under the central command of of the position of the patriarch in the Byzantine
the Caliphate. Instead, Constantinople had to deal social system that shifted the balance between
with an abundance of local emirs, ruling over small God, emperor and patriarch balance to the detri-
territories like Tarsus in Cilicia or Melitene with ment of the emperor (in the first titles of the law
their own armies. Arab-Roman conflict continued code entitled Eisagoge).
throughout the century, but the Byzantine armies
succeeded in inflicting a number of defeats on the A.10.5. Notes on the emperor-patriarch
Arabs, gradually putting them on the defensive. relationship
The process of internal consolidation contin- Beginning with Tarasios, the patriarchs seem
ued under Basil I (867–886 [3#832]) as a result of to have been increasingly bold in intervening in
fiscal and military reforms. issues concerning the personal lifestyle of reigning
emperors, in the process asserting their superior
A.10.3. The Paulicians moral authority. Imperial marriages and divorces
The problem of the Paulician heresy, however, no longer proceeded without comment. Although
now became acute (→ 7.3. Sanctity, piety and devi- Patriarch Sergius had criticized Herakleios for
ance E.). The Paulicians were a dualist sect that marrying his own niece Martina, the emperor
had developed a military organization and now had still ensured that the patriarch performed
dominated wide tracts of eastern Anatolia. They the ceremony. Tarasios, a century and a half later,
undertook sometimes very successful campaigns, was not so easily persuaded. He refused to marry
occasionally even with Arab support, and prob- Constantine VI to the lady-in-waiting Theodote
ably aimed to establish a territorial state indepen- when Constantine repudiated his first wife, Maria
dent of the empire. of Amnia, and put her in a nunnery. Tarasios
The true origins of this sect and its beliefs remained steadfast even when Constantine threat-
remain somewhat obscure. What is known is ened to revive iconoclasm.
that it began to spread from eastern Asia Minor Tarasios was ultimately defeated when a priest
in the 7th century, growing considerably in num- proved willing to marry the couple, but the debate
bers. The Byzantine emperors started confronting rumbled on (the ‘Moechian Controversy’), and fur-
them with military force in the first half of the 9th ther conflicts loomed. Ignatios accused the Caesar,
century, and the Paulicians offered well-organized Bardas, the uncle of Michael, of adultery, and was
resistance. After hard battles, however, the armies deprived of his see for his pains. Patriarch Nicholas
of Basil I succeeded in defeating them. Many Pau- I (see below,  A.12.) then disputed the legitimacy of
licians were forcibly resettled in the Balkans. the fourth marriage of Leo VI. Although he too was
initially dismissed, a later rehabilitation enabled
A.10.4. Basil I and Photios him to justify his opposition.
Basil I inherited his predecessors’ problems of Of course, all these machinations must also
ecclesiastical policy. Photios had worked to con- be seen against the backdrop of relations with
solidate his own position in the years following his the papacy, which seized the opportunity to
byzantium ca. 600–1000 44

grandstand as ‘arbiter’ even in the internal affairs A.11. The general situation in the
of the Eastern Church. The popes had not played 8th–10th centuries
a part in Byzantine domestic politics since the
7th century and the events involving Maximos A.11.1. Byzantium in the West
Homologetes and Pope Martin I (see above, A.4.), A.11.2. Byzantium in the Balkans and the north
but this changed after 847. When Patriarch Igna-
tios dismissed a number of bishops, they appealed A.11.1. Byzantium in the West
to the pope in Rome. Surprisingly, Ignatios appears Whereas the situation on the eastern frontier
to have acquiesced, although he took steps to pre- was becoming ever rosier and relations with the
vent the pope or his representatives from issuing Bulgars were also peaceful in the second half of
a verdict concerning him personally. the 9th century, the position of the Byzantine
Empire in the central Mediterranean and Italy had
A.10.6. Patriarch Photios and Pope deteriorated dramatically. Ravenna, the capital of
Nicholas I the Italian Exarchate, was conquered by the Lom-
When Photios became patriarch, the supporters bards in 751 and came under Frankish rule soon
of the deposed Ignatius turned to Rome. However, after. The papacy in Rome remained effectively
Photios succeeded in ‘outfoxing’ Pope Nicholas I. autonomous and independent for some decades,
Although he allowed papal legates to rule on his with no more than minimal military assistance
case, he made sure that their verdict went in his from Constantinople, and Byzantine iconoclasm
favour. Since Photios could rely on the support exacerbated the situation in the 750s and 760s
of Bardas, they could do little to thwart him. Bar- (although papal relations even with Constantine V
das had a keen interest in the Byzantine project were occasionally good; cf. e.g. [7no. 310]).
of Christianizing the Bulgars and was therefore The popes reached accommodations with
implacably opposed to papal policy, which sought the Franks (possibly even with initial Byzantine
to incorporate the Bulgar Empire into the sphere approval [27]), especially with Pepin the Short (the
of influence of the Latin Church. This situation ‘Donation of Pepin’) and then with Charlemagne.
did not change until Basil I (who murdered his The Frankish kings now replaced the Byzantine
predecessor, Michael III, in 867), decided that the emperors as the dominant power in Italy. When
pope’s support might enhance his own legitimacy. Charlemagne was then crowned emperor in
Among other things, he therefore dismissed Pho- Rome on Christmas Day, 800, Byzantium took a
tios and reinstalled Ignatius as patriarch. dim view. Skilful diplomacy on both sides defused
The pope insisted on verbatim adherence to threats of confrontation and resolved mutual mis-
canon law. This would make Photios’ patriarch- understandings sufficiently for Constantinople
ate illegitimate by reason of his rapid promotion ultimately to recognize the existence of a new
from the laity, meaning that all the ordinations Western Empire. Although this did not, of course,
he had performed would have been declared null exclude the possibility of occasional conflicts of
and void. Ignatios’ most pressing problem was interest, it at least meant that no major confron-
the abundance of deposed bishops who remained tation ever came.
loyal to Photios. Since they refused to cease exer- The Byzantine position, however, rapidly dete-
cising their office, there was a danger that two par- riorated in the 820s, when the Arabs began to over-
allel churches might develop. run Sicily and Crete. Sicily was defended at great
Naturally, such a prospect appalled the expense, but the invaders succeeded in conquer-
emperor. Following Ignatios’ death (877), he had ing it fortress by fortress and town by town. These
Photios ordained as patriarch again, which in battles continued until the end of the 9th century.
itself was an unusual event. Previously in Byzan- The Arabs on Crete, who conducted widespread
tine history, deposed patriarchs had generally only piracy and often plundered entire coastal regions,
ever regained office following a change of emperor remained a painful thorn in Byzantium’s side for
[4191–192]. However, this also meant a rebuff for the decades and challenged Constantinople’s naval
pope and his ambitions (including the Bulgar mis- dominance of the Aegean. Various naval coun-
sion), and he lost his foothold in the Byzantine terattacks failed, and Byzantine influence in the
Church. After this, contacts between the pope central and western Mediterranean was almost
and patriarch were much reduced. Over the ensu- completely lost as a result.
ing half century, the popes intervened in internal
Byzantine affairs only when the emperor asked A.11.2. Byzantium in the Balkans and
them for support, for instance against a mutinous the north
patriarch. After that, they played no further part in Thanks to the successful Byzantine campaign
the history of the Eastern Church at all. of Christianization, the position of the empire
45 byzantium ca. 600–1000

in the Balkans had stabilized under Basil I. The of the Danube in the late 10th century became a
khan of the Bulgars, Boris (852–889 [3#1035]), had potential threat to the western territories of the
himself baptized and took the Christian name empire, and this threat became especially acute in
Michael. He now adopted the title tsar (from Cae- the 12th century. The Khazars remained key actors
sar), and a strong Christian party with close ties to in ‘steppe diplomacy’ until the mid-10th century,
Constantinople formed at his court. This changed, when the growing power of the Kievan Rus’ led to
however, in the reign of Tsar Simeon [3section 2, the annihilation of their qaghanate. The Rus’ then
#27467], who had grown up at the Byzantine court took over the Khazars’ role in Byzantium’s diplo-
in Constantinople and harboured his own impe- macy and northern policy.
rial aspirations. Military conflict ensued, lasting The emergence of the Turkic Pechenegs in the
(with interruptions) until the 920s. The Bulgars late 9th century further complicated the political
even threatened Constantinople during a full-scale picture in the Black Sea region, throwing the bipo-
siege. Emperor Romanos I Lakapenos (920–944 lar equilibrium of Byzantium and the Rus’ out of
[3section 2, #26833]), a former admiral of the impe- kilter. The newcomers immediately clashed with
rial fleet, finally achieved peace with the Bulgars the Khazars and Magyars in the steppe regions
after seizing power and sharing it, together with between the Danube and the Don. As a power able
his sons, with Constantine VII Porphyrogennetos to hold both the Magyars and the Rus’ in check,
[3section 2, #23734], the legitimate imperial heir – or they proved rather useful to Byzantium in the
ruling in his name. This peace lasted until the wars of the late 10th century. As allies, however,
960s, while pro-Byzantine tsars ruled the Bulgar they were always unpredictable and sometimes
Empire. dangerous. Around the mid-11th century, Pech-
Another zone of interest that came under Byz- eneg groups began venturing into the Balkans,
antine scrutiny by the 6th century at the latest where they became embroiled in battles with
was the northern steppe, stretching from what is Byzantine forces. Constantinople was able to keep
now the Great Hungarian Plain through southern them under control until the phase of Byzantine
Russia to the lands north of the Caspian Sea. For civil war that followed the Battle of Manzikert of
centuries, a wide variety of generally very danger- 1071. Thereafter, the Pechenegs plundered Byzan-
ous, mostly ‘Turkic’ tribes had emanated from this tine territory and laid waste to swathes of land,
region. Invariably, a key task of Constantinople’s until → Alexios I Komnenos (2.5.; 1081–1118) finally
diplomats was to win over the rulers of these eth- defeated them in 1091.
nicities to the Byzantine side. An efficient system
of doing so by means of lavish gifts (gold, silk – A.12. The domestic political
and imperial titles and honours) had been devised situation, 9th–10th centuries
over the course of the centuries. Domestic Byzantine politics were dominated
After the nomadic Avar Qaghanate moved west by tension between the emperors and the patri-
following its defeat in 626 and Byzantium ceased archs, which began growing in the late 9th cen-
to have anything to do with it, it became possi- tury. The standing synod found itself frequently
ble to establish good relations with the Khazars, changing sides. The controversy known as the
who dominated the regions north of the Black ‘Tetragamy’, unleashed by Leo VI in his determi-
Sea. Although their khan (and probably much of nation to secure a male heir, which necessitated
the elite) had converted to Judaism, the Khazars a fourth marriage (strictly forbidden under canon
became a reliable ally of the Byzantine Empire. law at the time; → 4.2. Canon law A.), caused a ran-
The power of this steppe kingdom, however, corous conflict with Patriarch Nicholas I Mystikos
began to decline in the late 9th century as it came (901–907 and 912–915 [3section 2, #25885]). Nicholas,
under pressure from other steppe tribes newly originally a civil servant, was a kinsman of Pho-
arrived from the east. The Pechenegs, in particu- tios’, and the problem in which he now found
lar, now began to move west and influence events himself was unprecedented. He initially tried to
in the Balkans. persuade the emperor to back down, but when
The Magyars (Hungarians) were already estab- Leo married his beloved Zoë and had her crowned
lishing themselves to the northwest and west empress, the patriarch was forced to abandon his
of the Khazars in the mid-9th century. Over the conciliatory position.
course of the 10th century, they conquered the The rash of plots and counterplots that now
territory that bears their name today (Hungary; ensued split the secular and ecclesiastical estab-
Hungarian: Magyarország), subjugating various lishments. In the end, Leo VI dismissed the
smaller Slavic dominions in the process. Khazars recusant Nicholas and had the monk Euthy-
and Magyars alike served as mercenaries in the mios ordained as patriarch (907–912 [3section 2,
Byzantine army, especially in the wars against the #21913]; [66]), but when the emperor died in 912,

Bulgars. However, the establishment of a Chris- his brother and successor Alexander (912–913
tian Kingdom of Hungary on the middle reaches [3section 2, #20228]) promptly recalled Nicholas. When
byzantium ca. 600–1000 46

Alexander himself then died soon afterward (913), the emperor, not least because they were responsi-
Nicholas assumed a leading role in the council ble for implementing his policies in the provinces.
of regency for Leo VI’s youngest son Constantine This elite exploited its position in order vastly to
(VII Porphyrogennetos [3section 2, #23734]). This was expand its landholdings at the expense of still-free
another situation unprecedented in Byzantine his- → rural settlements (8.7.) and of lesser landown-
tory. Ultimately, Nicholas succeeded in reaching ers. Yet these latter groups were also the bedrock
an agreement with the followers of the deposed of the state financial and fiscal system, and of the
Euthymios and putting an end to the Tetragamy thematic armies based in the provinces.
dispute (see [5no. 715]: Tomos tes henoseos, 920).
Despite all this turmoil, Byzantium was flour- A.14. The evolution of large-scale
ishing in the 10th century. The economy was pros- land ownership
pering and producing plentiful tax revenues. Art This increasingly complex situation was aggra-
and culture were attaining a level unknown since vated in the 920s by a series of natural disasters,
Late Antiquity. This phase of Byzantine history is which harmed agriculture in western Asia Minor
known as the Macedonian Renaissance, named in particular. The rich and powerful large land-
after the ruling dynasty of the time. owning elite was able to take advantage of the
situation and seize huge expanses of new land.
A.13. Military success in the east The state suffered as a result. These powerful land-
There were also military successes of an order owners were able to keep tax collectors at bay and
long since undreamt-of, especially on the eastern ultimately paid only a minimum in tax. They also
frontier, where sizeable regions were recaptured. prevented the levying of new recruits for the army.
A series of very capable military commanders The emperors tried to resolve this awkward situ-
beginning in the reigns of Leo VI (886–912) and ation with a deluge of legislation, but with little
Constantine VII (912–959) had achieved nota- to no success. These landowning families rapidly
ble victories even before the ‘Soldier Emperor’ developed into a self-confident aristocracy with
Nikephoros II Phokas (963–969 [3section 2, #25535]) the potential to exercise enormous power within
and John I Tzimiskes (969–976 [3section 2, #22778]) the state. That state now gradually moved to con-
achieved previously unimaginable triumphs vert public land into imperial land in order to
against the Islamic Arabs. Byzantium expanded secure revenue from these estates.
back into northern Syria, took back the old patri-
archal seat of Antioch, defeated Arab emirates in A.15. Ecclesiastical policy
northwestern Iraq and regained Crete and Cyprus. In this as in all periods, ecclesiastical policy
For a time, there even seemed a realistic prospect always had a key role to play. Traditionally, the
of winning Jerusalem for Christendom. emperors had made church appointments either
Although his long reign (976–1025) began with by choosing laymen from their own administra-
civil wars and military setbacks in the Balkans, tion or monks. The second half of the 9th century,
→ Basil II (2.4.; [3section 2, #20838]) consolidated the however, saw the emergence of a third possibility,
territorial gains of his predecessors and ultimately as emperors began appointing their own sons as
established Byzantium as the leading great power patriarchs. For a time at least, this considerably
of the region. He annihilated the Bulgar Empire altered the dynamic of the relationship between
after a long war that brought heavy losses. Its ter- emperor and Church.
ritory was reincorporated into the empire but was Romanos I Lakapenos was determined to
given its own provincial administration. The Dan- secure his family’s position at the apex of the state.
ube became the northern frontier of the empire He therefore prescribed a clerical career for his
once more. The Emirate of Aleppo and the other second son Theophylact, so that he could be made
Arab emirates to the east of it became Byzantine patriarch in the future (933–956 [3section 2, #28192]).
client states. However, Basil’s main foe in the east The boy was castrated as a child and became syn-
now became the Egyptian Fatimid Caliphate, kellos at fifteen and patriarch the following year.
which was striving to take control of Syria. This decision by the emperor had unforeseen con-
The reigns of Romanos I (920–944) and his 10th- sequences. When he took office, Theophylact was
century successors were also marked by the culmi- still too young adequately to fulfil all his duties.
nation of a number of long-term developments in Later, he showed little interest in his position
social history. An elite consisting of public officials and the obligations attached to it. Senior clerics
and large-scale landowners had slowly evolved in therefore took on many of these for him, includ-
the 8th and 9th centuries, and they soon secured ing selecting candidates for episcopal office. The
a virtual monopoly on senior positions in the civil patriarch allowed himself to be exploited, and the
and military administration (→ 1.4. Emperor, elite rights of the standing synod were infringed.
and subjects B.). By the 10th century, this social Underlying this and other developments was
group had become powerful enough to challenge the rise of the deacons of the patriarcheion. The
47 byzantium ca. 600–1000

surviving correspondence of metropolitans of this Nikephoros, who was after all still empress), and
period clearly shows that they dominated these banish her, not least because of her involvement
very senior church posts. This trend continued, in the murder of her husband. Only then did Poly-
and it became glaringly obvious that leading euktos consent to crown John I. John appears to
patriarchal officials were preferring their friends have been required to beg forgiveness and do pen-
and allies and establishing extensive networks. ance before the patriarch and the congregation.
The role of the emperor in all this has remained Polyeuktos also insisted that the new emperor
obscure. Certainly, no clear wish to prevent these should annul the aforementioned synodal decree
changes on his part is apparent. There may even (effected by Nikephoros II) concerning the selec-
have been an understanding between Romanus tion of metropolitans [75394 f.].
and senior officials of the patriarchate, as a result
of which Theophylact was frozen out [94]. A.16. Social history
At all events, this alternative model for church The structural tensions between the large aris-
governance did not continue. Patriarch Polyeuk- tocratic clans and the interests of the → court (1.3.)
tos (956–970 [3section 2, #26715]), appointed by Con- and emperor became particularly prominent in
stantine VII, had originally been a monk and was the 970s.
closely connected to the family of Photios. Poly- A leading member of one of these powerful
euktos preserved the independence of the patri- aristocratic families, Bardas of the Skleroi [3section
archate, confronting the endemousa synodos and 2, #20785], rebelled against → Basil II (2.4.) shortly
publicly denouncing the morals of members of the after the latter’s accession in 976. Another mem-
imperial family, even though this brought him into ber of an even more powerful family, Bardas Pho-
conflict with the emperor himself. Significantly, he kas [3section 2, #20784], whom the emperor asked for
was not dismissed after the death of Constantine help in 978, also rebelled. His rebellion was put
VII (959) but continued in office until his own down with considerable effort, and Bardas Pho-
death in 970. He also played a crucial role [75] in kas fled to Arab territory, only to be imprisoned
the installation of Romanos II (959–963 [3section 2, there. Following his release in 987, and this time
#26834]) as emperor. Polyeuktos had many enemies with Arab support behind him, Bardas returned to
in the Church, some of them senior bishops, and the Byzantine Empire, and raised a new army. Bar-
others in the imperial family whose behaviour he das Skleros was sent against him, but he betrayed
had criticized. There was a powerful faction in the emperor, initially allying with Bardas Phokas
the standing synod that accused him of authori- before taking him captive and declaring himself
tarianism, tyrannical behaviour and intransigency. emperor.
He also opposed Nikephoros II, when the latter Emperor Basil II now sought and obtained help
wanted Byzantine soldiers killed in battle against from Vladimir, Grand Prince of the Kievan Rus’
the ‘infidel’ (i.e. Muslims – the emperor was prob- (later Saint Vladimir; 980–1015 [3section 2, #28433]).
ably aping Islam’s promises to those killed in the Vladimir converted to Christianity in 988 and took
course of holy war) to be declared saints. The Anna, the emperor’s sister, for his wife. With the
emperor was forced to abandon this idea. help of Vladimir’s battle-hardened Nordic-Slavic
Another significant point of contention con- troops (Varangians) [96], Basil defeated Bardas
cerned the election of bishops and archbishops. Phokas, who died after another battle in 989.
Following interminable intrigues, Nikephoros II Although Bardas Skleros continued his rebellion
intervened directly, in a move welcomed by no for a while, negotiations for a truce soon began.
one involved – the emperor declaring that the It is interesting to note that during all these con-
Church was so badly managed that he had had no flicts, Anatolian troops and many members of the
other choice. He forced the synod to issue a decree local elite found no difficulty in offering support
giving the emperor the last word on ecclesiastical to the rebels. This clearly illustrates the difficulties
matters, including the right to appoint archbish- that social developments posed for the ongoing
ops [75393]. integrity of the empire [100].
This episode showed that the emperor was
capable of disregarding decisions made in accor- A.17. The position around 1000
dance with canon law. The foundations of the By the time Basil II died (1025), the interna-
Church’s autonomy from the emperor had long tional state system had evolved into what has been
since been eroded. called the ‘Byzantine Commonwealth’. Bulgaria
However, the situation soon changed. The suc- was now Christianized – although it produced
cessor (and murderer) of Nikephoros II, John I. a number of heresies, e.g. that of the Bogomils.
Tzimiskes (969–976), urgently needed the Church Likewise, the leading families of the Kievan Rus’
to lend legitimacy to his coup and sought to per- either were or soon would be Christian converts.
suade the patriarch to crown him. He first had to The Balkan regions to the west and southwest
depose his lover Theophano (wife of the murdered of Bulgaria had also embraced Christianity in
byzantium ca. 600–1000 48

its Byzantine form. A zone had now emerged in that they were accused not of theological ‘errors’
which Byzantine influence was dominant, and not but of high treason (see above,  A.4.8.). Although
only in regard to religion: it was Byzantine in all the imperial government won the day, eliminat-
conceivable aspects of culture, social life, fashion, ing its key opponents by legal means, the conse-
literature, music and so on. quence was the alienation of the Western Church
The Byzantine Empire was now at the height from the empire.
of its power. To contemporaries, it seemed invin- In the end, this was too high a price to pay, and
cible – rich and equipped with an efficient bureau- Constantine IV, son and successor of Constans II,
cracy (by medieval standards) and a powerful and ended the dispute over the number of wills dwell-
experienced army that, but for occasional lapses, ing in Christ by convening the Sixth Ecumenical
was victorious on all fronts. Council in 680/81. Only a few stubborn devotees
The emperors who followed Basil II had no rea- continued to adhere to monotheletism, the ances-
son to believe that all this would change. Events tors of today’s Maronites of Lebanon. Looking at
of the second half of the 11th century, however, these events over a longer span of time, it must
would show how mistaken they were. be admitted that Maximos and Martin I ‘won’ the
dispute.
B. Church and state Similar developments can be observed in a
somewhat comparable situation, although its con-
B.1. Emperor and patriarch sequences were far more momentous and lasting:
B.2. The growth of Orthodoxy in the 9th century the first Byzantine ‘Iconomachy’ (until 787). What-
ever the reasons behind Leo III’s decision in the
B.1. Emperor and patriarch late 720s to argue in public against the veneration
The relationship between the emperors and of icons (a policy that was approved by parts of the
the patriarchs remained tense throughout the his- clergy), he encountered virtually no resistance. As
tory of the Byzantine Empire. On the one hand, discussed above (A.6.1.), Patriarch Germanos was
the emperors were seen as defenders of the true then dismissed (only much later sources claim
faith and the Church. They invested gigantic sums that this was because of the patriarch’s heroic
in building churches and founding and outfitting opposition to the emperor’s iconoclasm).
monasteries, symbolic acts intended to demon- The patriarchs who followed were all chosen
strate their piety (→ 11.1. The role of art A.; see also by Leo III or Constantine V for their willingness to
→ 11.2. Architecture; → 11.3. Art). On the other hand, implement imperial policy and offered no opposi-
however, they also sometimes tried to advance tion. Likewise, Empress Irene, when she planned
theological thought and often intervened in pri- her radical change of ecclesiastical policy, was
marily theological controversies and quarrels. This astute enough to put an ally, the layman Tara-
meant that differences of opinion and even violent sios, on the patriarchal throne first. Tarasios’ dip-
disputes with patriarchs could and did occur, fre- lomatic skills were crucial to smoothing over the
quently leading to splits and polarizations within reintroduction of the veneration of icons, and his
the Church. planning and preparation made possible the suc-
In the 6th century, → Justinian (2.3.) sought cessful holding of the Seventh Ecumenical Council
to formulate a clear definition of the relationship at Nicaea in 787 (despite initial resistance).
between the Church and the state, i.e. the emperor, Emperor Leo V then reintroduced iconoclasm
that viewed the Church and clergy as pastoral and in a different context and for different reasons
spiritual ‘guardians’ of the Christian community. in 815. Again, however, what guaranteed the
Although the emperor himself was a member of relatively straightforward implementation of the
that community and not above the (secular) law, emperor’s will was his choice of a patriarch with
he was seen as the embodiment of law and cho- the right skills. The emperor’s iconoclasm did
sen by God to represent his interests on earth not enjoy great public support and was therefore
(→ 1.2. The concept of the emperor). abandoned without much difficulty in the 840s. As
Implementing such ideas in real political and explained above, it was iconodule authors, hagi-
social life, of course, was more than problematic. ographers and apologists writing between 787 and
In cases when serious conflicts occurred between 815, and especially after 842/43, who then turned
different ecclesiastical elements in the Church the iconoclasm into a traumatic rupture in Byz-
or the empire, ecclesiastical power was able to antine history, and the iconoclast emperors into
develop, and over the longer term it usually pre- instruments of the devil and heretics. At the same
vailed. When Constans II sought to enforce his time, they glorified the supposedly noble and hon-
monothelete ecclesiastical policy in the 640s, for est opposition of holy men, especially monks, to
instance, he had to arrest Pope Martin I and Maxi- these supposedly satanic campaigns.
mos Homologetes, the spiritual leader of the dyo- Whether the emperors or the patriarchs were
thelete opposition, put them on trial and impose more successful in these conflicts remains a moot
very severe penalties on them. It is striking, too, point. Four patriarchs (Ignatios, Photios, Nicholas I,
49 byzantium ca. 600–1000

Euthymios) were deposed in the 9th and 10th cen- C. Structures and transformations
turies for opposing the emperor’s policy. All were
outstanding theologians and church politicians C.1. Territorial development
and stood head and shoulders above the other C.2. Urban life
patriarchs of the time. C.3. Social elites and state structures
In certain situations, the multivalent relation-
ship between a patriarch and an emperor culmi- C.1. Territorial development
nated in an act of penance on the part of the latter Between the 5th and 6th century, the → gov-
(either voluntarily or constrained by events). And ernment (5.2.), state structure (→ 5.1. Central civil
although formally speaking and in the short term, institutions), civic life, economy and social rela-
the emperors usually ‘won’ their conflicts with the tions in the Eastern Roman Empire underwent
patriarchs, there are plentiful examples of a patri- dramatic changes and transformations. Despite
arch organizing opposition that was broad and antiquated conceptions of a sclerotic late antique
effective enough to prevent the emperor imple- state and incompetent Byzantines who lived
menting his intended policy in full. primarily in the past and so on, this state and
The relations between church and state were social edifice that is called the Eastern Roman or
always dynamic and changeable. Power shifted Byzantine Empire showed a remarkable capac-
over the centuries. Until the mid-7th century, the ity for innovation and considerable flexibility
five patriarchates (Rome, Constantinople, Antioch, so that it could react appropriately and success-
Alexandria and – after 451 – Jerusalem) were the fully to changed conditions. Otherwise, it would
leading authorities in the global Church, although be impossible to explain how this state survived
naturally they were frequently hampered by local for almost 1,000 years (depending on how one
conflict (e.g. miaphysitism). This situation, later dates the ‘beginning’ of ‘Byzantium’) with its spe-
called the ‘Pentarchy’, was severely damaged by cific culture and society. That is unique in world
the Islamic expansion, which claimed three of the history – with the exception of China.
patriarchates (Antioch, Alexandria, Jerusalem). Even in the 6th century, the empire was still
Furthermore, Rome also began to drift away from able to go on the offensive and recapture large
the Byzantine sphere in the 8th century. regions it had lost. Around 630, its territory still
comprised North Africa, Egypt, Syria, western Mes-
B.2. The growth of Orthodoxy in the opotamia, Jordan, Lebanon, Palaestina, the whole
9th century of Asia Minor, parts of the Balkans, Sicily, Sardinia,
Unexpectedly, however, the Orthodox world much of Italy (albeit under threat from the Lom-
began to expand in the 860s. To begin with, the bards) and part of southern Spain. Large swathes
Greek Church launched a missionary campaign of the → Balkans (15.3.), however, had slipped from
in Bulgaria, and the Kievan Rus’ were then con- Eastern Roman control and were effectively ruled
verted in the late 10th century. Both events were by Slavic tribes and the Avars.
historic. Although these gains were not directly The price paid for the ‘imperialism’ of the 6th
the work of the patriarchate of Constantinople, century was high, and the devastating wars against
it exercised an ideological hegemony that would the Persians in the early 7th century further weak-
persist even down to the final days of the empire. ened the empire. Seen from this perspective, it
This, however, introduced a new element into the is unsurprising that imperial resistance to Arab
relationship between the emperor and the patri- tribes that exploded from the Arabian Peninsula
arch. The latter now exercised his authority in under the banner of Islam, driven by the ideology
a much ‘wider world’ than the emperor did. He of holy war, was so feeble and ineffective. Egypt
could claim a larger ecumene than the emperor and almost all the eastern provinces were already
could in his capacity as head of the political entity lost by 642. Arab armies began to penetrate
of the Roman Empire (which was what the Byz- deep into Asia Minor and to conquer Libya. The
antines called their state and considered it to be; remains of the Byzantine armies were evacuated
→ 2.1. The Byzantine view of the state). to Asia Minor and stationed in the various prov-
It is understandable, therefore, that patriarchs inces there, where they could be preserved and
often considered themselves to have the author- sustained.
ity, and even the obligation, to speak out on politi- The Eastern Roman state had lost more than
cal or moral matters. The entire Orthodox world half its territory in a very short period of time,
looked to them, and did so with high expecta- along with an estimated 75 % of its tax revenues.
tions. In specific situations, of course, everything This alone necessitated radical changes in the
depended on the actual balance of political power. administrative system and the exercise of power.
The emperors of the late 14th century, for example, A still relatively large army had to be supplied and
can hardly be compared, either politically or mor- equipped, and the survival of the state depended
ally, to those of the second half of the 10th century. on maintaining an efficient financial and tax
byzantium ca. 600–1000 50

system [46]; [22]. Although much of the trans- to. Some of the upper classes in the provinces
formation that was now violently underway had were probably descended from the medium-scale
been brewing for some time, the tide of history landowners and municipal officials of Late Antiq-
was accelerating beyond all expectation. All areas uity. Wherever their origins lay, however, it is clear
of social, cultural and economic life were affected. that to a considerable degree, the leading lights of
these new military and civilian elites owed their
C.2. Urban life rise to the emperor in person [47].
The destructive Arab attacks and raids that Within two generations, this elite became an
began in earnest in the 640s led to the drastic aristocracy (→ 1.4. Emperor, elite and subjects) by
reduction or even destruction and abandonment virtue of their access to senior state positions and
(occasionally relocation!) of Roman towns and the acquisition of estates by dint of their service.
cities in Asia Minor, which had already suffered Throughout the 7th and 8th centuries, that aristoc-
greatly from the similar effects of the Persian Wars racy remained heavily dependent on the emperor
of 602–628. Combined with the fact that the role and the state, but it became increasingly indepen-
of towns and their municipal officials in the state dent in the centuries that followed, developing
taxation system had been changing since the late an aristocratic self-consciousness. The state now
6th century, this led the central fiscal authori- found itself dealing with a social class whose vast
ties to turn their attention to the still-extant land holdings and exercise of senior and supreme
→ rural communities (8.7.), which became the state functions made it very difficult or even
basis for calculating tax registers in the late 7th impossible for the central government to control
century. The state even began taking barter- financial resources (taxes and duties) [46153–172,
ing into account. Overall, it may be said that a 395–399]; [36].
ruralization of Byzantine society was underway The events of the 7th century had still more far-
[18]; [46]. reaching consequences. Running counter to the
The almost complete annihilation of urban Late Antique tendency towards decentralization
life in Asia Minor greatly accentuated the role of and the separation of military and civil adminis-
→ Constantinople (8.10.). The foundation of a new trative duties (→ 5.1. Central civil institutions), a
Roman capital in 330 by → Constantine (2.2.) to marked degree of centralization now took place.
house the imperial court and the senate, with Although the hierarchy of government was pre-
all the familiar social, economic and administra- served, it was greatly simplified and levelled to
tive consequences this brought, had far-reaching facilitate the exercise of strict personal control
effects on commercial flows between East and by the emperor (particularly of finance and the
West [18]; [102], and these effects were now fur- military).
ther magnified. At the same time, however, it must The very nature of central economic rela-
not be forgotten that Constantinople itself was not tions limited the activities of the state. The issue
immune to the general crisis of the 7th century. and circulation of minted coinage was the state’s
Its population was now a mere fraction of the instrument for transforming the yield of agricul-
many hundreds of thousands who had lived there tural, artisanal and industrial production into
prior to the outbreak of the ‘Plague of Justinian’ transferable financial resources (money, but also
(→ 13.6. Epidemics B.1.). taxes in kind). Although the function of coinage
in the market was certainly significant, coins were
C.3. Social elites and state also minted in order to keep the state apparatus
structures running and to pay civil servants and the mili-
The elites of society were also experiencing pro- tary. Wealth could be accumulated and consumed
found changes. The ‘senatorial aristocracy’ of Late through a system of redistributive financial mech-
Antiquity, most recently recruited from the ranks anisms. The state issued gold money in the form of
of the high imperial bureaucracy [28]; [68]; [14], salaries and special payments to the bureaucracy
now found itself replaced by a new group, mostly and military, who in turn used a considerable por-
comprising ‘new men’ chosen by the emperor tion of these payments to buy goods and services.
more or less on merit. This new elite probably In this way, the state could recoup as tax much of
also included many members of the old senato- the money it spent.
rial one, particularly within the branches of the Gold coins were made available and essential
central government in the capital, such as finan- for this purpose. Copper money (token coins),
cial administration. Sadly, the sources have little however, was at least equally important, being
or nothing to say about this. Another problem the essential prerequisite for everyday market
for scholars is that the system of personal names trading. However, considerable sums remained
changed in the 7th century. When almost one man in private hands in the form of gold coins. On
in five is called John, and where (as is usually the the whole, this was a sustainable system for the
case) no other information is recorded, it is impos- operation of a money economy, although barter
sible to establish which families people belonged arrangements continued to be accepted in some
51 byzantium ca. 600–1000

situations and regions (as they had in Late Antiq- tuations were crucial to the destiny of the Byzan-
uity since the 3rd century). Supplying the army, in tine Empire in the fateful years between 600 and
particular, sometimes had to be achieved through 1000 [48]; [107].
ad hoc measures involving the raising of taxes in The resources in question were agricultural
kind (much like the Late Antique coemptio). This produce (including livestock), ores and other raw
may have been the job of the genikoi kommerki- materials, human labour and the skills and knowl-
arioi with their apothekai between ca. 670 and 730 edge of individual producers.
[22]. These (very) senior civil servants are known
only through their lead seals, and scholarly inves- D.2. Management and distribution of
tigations of them will continue for some time. It resources
is not even known for certain as yet whether the The main job of the central administration was
apothekai were actual buildings (warehouses) or to supervise and control these resources – not
institutions. least, as the development of the tax system (see
In a society where social status and advance- below) shows, to secure its own existence. The his-
ment (including the self-consciousness of the new tory of the Byzantine Empire can be read as a polit-
aristocracy) were closely associated with the state, ical phenomenon, but it can also be understood
economic activity not directly related to the state as a history of the measures used to achieve this
was handicapped. The relentless power and allure supervision and control. It is particularly impor-
of the imperial government at Constantinople, tant to bear in mind that the central government
with its court and the hierarchical system of offi- always had to work with other political entities
cials, claimed the undivided attention of the Byz- (e.g. the landowning aristocracy, the ‘new’ aris-
antine elites, hampering the development of the tocracy of the Middle and Late Byzantine periods,
kind of aristocracy that, with its roots also in the foreign trading powers etc.) that were competing
provinces, might have taken an interest in spread- for access to the available resources – resources
ing economic growth to remoter regions [11]; [50]. that were, obviously, finite. The resultant tensions
are clearly reflected in the political history of the
D. Natural resources, demographics empire.
and climate Taxation is the means whereby in modern
industrialized states redistribute generated value.
D.1. Resource use and climate This applies to the owners (or controllers) of the
D.2. Management and distribution of resources means of production (including land and available
D.3. Culture labour), on the one hand, and those who sell their
labour (for a wage) on the other. In premodern
D.1. Resource use and climate societies, in contrast, generated value can only be
Like any state throughout history, the develop- siphoned off through taxes or the various forms of
ment of Byzantium in this period was influenced tenancy. There is thus direct contact between the
by a multitude of interrelated factors. One such state or proprietor elite and taxpayers or tenants.
factor was the control of people and materials. The In both cases, two conditions determine what
way in which the imperial government was able to kind of reciprocal relationship prevails between
make use of these resources, and the tensions that those skimming off value and those producing it:
arose between the interests of the imperial mon- competition between potentially antagonistic ele-
archy and those of social elites, determined the ments in relation to the distribution of resources,
returns. Labour resources and mineral and agricul- and the forms in which taxes and rents – i.e. social
tural production present a picture of constant flux. earnings – are siphoned off.
There is some evidence of minor climatic fluc- In premodern times, then, central administra-
tuations (→ 8.1. Landscape and climate). Increased tions and ruling elites shared an interest in pre-
precipitation and warming have been identified serving the social and economic conditions to
in the southern Balkans and Asia Minor between which they owed their existence. The state needed
ca. 500 and ca. 750. This pattern repeated itself to generate a profit or at least ensure that it fell
between ca. 850 and ca. 1150. The earlier warmer, heir to a portion of all generated value. Again and
wetter phase in particular probably had a positive again over the course of history, however, the func-
impact on agriculture. This would have left the tionaries responsible for performing this task are
government with more grain and other foodstuffs found gradually expanding their own power base
at its disposal (→ 8.5. Food and the food supply) and eventually competing for these resources with
– in a period when supplying the army fighting the state they were supposed to serve. In conse-
the Arabs was vital. There is still much debate on quence, the relationship between rulers or ruling
these issues, however, and new studies continue elites and those generating earning have always
to appear. What is clear is that these climatic fluc- been oppositional and potentially antagonistic.
byzantium ca. 600–1000 52

Naturally, this antagonism was structural and thus or her to stand apart from the lower ranks of offi-
very likely to go unobserved by some or all of par- cialdom (civil and ecclesiastical) and especially
ties involved. from the illiterate masses.
The Byzantine emperors and their state were The choice of subject for a literary text not only
perfectly capable of keeping control of the prob- reflected an author’s level of education and culti-
lem of resource distribution. Over time, however, vation, but also revealed the author’s strategy for
certain problems were not recognized as such, introducing certain themes to society. The delib-
and the Byzantine state failed to identify and act erate (and often verbatim) use of material from
against threats from outside. For example, it was classical texts by historians and chroniclers was
insufficiently aware of the intentions and success part of this phenomenon. One’s choice of classi-
of the Italian merchant republics, and suffered cal material was as significant as the actual subject
considerable losses as a result [45]. of a literary work, while the choice of the specific
register for a speech or text became an important
D.3. Culture aspect of ‘cultural politics’ [35]; [80]; [67].
The history of specific state structures, such Until the 9th or 10th century, if we set aside
as taxation, military and legal systems and the the problems posed by the Arab Caliphate and
administration of the imperial court, represents the Frankish Empire, there was scarcely a cultural
only one aspect of a far more complex reality. It entity in the known world that could match the
must not be forgotten that the field in which indi- ideological aspirations of Byzantium or its high
viduals were active, whether alone or in groups, level of cultural refinement. During the 10th cen-
was one that was culturally determined. Account tury, however, it became clear that the Latin West
must be taken here of language, art, literature and was a region of considerable economic, social and
social and cultural self-images. Naturally, religion especially military dynamism, and in the 11th cen-
also played a vital part. Just how important these tury, the Byzantines bore the brunt of that dyna-
factors were becomes clear whenever they are mism at the hands of the Normans. The Italian
seen directly influencing political events or inspir- city-states, meanwhile, were also rapidly becom-
ing cultural resistance to change. ing an economic and political – and also a military
Forms of cultural behaviour and belief systems and cultural – power.
can also be viewed as resources. Both play a con- Constantinople, meanwhile, continued to nur-
siderable part in culturally connoted responses to ture the old stereotypes of uncouth western bar-
political situations and the physical environment. barians. Western political and military successes
Once the political situation in the Byzantine were nonetheless recognized as threats to impe-
Empire stabilized after the grave crisis of the 7th rial power. The more western culture infringed on
and early 8th centuries, an increasingly diversified the (often empty) claims of the Byzantine elites,
culture also had a chance to evolve. The various the more unrealistic the caricatures must have
genres of Late Antique and Hellenistic → litera- seemed. Traditional distrust of Latin liturgical
ture (12.2.) revived. ‘Classical’ motifs re-emerged and religious practices and suspicions toward the
in visual → art (11.3.). Alongside this renaissance in ambitions of the papacy, however, blinded most
culture and literature, the gulf between cultivated Byzantines to the realities of ‘Latin power’, and a
people and those with no education began to be degree of xenophobia and hostility to other cul-
recognized (→ 12.5. Culture and education). This tures developed instead. Such attitudes probably
awareness became established particularly in the paved the way to the tragic events of the early 13th
imperial bureaucracy and ecclesiastical establish- century [11]; [17]; [81]; [74].
ment of Constantinople. Slowly at first, cultivated
authors of the 9th century began to reclaim and E. Taxation and finance
refashion their cultural heritage.
An interest in classical literature and art E.1. Principles of taxation
became a defining quality of the social elites in E.2. Monetary taxes and taxes in kind
the late 10th century. The phenomenon of diglos- E.3. The Byzantine currency system
sia, rife in the Greek world since before Christi- E.4. The most important taxes
anity, acquired new momentum (→ 12.1. Literary
language), as the difference between colloquial E.1. Principles of taxation
speech and classicist written texts by highly edu- It was a fundamental principle of late Roman
cated authors again became glaringly apparent. and Byzantine taxation (→ 1.5. Public finances and
The accurate use of classical Attic Greek combined taxation) that as much revenue as possible should
with a thorough knowledge of classical mythology, be extracted from taxpayers. Taxes were calculated
rhetorical abilities and, not least, knowledge of a using a formula that linked taxable land (catego-
canon of Christian authors became hallmarks of rized by area, quality and cultivation type) with
educated Byzantines. This knowledge allowed him available labour: known as the capitatio-iugatio
53 byzantium ca. 600–1000

system. Unused land, i.e. land that was neither the first half of the 8th necessitated a degree of
cultivated nor grazed, was not directly taxed. Tax systemic change. The main priority was to sup-
rates were revised at regular intervals – originally ply the armies fighting the Arabs, because the
every five, then every fifteen years. These intervals, very survival of the state depended on them. As
however, may not have been so regular in practice. in the 3rd century, it became necessary to collect
In Late Antiquity, tax revenues had been maxi- a large percentage, but by no means all, taxes in
mized by means of a system whereby the taxes on kind: monetary taxes continued to be collected in
holdings that were registered but not cultivated regions where it was possible to do so, and salaries
were applied to the holdings of neighbouring land- and bonuses to soldiers and civil servants were also
owners. This was known as the adiectio sterilium still paid in coins [22]. The situation must have
or epibole ton aporon (→ 5.3. State budget A.). varied considerably over time and from region to
A number of fundamental changes were made region. Where urban or village markets survived
to this system in the 7th and 8th centuries. Every and were safe from Arab attacks (e.g. the environs
taxable unit was now expected to generate a cer- of Constantinople), the state continued to sup-
tain amount of tax, which was divided among the ply gold and copper coins, but matters were very
taxpayers responsible as a community for the total different in more remote provinces. Regional dif-
sum. The taxable unit – i.e. the rural community – ferences like this were also nothing new: money-
was collectively liable for payments for land that based economic activity in Anatolia had begun to
belonged to it and had not been leased out. Abate- wane as early as the 530s, when the state postal
ments could be sought and granted to compensate service ceased to function.
for these burdens, but if the village community The social elite that had access to coinage
took over and leased out the land for which it exerted some economic pressure, investing their
was responsible, it was also liable for any deficits. money in land, for instance. This also gave impe-
Cities, meanwhile, had lost their key role as inter- tus to monetarization in the provinces.
mediaries in tax gathering. Taxes in the provinces The availability of copper folleis and their fluc-
were now collected by imperial officials [90]; [59]; tuating rate of exchange with gold (and silver)
[60]; [51]; [46]; [22]. coinage had a considerable impact on the lives
Coinage always played a central role in the of the lower classes. Their access to market rela-
economy of the Roman world. How central that tions depended on it. It has been assumed that
role was, however, and the precise function of there were by now comprehensive credit systems
coinage in the monetary economy varied from facilitating the transfer of value without the use of
period to period and region to region. coinage, but such things were always susceptible
to change. The presence of an army, for example,
E.2. Monetary taxes and taxes in kind could wholly transform the monetary conditions
The severe financial crisis and extreme infla- of a region [42]; [72]; [51289–296, 602–607]; [79214–219];
tion that afflicted the Roman Empire in the 3rd [1439–88].
century and for decades thereafter had compelled
the state to develop genuinely effective alternative E.3. The Byzantine currency system
methods of tax collection. The army and adminis- The Roman and Byzantine monetary system
tration had to be financed and supplied. Payments was functional because it was based on several
in kind became standard practice. Later, after vari- metals. Small token coins were available for every-
ous monetary and coinage reforms in the 5th and day transactions. The system worked because cop-
6th centuries, the money economy was gradually per money could be exchanged for more valuable
re-established. Similar problems recurred in the coins at a fixed exchange rate. When this ceased to
7th century. As discussed above, coinage served be the case, inflation resulted, accompanied by a
to sustain the institutions of state and to pay the transition to payments in kind as described above.
(often considerable) salaries and bonuses due to The government had two problems to solve
the military and civil servants. The redistributive here. The right quantity of gold coins had to be put
financial mechanism described above allowed into circulation so that the cycle of redistributive
wealth to be accumulated and consumed, where- taxation could continue to function. Meanwhile,
upon the state recouped as much as possible necessary quantities of copper money (token
in tax, preferably in gold coin. Financial policy coins) had to be issued to sustain this cycle on the
always required gold in the form of taxes and had lower level.
to make token coins available in the form of cop- History offers many striking examples of the
per folleis [51602 ff., 662 ff.]; [52]; [78]. consequences of failure to solve the first prob-
As numerous hoards show, however, large lem, leading to shortages of gold coin. Procopius
quantities of gold remained in non-state hands and John the Lydian both give vivid descriptions
(including churches). Political and economic con- of the consequences of the cessation of the cur-
ditions in the second half of the 7th century and sus publicus, the state postal service, on local
 45º
2

A
byzantium ca. 600–1000

dr
i
Sea

at
i
3 c rs Black
40º Bulga
14 Se
4
a
Slavs 7

5 8 12

13
9
10
35º
6
11

15
The Eastern Roman Empire ca. 650-717
Mediter
The Eastern Roman Empire ranean Sea
at the accession of Leo III (717)
30º
1 Exarchate of Ravenna 8 Theme of Opsikion
2 Venetia and Istria 9 Theme of Thrakesion
3 Doukaton of Rome 10 Theme of Anatolikon
4 Doukaton of Naples 11 Theme of Kibyrraioton
5 Doukaton of Calabria 12 Theme of Armeniokon
6 Theme of Hellas 13 Theme of Sikelia 0 100 200 300 400 500 km
7 Theme of Thrace 14 Doukaton of Sardinia
15 Crete
20º 25º 30º 35º
54

Map 2: The Eastern Roman Empire ca. 650–717

 55

‘
R u s on)
8 2 0
(c a .
50º
Chester

Bristol
London
ate
Exeter gan
Cologne r Kha

Volga
S

Aix-la-Chapelle Kiev aza

ra
l

Kh
A ea

/ Aachen
Donets
Paris s Dnie
per M a g y a r s
ic nk (ca. 880 on)
Dn Oxus
A t l a n tn h e Fraire) Danu
be
ies
Ocea of t Emp Carp ter Sarkel Itil
dom an ps
ath f
Kingarolingi i ao v
Al
C

(C Kh ana t e a n Se Azo

s
an
as

ri
pi

As tur i as Cherson Chernosesus Taurica

a

Cau
40º
n

Crimea casus
Ravenna

B u l ga
k Sea
Se

Pliska Blac
a

ate Preslav
U mayyad Caliph Rome Serdica
Constantinople
Corduba donia
Mace
rasan
Kho
ire
Emp Tig
e ris
tin Tarsus
zan
By Eu
ph
Rustamid Emirate ra
Kairouan te
s Baghdad
Me
dit
30º erra
nean t e
Sea a Pe r
Tr sia
Id p h nG
Alexandria
ip
ris ol l i u lf
id ita C a
Em
ira nia d
te s i
b ā
ˁ A b bia
Ara

The Byzantine Empire in the political world ca. 840

0 100 500 1000 km
0º 10º 20º 30º 40º
byzantium ca. 600–1000

Map 3: The Byzantine Empire in the political world ca. 840

 45º
2

Serb
s

A
byzantium ca. 600–1000

dr
i
B ulgarian
ca.

at
ea

i
3 Khanate 970–1020
40º c ca. ck S
990–1020 Bla
13 Se
4
a
7

5 8 12

14
9
10 ca.
930–ca.
35º 1020
6
11
ca.
The Byzantine Empire, ca. 637–1050: 961 940–965
Transformation and resurgence
965
Territory of the Empire ca. 750 15
(omitting the complex provincial changes
occurring before 1050)
Mediterranean Sea
Territory reconquered ca. 920
1 Exarchate of Ravenna 8 Theme of Opsikion
30º 2 Venetia and Istria 9 Theme of the Thrakesion
Territory lost to Lombards 3 Doukaton of Rome 10 Theme of Anatolikon
and local rulers ca. 751 4 Doukaton of Naples 11 Theme of the Kibyrrhaioton
5 Doukaton of Calabria 12 Theme of Armeniakon
Territory lost to the Saracens 820–930 6 Theme of Hellas 13 Doukaton of Sardinia
7 Theme of Thrace 14 Theme of Sikelia
15 Crete
Primary direction of conquest/
961
reconquest with date 0 100 200 300 400 500 km
20º 25º 30º 35º
56

Map 4: The Byzantine Empire ca. 637–1050: Transformation and resurgence

57 byzantium ca. 600–1000

agricultural and artisanal producers. Demand at E.4. The most important taxes

local markets collapsed, and producers were left Although the land tax (kanon) and the hearth
with no monetary income. They were thus limited tax (kapnikon) now constituted the bedrock of the
in their ability to pay their monetary taxes. The tax system, that system was further complicated
rural Byzantine population experienced a simi- not only by the aforementioned extraordinary
lar crisis in the 760s, when it appears that Con- and supplementary taxes, but also, for example,
stantine V reduced the issue of gold nomismata by additional tax assessments imposed on taxpay-
while increasingly demanding that tax payments ers by officials. This greatly increased the burden
be made in gold coin. Farmers were compelled to on taxpayers, and corruption was always in the air
sell their harvests at well below market prices to [50]; [46]; [85]; [90].
avoid the severe penalties for failing to pay mon- Maps and plans: Maps 1–5, Map 9, Map 11, Maps
etary taxes [51]; [22]. 13–16; Plan 2; BNP Suppl. 3, 239, 241, 243, 245, 247
The history of Byzantine coin issues in these
centuries is very complex. The gold – silver – cop- Bibliography
per ratio fluctuated wildly, and not always for
obvious reasons. Leo IV reintroduced the minting Sources
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the introduction of a tax collection system that patriarches, fasc. 1: Les regestes de 381 à 751, edited by
V. Grumel, 21972 [5] Les regestes des actes du patri-
involved the distributive assessment of dues. arcat de Constantinople, vol. 1: Les actes des patri-
Annual assessments were now based on the abil- arches, fasc. 2–3: Les regestes de 715 à 1206, edited by
ity of the taxpayer to pay. Previously, fixed sums V. Grumel, new edition by J. Darrouzès, 21989 [6]
were required based on the needs of the state bud- Regesten der Kaiserurkunden des Oströmischen
get. Naturally, the new system required an exact Reiches von 565–1453, part 1.2: Regesten von 867–1025,
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introducing them. The evolutionary process was Aristocratic Dominance, 2001 [15] M. Bates, Con-
complete and the tax system had been trans- stans II or Heraclonas? An Analysis of the Constanti-
formed by the mid-9th century at the latest. nopolitan Folles of Constans II, in: American
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Emperor Romanus Lecapenus and his Reign. A Study fall of Byzantium [143]. Even though the empire
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Skandinavien und Byzanz. Bedingungen und Konse- was trapped in a deadly spiral by the 11th cen-
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2014 [97] P. Schreiner, Byzanz 565–1453 (Olden- already been sown [138].
byzantium 1025–1204 60

Although many researchers view the ascent of ing various Armenian princedoms, marked the
the West to global dominance in the early modern zenith of Byzantine power in the Middle Ages [45];
period as rooted in the social changes of the High [98212–256]; [71]; [34]. The emperor, however, never
Middle Ages, there has been a tendency to rele- married and had no son, so the throne passed
gate Byzantium (along with the Islamic world and, to his younger, but still elderly brother Constan-
later, China) to a descending branch of historical tine VIII (1025–1028), who had previously taken
development as part of a ‘Great Divergence’ [127]; little interest in the business of government.
[98314 f.]; [107]; [93]; [129]. This historiographical Some would argue that this already sowed the
tradition makes it all the more difficult to iden- seeds of the subsequent crisis of the imperial mon-
tify the real range of possibilities that were open archy, but even a son of Basil II would probably
to political and social actors of the time, and to have had difficulty in managing his predecessor’s
assess the decisions they made in a more balanced legacy. Every change of emperor in Byzantium
way, and not merely in the context of their sup- presented an opportunity for competing networks
posedly ineluctable doom. at → court (1.3.), in the → government (5.2.), in the
The historical survey that follows, which army and in the provinces to shift or even chal-
focuses mainly on the political narrative, serves in lenge the balance of power in the empire. Such
part as a framework for the later chapters, which transitions were all the more precarious because,
take the form of ‘cross-sections’ examining aspects as in the medieval West, no legal rules had been
of the period that cannot be described in detail established to guarantee the imperial succession
here. It also offers brief notes on the view that from father to son. Formally at least, the empire
recent scholars have taken of the period in ques- remained an electoral monarchy with three partic-
tion, adding some original observations. The aim ipant bodies: the army, the senate and the people
here is to study the unique course of Byzantine (of Constantinople) [46]; [2539–46]; [76].
development not under the preordained perspec- As the events of the ensuing decades would
tive of an ostensibly inevitable dénouement, but show, however, kinship ties with the former
in the general context of the history of the medi- emperor represented something of a trump card
eval Mediterranean. in a contest for the throne (and it was even pos-
sible to establish them retrospectively, e.g. by
B. The legacy of Basil II and the marriage). Constantine VIII had shared the title
Byzantine Empire (1025–1081) of emperor with Basil II, and there were power-
ful circles at court with an interest in preserving
B.1. From the death of Basil II to the accession the existing regime, ready to support the transfer
of Alexios I (1025–1081) of the throne within the Macedonian Dynasty
B.2. Trends of 1025–1081, and assessment of [4013–53].
the period
B.1.2. Zoë and Theodora, the last of
B.1. From the death of Basil II to the the Macedonians
accession of Alexios I (1025–1081) These circles were still of the same mind when
Constantine VIII died after a three-year reign in
B.1.1. The legacy of Emperor Basil II 1028. Constantine left three unmarried daugh-
B.1.2. Zoë and Theodora, the last of the ters; two of them, 50-year-old Zoë and 43-year-old
Macedonians Theodora, were possible candidates to carry on
B.1.3. The reign of Constantine IX Monomachos the Macedonian Dynasty (→ 1.3. The Byzantine
(1042–1055) court F.) [39316 f.]; [68]. Neither, however, was
B.1.4. The end of the Macedonian Dynasty and the likely to produce an heir. Even so, the elder Zoë
first Komnenos emperors was married off, almost at the deathbed of Con-
B.1.5. The Doukas family and Emperor Romanos IV stantine VIII, to a member of an illustrious family
Diogenes of the bureaucratic elite, himself 60 years of age:
B.1.6. The Battle of Manzikert (1071) and the Romanos (III) Argyros (1028–1034). Despite his
Doukas restoration advanced age, the new emperor tried to mimic
B.1.7. The collapse of central authority and the the foreign policy successes of Basil II, launching
crisis of the empire a major expedition against the possessions of the
B.1.8. Power transferred to the Komnenoi Shi’ite Fatimid Dynasty in Syria, with which Byz-
antium had hitherto coexisted reasonably peace-
B.1.1. The legacy of Emperor Basil II fully. There was even an attempt to conquer Egypt
According to the general consensus, the reign [45103–110]; [60339–347].
of → Basil II (2.4.; 976–1025), which restored the These military adventures, however, produced
power of the empire from the Danube to Lake Van only comparatively modest returns, with the taking
(in what is now eastern Turkey) by annihilating of the city of Edessa in northern Mesopotamia by
the rival Bulgar Empire in the Balkans and annex- the general George Maniakes in 1032. Instead there
61 byzantium 1025–1204

emerged tensions between the Byzantine Ortho- nos III Argyros, whose niece he had married. He
dox clergy in the eastern provinces and mem- had then been forced into exile in the reign of
bers of the Syrian and Armenian communities, Michael IV (which burnished his credentials for
who had settled these regions in large numbers, the throne following the fall of Michael’s family
sometimes at the invitation of former emperors. regime). He was also a kinsman of the powerful
Conflicts of this kind flared up repeatedly in sub- Skleroi family, and his lover Maria Skleraina was
sequent decades [38]; [39347–352]; [51]. However, even presented at court, with Zoë’s consent.
efforts to protect the estates of small-scale peas- The first years of Constantine’s reign were tur-
ants and soldier-peasants from the attentions of bulent. George Maniakes’ designs on the throne,
the aristocracy and church institutions seeking to suspected following his successes in Sicily, were
expand their holdings, measures that had intensi- now real. He set off from Italy to march on Con-
fied during the reign of Basil II, ended during the stantinople in 1043 but died en route [3357 f.];
reign of Romanos III [10625–31]; [98259]. [3123 f.]. That same year, the Grand Prince of the
At court, Romanos III and Zoë became Kievan Rus’, Yaroslav I (1019–1054), launched a
estranged, as the latter switched her favour to surprise naval attack on Constantinople but was
Michael, the brother of John the Orphanotrophos, successfully repelled [133]. These threats, as well
a eunuch of humble origins but considerable influ- as internal unrest, kindled a ‘xenophobic’ atmo-
ence. When Romanos died in 1034, it was even sus- sphere in the capital, which culminated in an order
pected that Zoë had ordered his killing in order to (1044) to deport all immigrants who had resided in
marry Michael. Michael (IV) indeed ascended the Constantinople for fewer than 30 years. Its main
throne as consort to the empress, handing John the targets were Armenians, Jews and Muslims (→ 15.7.
Orphanotrophos a powerful role in government. Minorities in the empire) [2no. 862a]; [3124].
As in the reign of Romanos III, Michael attempted Constantine IX put an end to incursions across
further conquests, and it even seemed possible, the Danube by the mounted Pechenegs (recently
again under the command of George Maniakes, defeated by the Kievan Rus’) by means of an agree-
to recapture the island of Sicily from Arab con- ment that allowed some of them to settle and exer-
trol. The expedition came to nothing, however, cise far-reaching autonomy in territories north of
when the victorious general himself came under the Balkan mountains. This, however, enraged
suspicion of coveting the imperial crown and was the troops stationed in Thrace, who flocked
recalled in 1041 [45210–211]; [3348]. to the rebel Leo Tornikios, acclaimed him emperor
The government of Michael IV also showed a and marched on the capital in 1047 [146]; [37295 f.];
clumsy touch in dealings with the Bulgarian terri- [3125 f.]. Constantine IX survived this rebellion too,
tories only recently subjugated in the reign of Basil thanks to the continuing loyalty of the populace of
II. It demanded that taxes previously paid in kind Constantinople, but their support came at a price:
should now be paid in money, provoking a rebel- the senatorial ranks and court positions (and the
lion [146130–135]; [37283]. Although the emperor put annual salaries that went with them) were now
down the uprising by personally leading a suc- opened up to the increasingly influential (and,
cessful campaign in 1041, he returned sick to Con- thanks to economic growth, increasingly numer-
stantinople. John the Orphanotrophos found time ous) circles of Constantinople’s merchants and
before Michael’s death in December 1041 to have tradesmen (→ 1.4. Emperor, elite and subjects D.)
Zoë adopt his and the emperor’s nephew, Michael [79]. The emperor sought to increase the power of
Kalaphates. The latter ascended the throne as the central civil administration over the provinces.
Michael V and lost no time in sidelining his uncle Although this effort further weakened the already
John, who was sent to a monastery. When the diminished influence of the military administra-
emperor also moved against his adoptive mother, tions of the themes, it failed to halt the rising
the people of Constantinople reacted, and their power of local and regional magnates, the dynatoi
violent uprising in April 1042 compelled Zoë’s (‘the powerful’) [111].
restoration and the deposition of Michael V, who Posterity has laid the blame for the decline of
was now banished to a monastery and blinded the ‘traditional’ thematic armies (→ 6.5. Tactics
[3354 f.]. C.) at the feet of Constantine IX, pointing (with
hindsight) to the loss of Asia Minor to the Seljuk,
B.1.3. The reign of Constantine IX especially in light of the fact that Constantine dis-
Monomachos (1042–1055) solved the regional militias in the Iberian theme
Next came a brief joint reign of the sisters Zoë on the eastern frontier. However, these forces had
and Theodora, who were united only by their previously shown themselves to be of dubious
mutual antipathy. In June 1042, Zoë married again, military value during ever more frequent Turkish
handing the throne to 42-year-old Constantine incursions. As the focus of the army now shifted
(IX) Monomachos (1042–1055). Constantine had towards the tagmata (divisions of the central
held a prominent position in the reign of Roma- army), dissolving the militias may have seemed
byzantium 1025–1204 62

more sensible at the time, from both a military dates and, aged 70, acceded to the throne, holding
and a financial perspective (→ 6.3. Strategy B.) it until her death on August 31, 1056. Incited by the
[88187–195]; [862 f.]; [92vol. 1, 81–90]. machinations of the powerful court official Leo
The civil administration was reinforced fur- Paraspondylos, who had begun his career under
ther in 1045 with the establishment of professorial Michael IV, Theodora nominated as her successor
chairs in law at Constantinople, headed by the the likewise elderly Michael (VI) of the Bringas
judge John Xiphilinos (who would later become family of courtiers. Michael, however, lacked the
patriarch from 1064 to 1075) as nomophylax (liter- support of the most powerful families and soon
ally: ‘guardian of the laws’) [39332 f.]. This encour- faced their resistance. He successfully thwarted
aged a wider circle of functionaries to gather an attempted usurpation by Theodosius Monoma-
around John who were distinguished not by their chos, a kinsman of the late Constantine IX.
lineage, but by their education and talent. These In June 1057, though, when Michael or Leo Para-
included Constantine Leichoudes and (most nota- spondylos rejected the demands (for monetary
bly) Michael Psellos, who also became the most payments, among other things) presented by the
famous chronicler of the decades following the generals Isaac Komnenos and Katakalon Kekau-
death of Basil II, as well as their teacher John Mau- menos on behalf of the army in Asia Minor, the
ropous [79]; [115]; [22]. The emperor also showed army acclaimed Isaac Komnenos as emperor.
particular favour to the Nea Mone Monastery, After the imperial forces at were defeated at Nico-
which he and Zoë had founded on Chios in 1042. media, Michael VI entered into negotiation with
Following its restive early years, the reign of the rebels, and – partly as a result of efforts made
Constantine IX proved stable enough to survive behind the scenes by Patriarch Michael Keroular-
the death of Zoë in June 1050. As earlier events had ios – abdicated [3368–70].
shown, the dynastic legitimacy conferred by the The patriarch crowned Isaac I Komnenos
Macedonian princesses could provide the decisive emperor on September 1, 1057. In return, the
impulse for the election of a new emperor, but it emperor approved the transfer to the patriarch
could not guarantee him unchallenged power. For of the imperial privilege of appointing important
that, an emperor needed to construct his own net- administrative officials (oikonomos, skeuophylax)
work of supporters, and Constantine IX appears at the Hagia Sophia (→ 7.4. Church organization
to have succeeded in doing so, for instance in the and personnel D.) [2no. 938]. Nevertheless, relations
upper reaches of the populace of Constantinople. between Komnenos, who was working to consoli-
Yet it was precisely there, in the final years of his date the powers of the emperor, and Keroularios
reign, that he faced a new focus of power, in the soon broke down. The latter was put on trial and
form of the self-confident patriarch Michael Ker- banished from Constantinople, eventually to die
oularios (1043–1058). in exile. The patriarch had been popular in the
The Norman threat to the remaining Byzan- capital, however, and Isaac lost support among
tine possessions in Southern Italy led the emperor the people as a result. His attempts to improve
to seek an accommodation with Pope Leo IX the state finances by limiting and reclaiming
(1049–1054) – despite a range of controversies on imperial donations made both to the laity and the
theological issues, ecclesiastical practices and the Church also roused increasing opposition [2no. 939,
definition of the borders of the patriarchates of 944b]; [98265 f.]. In view of this hostility, the ailing
Rome and Constantinople. When Leo’s delegation, Isaac was persuaded by Michael Psellos and others
led by Cardinal Humbert of Silva Candida, arrived to abdicate in November 1059.
at Constantinople, the patriarch proved entirely
uninterested in an agreement with the ‘Lat- B.1.5. The Doukas family and Emperor
ins’. On the contrary: the debates escalated into Romanos IV Diogenes
mutual excommunication. Although to observers Isaac’s nominated successor was Constantine
at the time, this event (which is often labelled as (X), of the powerful Doukas family. Constantine
the “Great Eastern Schism”) hardly felt as earth- was also married to a niece of Michael Kerou-
shaking as scholars later made it out to be, it cast larios’, Eudokia Makrembolitissa [126]. Prominent
an unforgiving light on the emperor’s relative loss among the supporters of Constantine’s rule was
of power on such a vital issue of ecclesiastical and his brother John Doukas, whom he named kaisar.
foreign policy (→ 7.1. Doctrinal history D.2.) [39352– Constantine also crowned his sons Michael, Kon-
362]; [17]; [32]. stantios and Andronikos as co-emperors to secure
the new dynasty. This web of family relationships
B.1.4. The end of the Macedonian neatly illustrates the growing importance of net-
Dynasty and the first Komnenos works within and among aristocratic families
emperors (→ 1.4. Emperor, elite and subjects B., C.). In
Following the death of Constantine IX in Janu- Constantinople, the new emperor sought to pla-
ary 1055, the last surviving Macedonian princess, cate the opposition that had grown under Isaac
Theodora, again outmanoeuvred the other candi- Komnenos by restoring old privileges. Tax hikes
63 byzantium 1025–1204

imposed in the provinces to compensate for this, (until ca. 1075/77) and Konstantios served as co-
however, met with resistance from local poten- regents, and their uncle, the kaisar John Doukas,
tates, provoking uprisings, as for instance at Lar- exercised crucial influence [98326 f.]. Among other
issa in Thessaly. The Doukas administration was things, John arranged the unprecedented rise
also less than successful in countering the eastern of the eunuch Nikephoritzes, whose career had
threat of the Seljuks, who in 1064 seized the for- begun in the reign of Constantine X Doukas, and
mer Armenian capital of Ani, which Byzantium who had even held the position of doux (military
had only annexed in 1045 [45180 f.]. A particularly governor) of Antioch. Supporters of Romanos IV,
spectacular appearance by Halley’s Comet in May on the other hand, were removed from positions
1066 was taken as an evil omen, and the emperor of influence, and Eudokia Makrembolitissa was
indeed died the following year [3372]. also soon consigned to a nunnery. Anna Dalas-
Empress Eudokia Makrembolitissa now became sene, the widow of John Komnenos (brother of
regent for her sons, who were not yet of age. To Isaac) and mother of the future emperor Alexios,
secure her sovereign rights, she was required to was also put on trial, but she was acquitted, and
swear that she would not marry again and would her sons were given senior commands (partly at
seek the counsel of the late emperor’s brother, the urging of Nikephoritzes) [10540–42].
John Doukas, but in the light of the threatening When Romanos IV was released from Seljuk
situation in the east, she decided to wed Roma- captivity, he established himself at Amasea in Asia
nos (IV) Diogenes, a general who had enjoyed Minor to fight the Doukai. After an initial defeat,
success against the Pechenegs. After bearing him he withdrew to Cilicia with the support of Arme-
two sons, however, Eudokia found herself side- nian troops, but another army from Constantino-
lined along with her sons (and formal co-regents) ple defeated him there, and he fell into the hands
Michael, Andronikos and Konstantios Doukas. of the Doukai, who forced him to abdicate and
This provoked the wrath of the Doukas clan. The retire to a monastery. They later had him blinded,
family of the former emperor Isaac Komnenos, and he died of resultant complications in August
by contrast, was on excellent terms with Roma- 1072. The new regime’s gains from this campaign
nos IV, and Isaac’s nephew Manuel was serving certainly did not include control over the prov-
as a commander in Anatolia in 1070. It was there, inces of Asia Minor: after the treaty signed with
too, that the emperor focused his military efforts Romanos IV lapsed, the Seljuks resumed wide-
to overcome the rising threat of Seljuk invasions, ranging incursions [3376 f.].
although he did not enjoy lasting success. In the The regents acting on behalf of Michael VII
summer of 1071, Romanos IV finally assembled a Doukas therefore sent an army into Asia Minor
large army of local troops and international mer- in 1073, under the command of Isaac Komnenos,
cenaries in order to restore control over the cor- a nephew of the emperor of the same name. The
ridor north of Lake Van (now in eastern Turkey) force also included a contingent of ‘Frankish’ (i.e.
used by the Turkic raiding parties [92vol. 1, 145–177]. Western European) mercenaries under the com-
This campaign ended in defeat that August at mand of the Norman Roussel de Bailleul, who
Manzikert, where, to their surprise, the Byzantines had previously taken part in the Battle of Man-
encountered the main Seljuk army under the com- zikert. Letters were also sent to Pope Gregory VII
mand of Sultan Alp Ārslān (1063–1072). One con- (1073–1085) in the hope of obtaining further mili-
tributing factor to the defeat was the treachery of tary assistance from the West. The pope drew up
Andronikos Doukas, one of the sons of the kaisar a plan for a major expedition in support of eastern
John Doukas, who had command of the rearguard. Christendom under his personal command, but it
Romanos IV was taken captive by the Seljuks, but never took place. Roussel de Bailleul, for his part,
he negotiated a fifty-year peace with Alp Ārslān, betrayed Isaac, who fell into Turkish hands. Like
pledging to pay a ransom and further tributes and Romanos IV before him, Roussel then set up a
to surrender to the Turks the cities of Manzikert, base at Amasea, from which he won control of the
Edessa, Manbij and Antioch on the Orontes. These entire surrounding theme of Armeniakon, success-
losses would have been painful enough even if the fully defending it against further Turkish attacks.
heartlands of the empire had remained unscathed Roussel also defeated an army sent against him
[695–17]; [11955–58]. from Constantinople under the command of John
Doukas, thanks to turncoat Frankish troops. He
B.1.6. The Battle of Manzikert (1071) took John Doukas captive [3378–80]; [141].
and the Doukas restoration Roussel now made for Constantinople himself,
Romanos’ peace treaty was nullified when seeking recognition for his conquests from the
the Doukas family at Constantinople moved to emperor, but Michael VII’s government refused.
replace the captured emperor with one of their The Norman warlord then had John Doukas pro-
own: Michael VII Doukas (b. 1059). Michael claimed emperor to put Constantinople under fur-
reigned jointly with Eudokia Makrembolitissa ther pressure. The imperial government, however,
until November; his own brothers Andronikos recruited Turkish troops, who defeated Roussel
byzantium 1025–1204 64

and took him and John Doukas captive. Roussel’s at Adrianople, centred on Nikephoros Bryennios,
wife bought his freedom from the Turks, and he whose army also marched on the capital in the
returned to Amasea and continued to defend his autumn of 1077, but failed to win popular sup-
territory successfully. He was not finally defeated port [3383–85]. Botaneiates, on the other hand,
and captured – with Turkish help – until 1076, by was quickly acclaimed emperor by a gathering of
Alexios Komnenos, brother of the Isaac whom opponents of the Doukas regime in Hagia Sophia
Roussel had originally betrayed [7013–20]; [141]; in January 1078. Nikephoritzes demanded a force-
[10542–46]. ful response, but Michael VII finally bowed to
pressure. He abdicated on the advice of his uncle
B.1.7. The collapse of central John on March 31, 1078, and entered a monastery.
authority and the crisis of the empire Nikephoros (III) Botaneiates entered Constantino-
The career of Roussel de Bailleul throws a ple and ascended the throne. Nikephoritzes was
revealing light on the fragmentation of Byzantine tortured to death, and his financial reforms were
power in Asia Minor after Manzikert. What had reversed [3128 f.].
formerly been heartland provinces of the empire
was being lost to regional potentates (whether B.1.8. Power transferred to the
Byzantine, Armenian or Turkic). These included Komnenoi
Theodore Gabras, who successfully drove the Nikephoros III Botaneiates, who was already
Turks out of the Trebizond region in 1075, going nearly 70, reached an agreement with supporters
on to rule it (as his heirs did after him) as a of the Doukas party in the capital and married
quasi-independent fiefdom, and the Armenian- Maria of Alania, the former wife of Michael VII.
born general Philaretos Brachamios, who built a Maria was eager to preserve her young son, Con-
princedom only nominally subject to the emperor stantine Doukas’ (b. 1074) right to the throne.
in Cilicia, northwestern Mesopotamia and north- Nikephoros III also handed senior commands to
ern Syria, and who in 1078 also took control of the members of the Komnenos family. → Alexios Kom-
important metropolis of Antioch [7021–27]; [163 f.]; nenos (2.5.) in particular proved a capable general,
[41vol. 1, 105–108]; [98326 f.]; [20]; [4222]. suppressing the insurgency of Nikephoros Bryen-
Constantinople also faced opposition in its nios, who had spurned the new emperor after his
European territories. The Serbs and Bulgars around march on Constantinople in 1077 had failed, and
Sofia and Niš rebelled in 1072. In 1076, the eunuch defeated the rebel doux of Dyrrhachium, Nikeph-
Nestor, a rival of Nikephoritzes’, rose up on the oros Basilakes [10546–50]. In 1078, Alexios Komne-
Danube frontier, allying with the Pechenegs and nos married Irene Dukaina, granddaughter of the
marching on the capital, demanding the dismissal influential kaisar John Doukas, who had also had
of Nikephoritzes among other things [3381]. Since a hand in arranging the accession of Botaneiates.
John Doukas’ ill-starred campaign against Roussel Ultimately, however, this alliance between two
de Bailleul, Nikephoritzes had effectively seized powerful former ruling families only weakened
the reins of government. He proved particularly the position of the elderly Botaneiates.
inventive when it came to finding new revenues to Meanwhile, the last outposts of imperial power
replenish the straitened public coffers, for instance in Asia Minor were lost. Suleiman ibn Qutlumuš,
taking the city wharfs (skalai), hitherto in private Botaneiates’ former ally, occupied Nicaea, taking
or ecclesiastical hands (and a testament to the control of the roads linking Constantinople to the
economic growth of preceding decades), into state Anatolian interior. Another rebellion broke out in
ownership and imposing duties there, or imposing 1080, this time led by Nikephoros Melissenos on
a monopoly in grain at the market of Rhaidestos the island of Kos. Melissenos marched with Turk-
in Thrace, which was crucial to the supply of the ish support through western Asia Minor, where
capital. These measures earned Nikephoritzes the even the coastal regions were now occupied by
hatred of much of the population, however, and Turks [3388]. These sweeping territorial losses and
opposition to the regime on behalf of Michael VII the constant wars and rebellions now caused a
Doukas grew, exacerbated by the government’s collapse in the gold content of imperial coinage,
lack of military success [89741 f.]; [91135 f.]; [3127 f.]. which fell to a mere eight carats. The state was
Although the army of Nestor fell apart at the virtually bankrupt (→ 5.3. State budget C.) [108931–
walls of Constantinople in 1076, another rebel- 933]; [77]; [91147–155].
lion began in the summer of the following year, In the midst of this existential crisis, the Doukai
led by Nikephoros Botaneiates in Phrygia. It was and Komnenoi redoubled their efforts to replace
supported by the Seljuk leader Suleiman ibn Nikephoros III Botaneiates with one of their own,
Qutlumuš (whom the imperial government was finally settling on Alexios Komnenos. In February
also courting [2no. 1007]), and his troops now occu- 1081, the emperor learned of the plot, and Alexios
pied more cities as they advanced towards Con- was forced to flee Constantinople, but he returned
stantinople. Soon another uprising was underway in triumph as victor on April 1, after another tran-
65 byzantium 1025–1204

sition of power engineered by John Doukas. Nike- so much because of the defeat of the Byzantine
phoros III abdicated and Alexios I Komnenos army at the hands of the Seljuks at Manzikert in
ascended the throne [10555–59]; [4934–36]. 1071, as because of the wars waged in its wake by
various pretenders to the throne, often calling on
B.2. Trends of 1025–1081, and the support of Turkish allies [6916 f.]; [20].
assessment of the period Michael Angold, one of the leading experts on
this period, has argued instead that Basil II left his
B.2.1. Rising aristocratic power and its successors a ‘poisoned legacy’. Basil’s ‘iron rule
consequences [represented] an aberration in the exercise of
B.2.2. Strengths and weaknesses of the aristocracy imperial authority at Byzantium’ and his ‘triumph
and emperors over the Bulgarians gave a false impression of the
B.2.3. The transformation of the wider geopolitical strength of the empire’. Even the capital, Con-
world stantinople, was ‘disproportionately large’ for the
empire as it really was. In Angold’s view, Basil II
B.2.1. Rising aristocratic power and its overextended the frontiers of the empire and its
consequences demographic and economic resources, and Ralph-
Compared with the reign of → Basil II (2.4.), Johannes Lilie echoes this position [10584–587];
even contemporaries judged the achievement of [98249–271]. Jonathan Shepard, however, argues
his successors modest at best. Just fifty years after that ‘the expansion was not ruinous in itself’, but
Basil’s death (1025), Byzantium seemed to be on the larger military and administrative apparatus
the brink. It had seemed so before, in the 7th cen- (→ 5.2. Government) that this territorial and eco-
tury, but whereas the crisis of the 6th–8th cen- nomic expansion required, as well as the new local
turies had been one of shrinkage (of population, and regional elites with their own special inter-
territory and the economy), this crisis appeared ests, proved a burden on the traditional system of
to be one of growth. Scholarly debate accordingly authority. Combined with the new rash of external
revolves around the question of what aspects of enemies, this pitched the state into an existential
demographic, economic and (until the mid-11th crisis [139531–536].
century) territorial growth proved harmful over The economic historian Alan Harvey has
the medium and longer term. argued, on the contrary, that the rise of large-scale
The ‘classical’ explanatory model identifies the aristocratic land ownership was essential to the
growing political and economic power of the great economic and demographic growth of the 10th
quasi-aristocratic families (unlike the West in the and 11th centuries, while the imperial legislation
Middle Ages, Byzantium had no legal definition designed to limit it was based on false assump-
of ‘nobility’) at the expense of the free peasants tions, hampering a development that would have
as the cause of the empire’s difficulties after 1025. contributed to the prosperity of Byzantine society
Since the 7th century, this latter class had been as a whole [64]; [65]. Even the repeated debase-
the financial and military backbone of the empire, ment of coinage implemented by the emperors of
and the emperors of the 10th century (up to and the 11th century was, in Harvey’s view, a sign that
including Basil II) had tried in vain to secure its the state was no longer capable of keeping pace
survival with legislative protection (Georg Ostro- with the ‘booming’ economy, betraying a shortage
gorsky wrote of a ‘feudalization’ of the Byzantine of coin to cover a rising number of financial trans-
Empire [112304–310]; [103219–224]). actions. Other scholars interpret the debasement
Meanwhile, the military system of soldier- of coinage as a consequence of the rising cost of
peasants that had guaranteed the defence of the defence, which was overextending the → public
empire was being weakened in favour of a more finances (1.5.) [10590–601]; [77].
offensive army, and most notably one that made
greater use of foreign mercenaries, at a time B.2.2. Strengths and weaknesses of
when Byzantium needed to be on the defensive the aristocracy and emperors
again in the face of new threats (the Normans in The history of the preceding 10th century
Southern Italy, the Pechenegs in the Balkans and shows that by the early decades of the Macedo-
Seljuks in Asia Minor). Power was shifting from nian Dynasty, it was no longer possible to sustain
the central state authority to the aristocratic clans an imperial regime that was opposed by the pow-
(which Basil II had temporarily neutralized in vio- erful families of the empire (→ 1.4. Emperor, elite
lent conflicts during the first decades of his reign; and subjects B., C.), particularly when there was no
→ 1.4. Emperor, elite and subjects A.1., A.3., B.3.). adult dynast. Invariably, leading members of the
Peter Schreiner called this the ‘seed of decline’ aristocracy, especially from the army, forced their
that paved the way toward the fall of Byzantium way into power, even eclipsing scions of the Mace-
450 years later [138646 f.]; [140584 f.]. In fact, when donian Dynasty (Romanos I Lakapenos with Con-
almost the whole of Asia Minor, formerly the Byz- stantine VII, 920–944, Nikephoros II Phokas and
antine heartland, was lost to the Turks, it was not John I Tzimiskes with Basil II and Constantine VIII,
byzantium 1025–1204 66

Fig. 2: Number of years per decade of internal revolt within the Byzantine Empire, 900–1200 (diagram; adopted
from: [129]).

between 963 and 976) [3430–36]. This relent- had been pursued within a ‘window of opportu-
less quest for the throne may also have evolved nity’ that followed the collapse of central author-
because the ‘nobility’ of Byzantium, unlike that of ity within the Caliphate [98261 f.]; [34]; [128]. New
Western Europe, never enjoyed a defined legal sta- challenges, however, were arising elsewhere. On
tus. Theoretically, its participation in government the one hand, political and climatic turbulence in
always remained at the pleasure of the emperor, the Eurasian steppes was driving the movements
who could always use the government apparatus of nomadic groups like the Seljuks (who seized
against the aristocracy and its property rights [78]; power in Iran and Mesopotamia between 1040 and
[2549]; [5711–26]. 1055) and the Pechenegs ever closer to the politi-
The actions of Basil II after his victories over cal world of the Near East, challenging Byzantium
insurgent Anatolian aristocrats between 976 and from two directions (the Danube and the eastern
989 had presented a new reminder of this prin- frontier [42]; [11920–39]; [129].
ciple [98254, 308]. The aristocracy, which was prof- An even more fateful shift of geopolitical grav-
iting from economic and demographic growth in ity came with the rise of the states of ‘Latin’ West-
the provinces, consequently felt an even stronger ern Europe, where economic and demographic
need to participate in imperial authority, whether growth far outstripped that of Byzantium. Robert
directly or as part of a network that could exert Bartlett has given an impressive description of the
a dominant influence on the throne. Rivalry expansion of the ‘West’ into its peripheries, begin-
between such networks then erupted in full when ning with the Normans in Southern Italy and the
the cohesive force exerted by the Macedonian Reconquista on the Iberian Peninsula, but also
Dynasty ceased with the death of its last represen- including advances into the spheres of influence
tative, Theodora, in 1056. The instability of the 11th of the former hegemons of the Mediterranean, i.e.
century, thus, may have been caused, not by the Byzantium and the Arabs [1414–44]; [107]; [124].
strength of the aristocracy in Byzantium, but by This process would eventually culminate in the
its relative weakness (cf. fig. 2). Crusades, the defining challenge of the 12th cen-
tury for Byzantium. Given the turmoil that thus
B.2.3. The transformation of the prevailed in the 11th century, spelling the demise
wider geopolitical world of other states, the remarkable resilience of the
When these changes that jeopardized the Byzantine Empire must be acknowledged once
internal cohesion of the state combined with a again. Having overcome the desperate crisis of
dramatic transformation of the political world the 1070s–1090s, the empire recovered to act once
encircling the Byzantine Empire, the results were more as the leading power in a more tightly inter-
calamitous. The expansionism of the 10th century woven European-Mediterranean sphere.
67 byzantium 1025–1204

C. The century of the Komnenoi and side him. He was also compelled formally to recog-
its end (1081–1204) nize the son of Michael VII, Constantine Doukas,
as co-emperor [2no. 1064].
C.1. From the accession of Alexios I to the death Other potential claimants were also integrated
of Manuel I (1081–1180) into the system. The former rebel Nikephoros
C.2. From the death of Manuel I Komnenos to the Melissenos was placated with the title of kaisar
Fourth Crusade (1180–1204) and a grant of the revenues of what was now the
C.3. Trends and assessments of the period second city of the empire, → Thessalonica (8.11.)
1081–1204 [2no. 1063]. Alexios I also gave Nikephoros Dio-
genes, son of Romanos IV, estates on the island of
C.1. From the accession of Alexios I Crete. The emperor tended, however, to appoint
to the death of Manuel I (1081–1180) close relatives to especially sensitive commands,
such as his brothers Adrian and Nikephoros
C.1.1. The supporting network of Alexios I Komnenos, who also received generous dona-
Komnenos tions. Alexios’ most important support remained
C.1.2. Conflict with the Normans and domestic his mother Anna Dalassene, who until her
opponents death in 1102 often conducted government busi-
C.1.3. Stabilizing the empire in Southeastern ness at Constantinople while her son was away
Europe [105127–129, 267–312].
C.1.4. Plans to retake Asia Minor
C.1.5. The First Crusade (1095–1099) C.1.2. Conflict with the Normans and
C.1.6. Byzantine diplomacy between crusaders and domestic opponents
Seljuks For the first two decades of his reign, Alexios I
C.1.7. Domestic changes under Alexios I Komnenos faced a range of serious threats to the empire and
C.1.8. Internal and external enemies of John II his own rule that demanded his presence in the
Komnenos (1118–1143) field outside the capital. Although in itself it was
C.1.9. Negotiations and confrontations with the not directly aimed at the heart of the empire, he
‘Latin’ powers to the west and east considered the most dangerous threat to be that of
C.1.10. The accession of Manuel I Komnenos (1143) the Normans, under Robert Guiscard (Count, then
and the challenges to him at home and Duke of Apulia and Calabria, 1057–1085). Robert
abroad took Bari, the last Byzantine foothold in Italy, in
C.1.11. The Second Crusade, the Normans and the 1071. Among other things, he claimed to be assert-
Venetians ing the legitimate rights of Michael VII Doukas,
C.1.12. Policies of Manuel I in Italy and towards the whose son Constantine had been betrothed to
Holy Roman Empire his daughter Helena, against the Komnenos ‘usur-
C.1.13. Conflicts and alliances with Hungary pation’. His army even brought with it a ‘false
C.1.14. Relations between Manuel I and the Michael’ [123]. He was therefore casting doubt
crusader states upon Alexios as the rightful emperor. Further-
C.1.15. Successes and setbacks in the confrontation more, after conquering staging posts in Albania,
with the Seljuks Guiscard was in a position to threaten Macedonia
C.1.16. ‘Latins’ at the court of Manuel I, and the end and the Greek provinces, which provided much of
of his reign the resources still available to the empire.
The emperor’s first two attempts to confront
C.1.1. The supporting network of the Normans directly ended in disaster. Only a
Alexios I Komnenos switch to guerrilla warfare in 1083 forced the Nor-
The accession of → Alexios I Komnenos (2.5.) mans to retreat from Thessaly, enabling Alexios to
finally brought the throne into ‘the hands of an regain the strategic city of Kastoria on the main
alliance of aristocratic families united by marital west-east route through the southern Balkans. In
ties’ ([8128]; cf. also [98330]; [105]; [48]). That alli- 1084, however, Robert Guiscard spearheaded a new
ance included the Komnenoi and Doukai, but also invading force, which crossed the Adriatic despite
clans like the Melissenoi and relative upstarts like resistance from the Venetians, Alexios’ allies, and
the Palaiologoi (who would provide the emperors occupied the island of Cephalonia. However, Guis-
after 1258) [16]; [150285–323]. Potential flaws in this card died unexpectedly on the island in July 1085.
network, however, became visible from the out- The ensuing struggle for his throne compelled a
set. Immediately after taking power, for instance, Norman retreat, enabling Alexios to retake the for-
Alexios tried to sideline the Doukas clan, which mer key imperial centre of Dyrrhachium in Alba-
undoubtedly still harboured its own designs on nia [10570–76]; [82].
the throne. It was only following pressure exerted This success reinforced Alexios’ legitimacy,
by Patriarch Kosmas I (1075–1081) that Alexios’ but his position was still by no means secure. He
wife, Irene Dukaina, was crowned empress along- was only able to finance the expensive mercenary
byzantium 1025–1204 68

army (mostly ‘Franks’ and Turks) that he put into which was already being hampered by extreme
the field by requisitioning church assets twice, in weather in the winter of 1090/91 [129]. The rule of
1081 and 1087. This provoked the ire of ecclesias- Alexios I, and the existence of the empire itself,
tical circles around the charismatic Metropolitan were thrown into doubt once more. One of the
Leo of Chalcedon, who detected echoes of the emperor’s harshest critics at this period was Patri-
‘iconoclasm’ of the 8th and 9th centuries. Leo also arch John VII of Antioch, residing at Constanti-
had prominent supporters in the Doukas circle, nople. John was particularly prone to castigate the
including the emperor’s mother-in-law Maria. emperor for the favour he showed his own family
Despite this, Leo was deposed in 1086, but he was and extended kin, but in doing so John was attack-
reinstalled in 1092 following the condemnation ing the foundation of Alexios’ regime: the network
of his earlier teachings [11625]. Feeling the need of the Komnenoi and other aristocratic families
to prove himself a truly loyal son of the Church, related by marriage. Whatever (vain) attempts
Alexios now ordered the resumption of the trial to overthrow the emperor came from within this
for heresy of the scholar John Italos. John, the son network and beyond it, it was still these ties that
of a Norman mercenary, pupil of Michael Psellos enabled him to keep power through the years of
and former favourite of the Doukas regime, had crisis [3396–101].
sought to extend his philosophical method to Alexios I succeeded in allaying the threat from
the principles of religious faith. He was required the steppes, and with it the immediate domestic
to renounce his teachings in March 1082 and was crisis, by recruiting as allies the equestrian Cuman
banished to a monastery [750–54]; [105198–211]. tribe that now dominated the lands between the
The emperor took more extreme action against Danube and Central Asia. Together with them, he
the dualist Bogomils. Bogomilism had originated inflicted a devastating defeat on the Pechenegs at
in Bulgaria in the 10th century (where it contin- Levounion in Thrace on April 29, 1091. The emperor
ued to be a strong presence even in the reign of did not regain complete control over the north-
Alexios I, for instance in Philippopolis). It had eastern Balkans, however, until he also defeated a
since spread to Constantinople, where, no doubt Cuman army in 1094 [146103–105]; [37301 f.]; [3180 f.];
partly in response to the general atmosphere of [4937 f., 58–61]. Challenging Çaka in the Aegean,
crisis, it was even attracting aristocratic sympa- in contrast, required a fleet, which succeeded in
thizers (→ 7.3. Sanctity, piety and deviance E.). retaking the islands of Lesbos and Chios in 1092
The nucleus of this group was incarcerated, and, and subsequently in restoring imperial authority
contrary to custom, its leader, Basil the Physician, over Crete and Cyprus [13299–101]. Çaka himself
was publicly burned to death in the Hippodrome. was murdered in 1093 by his son-in-law, the Seljuk
Alexios I also had Euthymios Zigabenos compose sultan Qiliğ Ārslān I (1092–1107), acting in concert
a treatise entitled Panoplia dogmatike (‘Doctrinal with Constantinople [2no. 1169]; [10592–94].
Armoury’) against all heresies, including those of
non-Orthodox churches like that of the Armenians C.1.4. Plans to retake Asia Minor
[55]; [6]; [11628–31]; [118480–486]; [7468–501]; [105211– By 1095, the situation in the European part
234]; [3068–74]. The emperor also set about correct- of the empire had stabilized to some extent (at
ing abuses in the ecclesiastical administration, e.g. least after Alexios thwarted an attempted coup in
excluding unsuitable clerics from serving at Hagia which various members of his inner circle were
Sophia and restricting the charisticariate, a sys- implicated). The former heartlands of Asia Minor,
tem that enabled laymen to administer and use however, remained almost entirely lost [4979–86].
church assets, originally intended to promote the Alexios achieved several accommodations with
reconstruction of derelict monasteries [39322–324]; Sultan Suleiman ibn Qutlumuš (1081–1086), and
[765–69, 276–280]. Suleiman even sent 7,000 mercenaries to fight the
Normans. But the frontier between Byzantium
C.1.3. Stabilizing the empire in and the Seljuk lands was defined in 1081 as the
Southeastern Europe River Dracon, very close to Constantinople, and
The defeat of the Normans temporarily neu- the sultan himself was resident at Nicaea, block-
tralized only one of the threats to the empire. The ing all other routes into the Anatolian interior
Pechenegs, meanwhile, continued to ravage other [2no. 1068]; [21]. Antioch on the Orontes, the most
parts of the Balkan provinces (→ 15.3. The Balkans important base on what had been the Byzantines’
C.2.). A costly land and sea expedition against southeastern frontier, also fell to the Seljuks in
them was launched in 1087, including the dis- 1084. Although Trebizond on the Black Sea was
patch of a fleet into the Danube Delta, but ended successfully defended, it long remained de facto
in Byzantine defeat. The Pechenegs again attacked independent of Constantinople under the rule of
imperial territory in 1090 [146101–103]; [37301]. the Gabras family [7021–27]; [4225].
Simultaneously, the Turkish leader Çaka Bey was The only part of Asia Minor really controlled
using a fleet based at Smyrna to harry the mari- by Constantinople was thus the immediate coastal
time traffic supplying → Constantinople (8.10.), strip on the Asian side of the Bosporus, where
69 byzantium 1025–1204

Alexios I had the city of Nicomedia and other for- C.1.5. The First Crusade (1095–1099)
tresses reinforced as bases for any future advances. If there was joint planning by Rome and Con-
Such advances seemed possible after 1095, given stantinople, it certainly did not include the ‘Cru-
the improved situation in the Balkans. At the same sade of the poor’ conjured with no pontifical
time, the murder of Sultan Malik-Šāh in 1092 was directive by charismatic preachers like Peter the
precipitating the collapse of central power in the Hermit in the Rhineland. After conducting savage
Seljuk Empire, which had also claimed suzerainty attacks on the Jewish community there, Peter’s
over the various Turkish potentates of Asia Minor. rabble set off even before the armies of the high
Malik-Šāh’s death also meant, however, that Con- nobility, and when it and others entered Byzan-
stantinople no longer had a supreme authority tine territory at Belgrade in the summer of 1096,
to appeal to in its relations with individual rulers they had to be provided for and induced to move
[4963–65]; [11968–71]. Alexios I, in addition, lacked on quickly, lest these territories, only just secured
the troops to launch a campaign against the Seljuk for the empire, were destabilized. Once agree-
cavalry with any hope of success. ments had duly been made, they were transported
One promising approach appeared to be to as quickly as possible over the Bosporus into Asia
use armoured knights from Western Europe. Such Minor in August. Once there, the army rapidly dis-
knights had proved themselves in battle against integrated, and the scattered groups were annihi-
the Turks in the 1070s under Roussel de Bailleul lated by the Seljuks [9938–40]; [49119–124].
(see above, B.1.6.), even if the Norman had then Special preparations were made for the arrival
turned against Constantinople. Mediation by of the various contingents of the high nobility.
Count Robert I of Flanders brought a similarly High-ranking princes were received with honour,
valuable contingent of reinforcements to Byzan- their troops were provided for as far as possible
tium in 1089, in the form of a force of 500 knights. (→ 9.10. Logistics), and they were guaranteed safe
If more such warriors were to be recruited in the conduct to Constantinople. Nevertheless, there
‘Latin’ West, it seemed advisable to repair rela- were conflicts, even with the commander of the
tions with the papacy, which had lain in tatters very first contingent to arrive at Constantinople
since 1054. Pope Urban II (1088–1099), for his part, in December 1096, Godfrey of Bouillon. Alexios
had an interest in using such contacts to extend I concluded an agreement with Godfrey after
his authority over the whole of Christendom, fac- lengthy negotiations in January 1097, by which the
ing as he did an immediate threat to that author- emperor guaranteed the crusaders’ transportation
ity in the recent (1080) election of the Antipope to Asia Minor, their provisioning and the distribu-
Clement III [56]. tion of additional benefits to the poor in the army.
Negotiations between Alexios I and Urban II In return, Godfrey pledged an oath of loyalty (on
over restoring the name of the pope to the liturgy the western model) and undertook to hand over
and the question of the Latins’ use of unleav- all future territorial conquests that had previously
ened bread (ta azyma) therefore began quickly, been Byzantine possessions to the emperor’s rep-
in 1088/89 [2no. 1146]; [4920–23]. The emperor resentatives [9940–49]; [49127–137].
approached the pope again in 1091, this time Similar agreements were concluded with the
already with a request for armed assistance, prob- later arrivals, who included Robert (II) Curthose
ably against the Pechenegs [2no. 1156]. Another of Normandy and Stephen, Count of Blois, as well
embassy from Alexios came to Urban II in 1095, as the Normans of Southern Italy under the com-
this time requesting help against the Turks [99]; mand of Bohemond of Taranto, whose advance,
[2no. 1176]. recalling the attacks of the 1080s, had aroused par-
The exact nature of these moves by Alexios ticular suspicion in Constantinople. The powerful
I is a matter of contention. Most scholars have Count Raymond IV of Toulouse refused to take the
hitherto assumed that the emperor was hoping oath of loyalty, and only promised to safeguard the
to inspire an increased influx of Frankish troops, honour of the emperor [2no. 1202]; [9943 f.]; [8330 f.].
but not a major expedition on the scale of the The unified crusader army, together with a Byz-
First Crusade [99]. Peter Frankopan, on the other antine contingent, marched under the command
hand, believes that there was a detailed agreement of the emperor’s highly trusted general Tatikios in
between Urban II and Alexios I, conceiving a sub- the spring of 1097, its destination the strategically
stantial ‘pilgrimage under arms’; the emperor thus crucial city of Nicaea. The Seljuk sultan resident
did not accidentally trigger the crusade, but will there was absent, and the assault put the Turkish
have actively prepared it (even if the idea of ‘holy garrison under pressure. Following secret negotia-
war’ was alien to the Byzantine tradition [147]). tions with emissaries from Alexios I in June, the
Even Frankopan concedes, however, that both Turks opted to hand over the city to the mercy
pope and emperor were taken aback by the actual of the Byzantine emperor rather than to that of
scale of the movement provoked by the proclama- the ‘Franks’ [9949–52]; [49140–143]. Following this
tion of the Crusade at Clermont in November 1095 first, great success, the crusader army marched
[4987–117]. on through Asia Minor, successfully repelling
byzantium 1025–1204 70

attacks by the main Seljuk army, while two other There was even an agreement with the Seljuks
Byzantine army groups in its wake brought the in 1101, after the First Crusade had passed through
most important cities and regions of western Asia Anatolia and other Frankish armies had come to
Minor, such as → Ephesus (8.12.) and the Mae- grief there. It established the boundaries between
ander Valley, back under imperial control. The the reconquered Byzantine provinces, in the west
crusade reached Cilicia and northern Syria in the and along the coast, and the new sultanate formed
autumn of 1097, and more cities were conquered in the interior, centred on Iconium [2911–18];
and returned to the Byzantines there. [3514–16]. Like his predecessors in the 1080s, the
Baldwin of Boulogne, the brother of Godfrey emperor sought help from Sultan Qiliğ Ārslān I
of Bouillon, now left the main army group, ulti- in 1107, when Bohemond set about repeating the
mately taking his contingent to Edessa in northern Norman attack on Byzantium from Southern Italy
Mesopotamia, where he allied with the Armenian and occupied Albania. This time, however, Alexios
prince Tʿoros (1094–1098) and joined forces with I won a decisive victory, and the 1108 Treaty of
him. In Frankopan’s opinion, Baldwin was acting Devol compelled Bohemond formally to acknowl-
on the emperor’s orders even then, but the effect edge the emperor’s overlordship over Antioch,
of his actions was to establish one of the first inde- which he was now allowed to rule as a Byzantine
pendent crusader realms, the County of Edessa vassal. For the time being, however, Byzantium
[96]; [165 f.]; [49151 f.]. was unable to enforce this claim, not least because
In October 1097, the remainder of the crusaders Tancred, currently Bohemond’s regent at Antioch,
laid siege to Antioch, which controlled the route of refused to recognize the treaty [9966–70]; [49188–
their advance into Syria. Despite the efforts of the 192]; [4228–240]; [12451–54]. Alexios I tried to mobi-
governor of Cyprus, supplies were running out for lize the other Frankish princes and the Seljuks
the besieging forces, even as Muslim relief armies against him. Meanwhile the emperor was again
threatened to counterattack. When the Byzantine (in 1112) negotiating with Pope Paschal II over the
general Tatikios decided, in February 1098, to leave possibility of a church union [12]; [98367–369].
the army to arrange for reinforcements and provi- This ‘flexibility’ of Byzantine diplomacy, which
sions, the Norman Bohemond of Taranto used the Frankish chroniclers of the Crusades were par-
opportunity to persuade the other crusader lead- ticularly wont to wield as an accusation, also
ers to break the agreement with the emperor and demonstrates the double-edged outcome of the
refuse to surrender Antioch to the Byzantines. First Crusade, triggered (or catalysed) by Alexios’
When the city fell, Bohemond asserted his own requests for help from Pope Urban II. Important
claim, founding a Norman princedom in northern goals, such as the restoration of Byzantine power
Syria. The crusade, which moved on from Antioch in Asia Minor and the assertion (at least formal) of
early in 1099, did so without Bohemond, and also control over Antioch, had certainly been achieved.
without Byzantine participation. Nevertheless, the It was even possible for Byzantium to turn to its
crusaders conquered Jerusalem in July 1099 and advantage the permanent presence of Frankish
founded a Frankish kingdom in the Holy Land power in Syria, although this also harboured the
[9953–61]; [49157–185]; [4229, 232]. potential for conflict. Given the ties between the
crusader states and the West, any such conflicts
C.1.6. Byzantine diplomacy between would also be capable of harming relations with
crusaders and Seljuks the powers of Western Europe and the papacy
Bohemond explicitly rejected Alexios I’s request [98360–362]; [49186–206].
to surrender Antioch to Byzantium in 1099. The
ongoing conflict was also damaging the emperor’s C.1.7. Domestic changes under Alexios
reputation in the West, which increasingly saw I Komnenos
him not as the sponsor, but as the betrayer of the As things stood, however, the daughter of
fight for the Holy Sepulchre. In 1102, Alexios felt Alexios I, Anna Komnene, could claim in her his-
compelled to send emissaries to Pope Paschal II, tory, the Alexias (written ca. 1140), that her father
assuring him of his goodwill towards the crusaders had restored the Roman Empire from the Danube
[9961–63]. In 1105, the emperor arranged the mar- to the Euphrates (i.e. to its extent in the reign of
riage of his eldest son, John (II), to Piroska-Irene, Basil II) [96]; [27]. But the status of that empire
niece of King Koloman (Kalman) I of Hungary, had been changed by the establishment of the
founding a new policy of intensive marital diplo- Turkish polities in the Anatolian interior and
macy [145]. Even so, Constantinople continued to the growth of Latin power on the empire’s west-
uphold its traditionally good relations with the ern and eastern flanks. These changes were not
Fatimids of Egypt, which irked the crusaders, even exclusively external. Alexios relied on Turkish and
when Byzantine diplomacy was active on their Frankish warriors to fight his battles, and families
behalf in Cairo [2no. 1216, 1218e]. from both cultural spheres now started to forge
71 byzantium 1025–1204

careers under him and his successors. In doing that crown for his own line, John II named his
so, they lined up alongside other, longer-stand- first-born son Alexios Komnenos co-regent around
ing → elites (1.4.) of ‘non-Byzantine’ background 1112. In 1136, the emperor founded the great Mon-
[79]; [78]. astery of Christ Pantokrator in Constantinople as
One important shift came with the growing a Komnenos family endowment; it also included a
influence of Italian traders on the economic life → hospital (13.2.) [86]; [150189–207]. Among John’s
of the empire. The price the Venetians exacted for closest confidants was the Turkmen army officer
their support against the Normans in 1082 was a John Axouch (Axouchos), whom he made his
privilege [958–16]; [2no. 1081]; [98331–335]; [74] that commander-in-chief (megas domestikos). In addi-
largely exempted them from duties (thus also tion to the throne, John II also inherited from his
giving them an advantage over local traders) and father the same external challenges that would
granted them the right to trade in many ports of dominate the reign of his successor, Manuel I
the empire and any that might be recaptured in (1143–1180).
Asia Minor. This included Constantinople, where Alexios I had his Anna Komnena and Manuel I
a permanent Venetian quarter was established. his Niketas Choniates, but the ‘middle’ Komnenos
The city of Pisa negotiated a similar concession in lacked a notable contemporary historian to reflect
1111 [9569–75]. The Italians’ growing interest in trad- on his reign. Even in modern scholarship, he still
ing rights in both the capital and the provinces sometimes tends to be overshadowed by his father
can be associated with steady Byzantine economic and his son [28]. Yet the answers he offered to the
and demographic growth (attested in a range of external threats facing the empire proved decisive
historical, archaeological and scientific findings), in the decades that followed [10135–41]. First among
particularly apparent in the territories of what is these was to secure the provinces of Southeastern
now Greece. It seems anachronistically modern to Europe, which, despite the retrieval of parts of
think of this, as Peter Frankopan argues, in terms Asia Minor in the First Crusade, were still the eco-
of a large-scale Venetian ‘investment programme’ nomic and demographic heart of the empire. The
in the Byzantine economy, initiated by Alexios I Pecheneg threat here was revived by their alliance
with these privileges [4975–77]; [109]; [23388–395]; with Grand Prince Vladimir Monomakh of Kiev
[59]; [129]. Whatever the case, the new and well- (1113–1125) [133]. The latter was placated by diplo-
founded prosperity in parts of the empire served matic means, including the marriage of his grand-
as the basis for the recovery of the → public daughter to Alexios, the Byzantine heir apparent.
finances (1.5.) and the restoration of an orderly Then, in 1122, John II inflicted a devastating defeat
financial administration and a new standard gold on the Pecheneg cavalry that neutralized the dan-
coin (the hyperpyron, ‘hyper-refined’, established ger they posed to the empire indefinitely [146108];
1094) [91142–164]. [37312, 328]; [3133 f.].
Meanwhile, however, Hungary was becoming
C.1.8. Internal and external enemies an ever-stronger rival for control of the north-
of John II Komnenos (1118–1143) western → Balkans (15.3.), despite the fact that
The end of Alexios I’s reign, however, laid bare John II was related to the Arpad royal house by
the continuing potential for discord within the rul- his marriage to Piroska-Irene. Pretexts for Hungar-
ing elite, indeed within the imperial family itself. ian intervention south of the Danube were regu-
The emperor’s wife, Irene Dukaina, and his daugh- larly provided by the grand princes of Serbia, who
ter, Anna, hoped to persuade the ageing Alexios were striving to extricate themselves from Byzan-
to name Anna’s husband, the kaisar Nikephoros tine rule. Constantinople was able to maintain its
Bryennios, as his successor. Even before Alexios authority here only by force of arms. In 1128, the
died on August 15, 1118, however, his eldest son Hungarians even advanced as far as Philippopolis
(and, since 1092, co-emperor) John (II) Komnenos (Plovdiv) before being pushed back [146188–210];
had successfully seized control of the capital and [37328].
central government. Anna and her mother were
placed under house arrest in a monastery, while C.1.9. Negotiations and
Nikephoros Bryennios swore allegiance to the new confrontations with the ‘Latin’
emperor, an oath he kept until his death in 1139 powers to the west and east
[33103 f.]; [105435–448]. The Normans of Southern Italy were also seen
John’s brother Isaac now opened another front as an ‘old enemy’ of Byzantine authority in the
in the family feud. Although he initially supported Balkans, all the more so when Roger II (1130–1154)
his brother, he then became involved in a conspir- united their various counties and duchies into a
acy and had to flee Constantinople in 1130, visiting single, powerful kingdom [98374–376]; [72]. The
a number of foreign courts to seek support for an Holy Roman Empire also felt threatened by this
attempt on the crown [33104 f.]. Wishing to secure development, which led to negotiations in 1135
byzantium 1025–1204 72

and 1137 between John II and the Holy Roman to abandon the campaign and return to Constan-
emperor Lothar III (1133–1137) towards a joint alli- tinople [97107–110]; [9974–79]; [4250–252].
ance against the Normans [2nos. 1309, 1313]. Nego- John II made a surprise reappearance in Cilicia
tiations continued in 1139 with Lothar’s successor in 1142, when he demanded that Raymond hand
as King of the Romans, Conrad III (1138–1152) of over Antioch. He was not, however, immediately
Hohenstaufen, and it was agreed that the emper- able to enforce his demand. The emperor decided
or’s youngest son, Manuel, would marry a German to winter his army in Cilicia, but early in 1143, he
princess [2no. 1320]. The designated bride, Bertha was injured in a hunting accident, and his wounds
of Sulzbach, the sister of Conrad’s wife Gertrud, proved fatal. On his deathbed, John named his
arrived at Constantinople in 1142. youngest son Manuel, who was present, as his
The effort to neutralize the Norman threat co-emperor and successor, while Manuel’s older
also included negotiations with Pope Innocent II brother Isaac languished at Constantinople. John’s
[2no. 1320a, b] on church union and with the mari- eldest son, Alexios, who had previously become
time power Pisa, whose privileges were renewed co-emperor, had died in 1142 [170]; [98383–386];
in 1136 [2no. 1310]. Relations with Venice, however, [4252].
were on thinner ice, and John II only declared him-
self ready to affirm Venetian privileges in August C.1.10. The accession of Manuel I
1126 after a lengthy conflict. These privileges were Komnenos (1143) and the challenges to
now extended to cover the islands of Cyprus and him at home and abroad
Crete [9517–22]; [2nos. 1304, 1305]; [98370–374]. The ever The succession within the Komnenos fam-
closer ties between Latin powers and the Byzan- ily was again plunged into uncertainty. Manuel’s
tine sphere meant that the empire had to expand supporters secured the palace and the capital in
its diplomatic horizons to safeguard its interests. April 1143, and placed his brother Isaac under
The same was true in Asia Minor, where the house arrest in the Monastery of Christ Pantokra-
Danishmend Emirate, a rival to the Seljuks that tor. The 25-year-old emperor, meanwhile, sent his
ruled over Sebastea and (from 1124) Melitene, father’s confidant John Axouch ahead to Constan-
proved a more dangerous opponent during the tinople with an advance party, Manuel himself
reign of John II. Tensions increased when the Emir finally arriving with the main body of his army to
Gümüştekin Danishmend Gazi granted asylum be proclaimed emperor in Constantinople at the
to the emperor’s renegade brother Isaac in 1130. end of June 1143. He was then crowned by Patri-
John II won a prestigious victory when his forces arch Michael II Kurkuas (1143–1146), also only
took the fortress of Kastra Komnenon (Kastamonu) just appointed. Manuel bought the goodwill of
in 1132, but this heralded no lasting success that the Church with payments to the clergy of Hagia
might have brought a ‘reconquista’ of inner Asia Sophia and other privileges granted to the monas-
Minor within reach, even when the emperor allied teries in and around the capital [98387 f.]; [786–98].
with the Seljuk sultan Rukn ad-Dīn Masʿūd I (1116– There was at least superficial reconciliation
1156) of Iconium in 1134/35 [2918–20]; [2no. 1308]. At with Manuel’s brother Isaac, but the latter’s own
least the frontier could now be reinforced against claim to the throne was supported by his uncle
Turkish attacks, as new fortresses were built at Isaac, who had made trouble before in the reign
Lopadion and Achyraus. of John II before regaining the former emperor’s
The real priority on the empire’s southeastern favour. The elder Isaac continued his quest for
flank in Asia Minor, however, was to enforce Byz- power until Manuel finally forced him to retire to
antine lordship over Cilicia and Antioch on the a monastery in 1150. He handed on the ‘torch’ of
Orontes, as agreed in the 1108 Treaty of Devol (see internal Komnenian opposition, however, to his
above, C.1.6.) with Bohemond. John II conducted son Andronikos Komnenos, who would cause his
a two-year campaign in these lands in 1137/38. In cousin Manuel I yet more headaches, sometimes
Cilicia, he captured the ‘Lord of the Mountains’, even rousing sentiment against the emperor at for-
Leo (Łewond) I (1129–1137) of the Armenian Rube- eign courts, like his father before him [33107–109].
nid Dynasty, and deported him and his family to Having secured the throne, Manuel I turned his
Constantinople [169 f.]; [98376–378]; [41vol. 1, 588–592]. attention to continuing his father’s foreign policy.
Raymond of Poitiers, Prince of Antioch, was also He planned a campaign against the Seljuks, and
compelled to submit to the emperor, agreeing to in 1144 again made contact with the King of the
cede his territory to Byzantium once neighbouring Romans, Conrad III, partly to renegotiate the
Muslim cities had been conquered as compensa- terms of his marriage to Bertha of Sulzbach, who
tion for him. However, the ensuing joint campaign was now, after all, marrying not merely a prince,
against ʿImād ad-Dīn Zangī, Atabey of Mosul and but the emperor himself. An agreement was
Aleppo (1127–1146), whose power posed an ever- reached that also included the dispatch of an aux-
increasing danger to the crusaders, did not bring iliary corps of 500 knights to Byzantium. Bertha
the anticipated success. The emperor was forced took the Greek name Irene and married Manuel
73 byzantium 1025–1204

in 1146 [2no. 1338]. The emperor’s new kin, how- the cities of Thebes, Corinth and Athens (from
ever, soon developed a much closer interest in his where he abducted valuable specialists in silk
regime than he can have intended. manufacture, bringing them to Sicily) and occu-
pied the strategically important island of Corfu
C.1.11. The Second Crusade, the [72]. Partly in reaction to this, Manuel I renewed
Normans and the Venetians the privileges of the Venetians, hoping that their
Atabey ʿImād ad-Dīn Zangī conquered the cru- navy would again provide help [9522–24]. However,
sader County of Edessa in 1144. Pope Eugene III the ensuing joint expedition against the Normans
reacted by proclaiming a new crusade, which brought a rupture between the allies, and rela-
Conrad III and Louis VII of France joined in the tions between Byzantium and Venice henceforth
spring of 1146. When Manuel I heard of this, he remained permanently strained. The conflict esca-
made contact with the pope and the western mon- lated in March 1171, when the emperor ordered
archs to discuss the conditions of the crusaders’ the arrest of all Venetians throughout the empire
march through Byzantine territory. His emissaries and the confiscation of their assets [2no. 1500]. In
reminded the crusaders of the treaties agreed with response, the Venetian fleet attacked Byzantine
Alexios I, and in exchange for a guarantee to sup- territories in the Aegean. Shortly afterwards, Man-
ply the German and French armies, they secured uel I again sought an understanding with Venice,
a promise that the expedition would not harm the but the complex negotiations over compensation
empire and would hand over to the emperor any for the damage done in 1171 were beset by mutual
former Byzantine territory it conquered. There distrust and were not satisfactorily concluded dur-
was particular concern at Constantinople over ing the emperor’s lifetime [95493–525].
the possibility of cooperation between the French
crusaders and the Norman king Roger II. Despite C.1.12. Policies of Manuel I in Italy
these diplomatic and logistical preparations, ten- and towards the Holy Roman Empire
sion accompanied the progress of the German Far more promisingly, it seemed, an alliance
army in the summer of 1147, not least because of was concluded at Christmas 1148 between Manuel
disputes of precedence between Conrad III (still and Conrad III, then returning home from the
claimant to the crown of the Holy Roman Empire, Holy Land, against Roger II. The pact was sealed
although never actually to don it) and the Byzan- with the marriage of Henry II (Jasomirgott), the
tine emperor [10146–53]; [2534 f.]. The crusade also Babenberg Duke of Bavaria, to Theodora, the
seemed ill-fated. In September 1147, a flash flood emperor’s niece [66]; [135]. The two empires
destroyed the camp at Choirobakchoi (west of intended a united front against the Normans, and
Constantinople), drowning many fighters. The there were even plans for a permanent restitution
campaign in Asia Minor also failed, as most of the of Byzantine power in Italy. The Byzantines suc-
army was ambushed at the River Bathys, east of the ceeded in retaking Corfu in 1149, but despite fre-
city of Dorylaeum, on October 25. The remnants of quent urging by emissaries of Manuel I, the joint
the army under Conrad III and the French force campaign with the Germans in Italy never hap-
following behind it under Louis VII tried through pened, and Conrad III died in February 1152. Con-
the winter to find their way through western Asia rad’s nephew Frederick ‘Barbarossa’ (Friedrich I,
Minor to the southern coast, exposed not only to 1152–1190) was elected as his successor (and unlike
Turkish attacks but also to rain and cold. Conrad III Conrad actually crowned Holy Roman Emperor, in
took ill and abandoned the march at Ephesus, trav- 1155). Frederick had also taken part in the crusade,
elling on to Constantinople and later by ship to but he showed no interest in supporting the estab-
Palaestina. Leading nobles from the French army lishment of Byzantine power in Italy. Instead, he
also abandoned the remaining foot soldiers after rebuffed the overtures from Constantinople and
arriving at Attaleia and crossed by sea to Syria worked to hamper the expansion of Byzantine
[121171–175]; [3133 f.]; [67]. The crusade then ended in influence in Italy and Central Europe [54221–253].
farcical fashion in July 1148, in a hopeless attack on Nevertheless, the death of Roger II in 1154 and
Damascus. The French camp in particular laid the ensuing internal unrest in the Norman kingdom
blame for the fiasco at the Byzantine emperor’s gave Byzantium an opportunity to seize a bridge-
door, accusing him not only of failing to support head in Southern Italy, and in 1155 the empire even
the crusade, but even of having made a pact with conquered Bari. However, the campaign faltered
the Turks. Prejudices against the Byzantines sown in 1156 following a defeat outside Brindisi. Still
in the wake of the First Crusade were now rein- Manuel I did not deviate from his plan to reab-
forced [137]; [97150–160]; [9985–107]; [121]; [110]. sorb parts of Italy into the empire. In pursuing
Byzantium, meanwhile, was suffering ‘Latin’ it, he even intervened farther north on the Adri-
aggression in the form of an attack by the Norman atic coast. In 1157, he sent Alexios Axouch, son
king Roger II, who exploited the crusade to launch of the megas domestikos John, to Ancona, which
a surprise invasion of Greece. His force plundered recognized imperial overlordship and became a
byzantium 1025–1204 74

Byzantine protectorate for a time. Without ques- since the reign of John II, particularly as a result of
tion, Frederick Barbarossa will have regarded a the Hungarian support lent to Serb princes rebel-
Byzantine base in northern Italy, where his rule ling against Byzantine overlordship. Hungary was
was delicate at the best of times, as a provocation also at the intersection of the spheres of influ-
[10162–66]; [2nos. 1413, 1413a]. ence of the Byzantine and Holy Roman Empires
A peace treaty was signed between William I [146239–274]; [37328–330].
of Sicily (1154–1166) and Manuel I the following Constantinople was also unsettled by good
year, which envisaged Norman support for the relations between Geza II of Hungary (1141–1162)
emperor’s Italian plans [2no. 1420]. Even more scope and neighbouring Rus’ princedoms whose rulers
for action appeared to open up in 1559, when con- wished to extricate themselves from its ecclesiasti-
flict broke out between Antipope Victor IV, whom cal authority. These included Iziaslav II Mstislavich
Barbarossa supported, and Pope Alexander III. (between 1146 and 1154) and Rostislav I Mstislavich
The latter began to seek contact with the Byzan- (1164–1165) in Kiev, and Yaroslav Vladimirovich
tine emperor in 1161, sometimes using Louis VII Osmomysl (1153–1187) of Halych (Galicia), who
of France as intermediary, and he even offered to not only granted asylum to the emperor’s fugitive
recognize Manuel as the sole legitimate Emperor cousin, Andronikos, but also gave military support
of the Romans if he would defend him against the to Hungary against Byzantium. It was only in 1165
Hohenstaufen [2no. 1480]. This did not happen, but that an embassy of Manuel I succeeded in reach-
Manuel I nonetheless provided various forms of ing an accommodation with the princes of the
support, including large sums of money, to Bar- Rus’ [125289–292]; [47].
barossa’s Italian enemies. The conflict with Hungary, however, rumbled
Assailed on all sides, Frederick sent his arch- on in the reign of Geza’s son and successor, Ste-
chancellor, Archbishop Christian of Mainz, at the phen (István) III (1162–1172), who received support
head of an embassy to Constantinople in 1169 from the Holy Roman Empire. Manuel I brought
seeking to end Byzantine support for his foes. Stephen’s brother and heir, Béla, to Constantino-
Even Barbarossa’s nemesis Duke Henry the Lion ple and used him as leverage to support his territo-
(Heinrich XII) of Bavaria pleaded for a reconcili- rial demands, but the emperor’s plans went further
ation of the two emperors at Constantinople in still. He married Béla to his daughter Maria and
1172, but nothing lasting emerged from it. The very named him as heir in 1165, thereby paving the way
next year, Barbarossa’s troops launched an assault for a Byzantine-Hungarian personal union. The
on Ancona (with help from Venice, at war with Byzantine army defeated Stephen III at Semlin
Byzantium since 1171; see above,  C.1.11.), but the (Zemun) in 1167, and Stephen was forced to cede
attack failed. Frederick Barbarossa’s Italian policy the stipulated territories in Dalmatia and even
lay almost entirely in tatters after his defeat at the recognize Byzantine overlordship. Although the
hands of the Lombard League at Legnano in 1176 birth of a son to Manuel in 1169 (Alexios) annulled
[54372–387]. Béla’s claim as imperial heir, he succeeded his
Even so, Manuel I was unable to reap any brother Stephen as king of Hungary (as Béla III,
real reward from his costly involvement in Italy. 1172–1196) and proved a loyal ally to Manuel for
Even contemporaries, like most modern scholars, the remainder of the latter’s reign. Béla’s acces-
condemned this policy as overambitious and no sion in 1172 also deprived the Serbs of their key
longer relevant to the resources or interests of the support, and their Grand Prince Stefan Nemanja
Byzantine Empire. Yet taking into consideration (1166–1196) duly submitted to the emperor that
the multiple threats to what were now core prov- same year. Byzantine control of the Balkans thus
inces of the empire in Southeastern Europe from appeared to have been restored, but it was brittle,
attacks originating across the Adriatic, especially as events after the death of Manuel would prove
by the Normans, during and after the reign of [10178–83]; [146275 f.]; [37332–335].
Manuel, it is clear at least that Byzantium could
not simply ignore developments in Italy. A pro- C.1.14. Relations between Manuel I and
active policy may even have appeared prudent, the crusader states
besides resonating well with farther-reaching As explained above, Byzantium’s relations
‘imperial’ ambitions [98396–404]. with the western powers depended intimately on
its relations with the crusader states in the east.
C.1.13. Conflicts and alliances with The failure of the Second Crusade had tarnished
Hungary the prestige of the emperor in both directions,
Manuel I’s intensive engagement with Hun- and he continued to be denied significant suc-
gary, involving thirteen campaigns between 1151 cess for some years, particularly in enforcing the
and 1167, can be read in the same way. Here too, claims made by his father in Cilicia and Antioch.
the main concern was to reassert Byzantine con- Some fortresses bought from Countess Beatrix of
trol over the Balkans, which had been undermined Edessa in 1150 were lost to Nūr ad-Dīn of Aleppo
75 byzantium 1025–1204

(1146–1174) within a year. In Cilicia, the Armenian to cooperate. The general Ṣalāḥ ad-Dīn (1171–1193),
(Rubenid) Prince Tʿoros II (1144–1169) resisted however, sent by Nūr ad-Dīn of Syria to guarantee a
the imperial troops, and in 1156 he and Renaud Muslim successor to the Fatimids, prevailed on the
(Raynald) de Châtillon, Prince of Antioch from Nile, and a disappointed Manuel I also concluded
1153 to 1160, even plundered Cyprus together [170 f.]; a peace with him in 1169 [63109 f.]; [61282–288]. Even
[97167–170]; [99109–111]; [4256 f.]. now, Manuel and Amalric I, then the latter’s suc-
The emperor, however, found ways of reacting cessor, Baldwin IV (1174–1183), continued to mull
more effectively to such provocation, thanks not new invasion plans, and another Byzantine fleet
least to a peace treaty signed with the Normans in arrived at Acre (Akkon) in 1177. Again, there was
Southern Italy in 1158. In the same year, a niece of to be no onward move into Egypt, but Manuel
Manuel’s (Theodora) was married to Baldwin III was nonetheless able to use this alliance as evi-
of Jerusalem (1143–1162) [113302–306]. Following dence, presented to the West and the papacy, of
these diplomatic preparations, Manuel I launched his commitment to the shared Christian faith [63];
a major campaign against Cilicia in 1158. Tʿoros II [97215–218]; [99116–124].
fled to the mountains [172]; [99111–114], and Renaud
de Châtillon surrendered to the emperor in the C.1.15. Successes and setbacks in the
field camp at Mamistra. Manuel I entered Antioch confrontation with the Seljuks
in triumph at Easter 1159, with Baldwin III also in The only concrete gains for Byzantium, how-
attendance. Despite this prestigious success, how- ever, came from its interventions in Cilicia and
ever, the emperor was unable, after withdrawing Antioch, where a second front was also opened
along with his troops, to force Renaud to keep up against the Seljuks. The Seljuks had re-emerged
his promises to appoint an Orthodox patriarch as the key Byzantine enemy in Asia Minor during
and to permit Byzantine occupation of the citadel Manuel’s reign, and he responded, emulating his
of Antioch. However, when Bertha-Irene died in father, by reinforcing border fortresses and estab-
1160, an opportunity arose to strengthen ties with lishing new themes, such as Neokastra, founded
Antioch and the crusader states, and Manuel mar- in the Pergamum area in 1160. Participants in
ried Maria, of the Antiochian princely house, at the Second Crusade had learned to their cost the
Christmas 1161 [63106–108]; [113312–322]; [4258 f.]. difficulty of controlling these border regions in
Byzantine and Antiochene troops also launched 1147, when their armies suffered severe losses in
a successful joint campaign against the Seljuks Seljuk ambushes while marching through ‘Byz-
in 1161, while in 1164, the Byzantine presence in antine’ western Asia Minor. Some movements
the region dissuaded Nūr ad-Dīn of Aleppo from through these frontier zones, however, were cer-
attacking Antioch itself after defeating its prince, tainly agreed on both sides. Several sources of the
Bohemond III (1163–1201). Manuel I bought the 12th and 13th centuries, for instance, describe the
freedom of the captive Bohemond and brought migrations of Turkmen nomads with their herds,
him to Constantinople, where he found himself in from summer pastures in the Anatolian highlands
no position to refuse the installation of an Ortho- to the meadows of the Byzantine-dominated Mae-
dox patriarch of Antioch [99114–116]; [4259–261]. The ander Valley, where they wintered by agreement
emperor profiled himself as a patron of Orthodox with the local population of Christian farmers
institutions elsewhere in the crusader states too. [19]; [129].
He also began, in 1166, to encourage negotiations The emperor succeeded in tightening the
with the katholikos of the Armenian Church, who screws on the Seljuks between 1158 and 1161, in
had been residing at Rumkale (Hromkla) on the a series of campaigns ranging from Byzantium
Euphrates since 1147/51, regarding a union with to Antioch. Sultan Qiliğ Ārslān II (1156–1192) was
the Byzantine Church. In 1169, he extended these forced to submit to the emperor in person at Con-
negotiations to include Patriarch Michael of the stantinople in 1162, undertaking to provide him
Syrian (‘Jacobite’) Church. The schism with the with military service, surrender the city of Sebastea
eastern churches, however, could not be healed and accept the appointment of bishops in the cit-
[2nos. 1487, 1490]; [11]; [3095–99]. ies under his control, so that Christian congre-
Equally little came of the highly ambitious plan gations could continue to thrive [148]; [10176–78];
for a joint expedition of the Byzantines and the [2no. 1446]. Turkic troops indeed subsequently ren-
crusaders to conquer Egypt, where the Fatimid dered Manuel valuable service during his Balkan
Caliphate was now in its death throes. Plans were campaigns, and the Turkic Axouch family, which
first made in 1168 for a campaign involving King held important commands, nurtured a climate of
Amalric I of Jerusalem (1162–1174), who had mar- rapprochement between the courts of Constan-
ried a great-niece of the emperor in 1167, and a tinople and Iconium. Alexios Axouch, however,
great Byzantine fleet indeed materialized in the fell from grace in 1167 following a clash between
Holy Land in 1169. The advance on Egypt, how- palace factions. When Qiliğ Ārslān II also refused
ever, foundered because of the failure of the allies to hand over Sebastea and exploited peace with
byzantium 1025–1204 76

Byzantium to move all the more vigorously against intended to secure the succession of his son
his rivals among the Danishmends, relations Alexios, born in 1169. It was obvious on Manuel’s
quickly soured [85112 f.]. death that the minority of his heir would subject
Manuel I began planning a major expedition the entire regime to a ‘stress test’, as was invari-
to take the Seljuk capital of Iconium in 1173. That ably the case for any medieval monarchy [8175].
campaign, however, ended in disaster with the The search for a bride of suitable rank (and with
defeat at Myriokephalon in Phrygia in September powerful kin able to support the status of the
1176. While the terms the Seljuks imposed were heir) again pointed westwards, to Louis VII of
relatively benign, among other things requiring France, who married his daughter Agnes (b. 1171)
monetary payments and the destruction of vari- to Alexios in 1178 [2no. 1531]. Manuel also now mar-
ous frontier fortifications, there was no perma- ried off his daughter from his first marriage, Maria,
nent peace, and hostilities simmered on until the to Renier (Ranieri) of the powerful northern Ital-
emperor’s death. What was clear beyond doubt ian house of the Margraves of Montferrat. The
was that his strategy of encircling and contain- emperor also hoped to neutralize internal oppo-
ing (let alone destroying) the Turkic power in the sition within the Komnenos clan by reconciling
Anatolian interior had failed [99122 f.]; [8582–86, with his cousin Andronikos, who had wandered
113–118]; [13125–28]. The defeats of 1176 also made from foreign court to foreign court seeking sup-
something of an impression on contemporaries, port for his claim to the crown. Andronikos was
at home and abroad. now installed as governor of Paphlagonia, where
he was given substantial estates. Soon after Man-
C.1.16. ‘Latins’ at the court of Manuel uel I Komnenos died, on September 24, 1180, how-
I, and the end of his reign ever, the fragility of the family edifice became all
Manuel I felt compelled to react to this loss of too apparent [10198–108].
prestige by writing propaganda epistles to Henry
II of England, Frederick Barbarossa and Pope Alex- C.2. From the death of Manuel I
ander III, among others [87]; [10195–98]. The fact Komnenos to the Fourth Crusade
that he chose to make this initiative westwards (1180–1204)
shows the importance the emperor attached to
these links. Indeed, Byzantium’s relations with C.2.1. The end of the Komnenos Dynasty
various groups of ‘Latins’ had intensified further C.2.2. The accession of Isaac II Angelos and the
during the reign of Manuel I, particularly with threat to central government
traders from the Italian maritime states and mer- C.2.3. The Third Crusade and the loss of Bulgaria
cenaries [36]; [13]. Non-Byzantine troops from all C.2.4. The western powers and the fall of Isaac II
neighbouring peoples were of great importance to C.2.5. Alexios III Angelos and the consolidation
the imperial army at this period. ‘Seljuk, Pecheneg of central authority
and Cuman mounted archers; Norman, German C.2.6. Venice and the Fourth Crusade
and Frankish knights; Bulgar and Anatolian light C.2.7. The crusaders and the conquest of
infantry, Georgians and Alans from the Caucasus, Constantinople in 1204
reinforced by smaller units of the imperial guard,
which was also recruited primarily from outside C.2.1. The end of the Komnenos
the empire, like the Varangians … this was the Dynasty
Byzantine army of the 12th century’ ([58119]; cf. The regent for the 11-year-old Alexios II was
[24]). Scholars at the imperial court and chan- his mother Maria (also called Xene, i.e. ‘the for-
cellery also came from the Latin West [52]; [53], eigner’ in Greek) of the princely house of Antioch,
such as Hugo Etherianus of Pisa, who advised the but the crucial influence was that of the protose-
emperor during the most important theological bastos Alexios, a nephew of Manuel I’s, who also
debate of his reign, namely the interpretation of happened to be the widowed empress’s lover. The
Christ’s remark that ‘my father is greater than I’ first to oppose this regime was Maria Komnene
(John 14,28; the ‘Pater Maior Controversy’), which Porphyrogennete, Manuel’s daughter from his
led to a binding ruling of the synod of bishops in first marriage and the wife of Renier of Montfer-
1166. Manuel I also sought religious dialogue with rat. Until the birth of Alexios (II), this Maria ‘born
other neighbouring peoples, as seen in the afore- in the purple’ had been the linchpin of the pre-
mentioned negotiations over unification with the sumptive succession. She gathered a retinue of
Armenians and Syrians and in his initiative of 1180 Latins and Georgians, members of the House of
to alter the formula for conversion from Islam to Komnenos including Manuel and John, the sons
Christianity to make it more acceptable to con- of the former rebel Andronikos, and attempted
verts [117367–370]; [799–101, 108–113]; [62]; [30120–129]. an uprising. Although Patriarch Theodosios I Bor-
The final diplomatic initiatives of the emperor, radiotes (1179–1183) managed to negotiate a truce
who was approaching 60 years of age, were between Maria’s party and Alexios II’s regency in
77 byzantium 1025–1204

May 1181, the ensuing incarceration of his sons nople [146284–288]. Andronikos I reacted to this
provoked Andronikos Komnenos into making threat with an effort to neutralize internal oppo-
another attempt to seize the crown [33110–112]. sition, ordering the arrest of Isaac Angelos, who
Andronikos marched his troops out of Paphla- was in Constantinople at the time. Isaac, however,
gonia in spring 1182 and advanced on → Constan- sought sanctuary in Hagia Sophia, where more
tinople (8.10.), taking control of the capital. His and more of the people thronged to him, even-
army joined forces with elements of the urban tually acclaiming him emperor on September 12,
populace and launched a bloody assault on the 1185. When Andronikos recognized that his hold
city’s Latin traders, especially those from Genoa on the capital was broken, he tried to flee, but
and Pisa, whose quarters were plundered. Andron- the mob seized him and brutally tortured him to
ikos now made himself regent and co-emperor of death. Thus ended the century of Komnenos rule,
the young Alexios II in place of the latter’s mother just five years after the death of Manuel I [2631–75];
Maria, who was soon killed along with Manuel’s [75]; [98423–427]; [104].
daughter Maria Porphyrogennete and her hus-
band Renier of Montferrat. Andronikos completed C.2.2. The accession of Isaac II Angelos
his seizure of power in September 1183 by murder- and the threat to central government
ing Alexios II and marrying his widow, Princess The new emperor, Isaac (II) Angelos, bore the
Agnes of France [80]; [98423–428]. same name as the first emperor of the Komnenos
Despite this marriage, Andronikos’ regime rode Dynasty and was also his kinsman, but from the
a wave of anti-Latin sentiment (→ 15.7. Minorities outset he attracted the envy of other aristocratic
in the empire A.). The city mob reasserted itself clans also related to the Komnenoi by marriage.
as the political force in these years, having seen His reign, however, had a promising beginning.
the power it enjoyed in the 11th century eroded The Byzantines under Alexios Branas defeated
under the first three Komnenoi [50]; [14428 f.]. the Normans in November 1185, driving them out
The new emperor also gathered an inner circle of Macedonia. An army under the personal com-
of non-noble confidants in a quest to facilitate mand of the emperor also recaptured Dyrrha-
a state grab of aristocratic property. This natu- chium in the spring of 1186. Isaac II secured the
rally alienated much of the aristocracy, includ- northwestern frontier by means of a treaty with
ing people who had supported Andronikos’ coup, Béla III of Hungary, who pledged he would no lon-
like the generals Andronikos Kontostephanos and ger support the rebel Serbs and gave his daugh-
Andronikos Doukas Angelos, both of whom were ter Margaret to the emperor as wife [2no. 1567d];
related to the Komnenoi. A conspiracy involving [146283 f.]; [3137].
both of them was uncovered in the spring of 1183. The emperor decided to finance his wedding by
Kontostephanos was blinded, but Angelos man- imposing a special tax, but collecting it provoked
aged to flee with his sons Isaac, Alexios and Theo- an uprising by the Vlachs, a mainly nomadic pas-
dore. They found refuge in two cities of Asia Minor toral group living in Bulgaria. Soon afterwards, the
that were already in a state of revolt against the Vlachs allied with the Bulgarian nobles Theodore
emperor, Isaac Angelos (together with Theodore and Ivan Asen, who were also rebelling against the
Kantakouzenos) at Nicaea and Theodore Angelos emperor over property disputes [146288–290]; [136].
at Prusa. There was also an uprising in the city of Alexios Branas was duly dispatched with another
Philadelphia [33115–119]. army to Bulgaria in the autumn of 1186, but this
Andronikos had the rebellion at Nicaea put time, in February 1187, he had himself acclaimed
down by another Komnenos relative, the general as emperor in winter quarters at Adrianople and
Alexios Branas, who had previously succeeded in marched on Constantinople. Isaac II put the few
warding off a Hungarian attack in the Balkans. troops at his disposal under the command of Con-
His popular support, however, soon vanished, rad of Montferrat, a brother of the Reiner mur-
not least when his government proved incapable dered in 1183 and a member of the retinue that
of responding promptly to a new threat from the Reiner had brought with him to the Bosporus.
Normans in Southern Italy. William II of Sicily Conrad defeated Alexios Branas in single com-
(1166–1189) landed in Albania in the summer of bat in April 1187, deciding the battle in Isaac’s
1185, bringing with him a Komnenos scion who favour. Isaac rewarded him by marrying him to
claimed to be Manuel’s son Alexios. The regime his sister Theodora and granting him the title of
of Andronikos I thus found its very existence kaisar [113387 f.].
called into question. After taking Dyrrhachium, Shortly afterwards, however, Conrad trav-
the Normans faced relatively little resistance as elled to the Holy Land. The emperor personally
they marched as far as → Thessalonica (8.11.), tak- defeated the rebels in Bulgaria in the summer of
ing the city in August 1185. The pseudo-Alexios 1187, but Theodore and Ivan Asen fled to the north
was now proclaimed emperor, and they began bank of the Danube, where they received support
to make preparations for a march on Constanti- from Cuman groups, enabling them to continue
byzantium 1025–1204 78

their fight. Constantinople now gradually lost con- Barbarossa was suspected of intending to attack
trol of the regions north of the Balkans [146291–294]; Constantinople itself, not least in the light of his
[37358–361]; [136]. contacts with rebel Serbs and Bulgars. It was only
The various uprisings that had broken out in in January 1190, following a full-scale war, that Byz-
Asia Minor in the reign of Andronikos I meanwhile antium signed a treaty with Barbarossa, who had
continued in the reign of Isaac II. Isaac Komnenos, set up his headquarters at Adrianople. The agree-
a great-nephew of Manuel I’s, had taken power in ment provided for the crusaders’ transportation to
Cyprus in 1184. When Andronikos I was deposed, Asia Minor in exchange for a guarantee to uphold
this Isaac had himself acclaimed emperor. A fleet the inviolability of the Byzantine Empire. As far as
sent from Constantinople failed to dislodge him, Barbarossa was concerned, however, the Byzan-
and he continued to rule the island until its con- tines had proved themselves traitors to the crusad-
quest by Richard I (Lionheart) of England in 1191. ers once again [63133–141]; [99132–142]; [54568–576].
In western Asia Minor, meanwhile, Theodore After Barbarossa’s decampment, Isaac II again
Mankaphas took power in Philadelphia and he tried to put down various rebellions and upris-
too helped himself to the imperial title in 1188. ings. He was successful at Philadelphia: Theodore
Although both of these rebellions remained lim- Mankaphas fled to the Seljuks at Iconium. The
ited in geographical extent for now, Isaac Komne- emperor’s plea to Sultan Kaykhusraw I to extradite
nos and Theodore Mankaphas claimed authority him in 1193, however, fell on deaf ears [2no. 1612a].
over the entire empire at least in theory, and they Isaac’s campaigns against Theodore and Ivan
also minted coins. They thus cannot simply be cat- Asen, on the other hand, were fruitless, as the
egorized – like the Bulgarian rebels, for instance – brothers consolidated their power sufficiently to
as leaders of ‘separatist’ movements [33123–125]; declare a Second Bulgarian Empire, with its capital
[14425 f.]. At first, Isaac II Angelos was unable to at Tărnovo, where they also appointed their own
devote himself to eliminating these rivals, because archbishop [146300–305]; [37361 f.]; [136]; [14419–21].
the conquest of Jerusalem by Ṣalāḥ ad-Dīn in 1187 The emperor also had to make peace with the Ser-
meant that he now faced another crusade. bian grand prince Stefan Nemanja in 1190/92, forc-
ing them to make significant territorial concessions.
C.2.3. The Third Crusade and the loss A bond of sorts with Byzantium was preserved
of Bulgaria with the marriage of the grand prince’s son (also
Frederick Barbarossa, whose relationship with Stefan) to Isaac’s niece Eudokia [2no. 1605]; [145].
Manuel I’s Byzantium had been far from amicable
(see above, C.1.12.), now planned to march a large C.2.4. The western powers and the
army through Byzantine territory to Asia Minor fall of Isaac II
and on to the Holy Land. Emissaries from Con- As Constantinople’s sphere of influence
stantinople arrived at Nuremberg in 1188 to nego- shrank, Isaac II strove at least to repair relations
tiate safe conduct and provisions for the crusaders with the Italian maritime states, which had been
in exchange for their promise to refrain from any severely damaged by the events of 1171 and 1182
attack on Byzantine possessions [2no. 1581]; [99]. if not before. The complex negotiations with
Seeking to avoid a possible alliance between the Venice over compensation for the damages suf-
Hohenstaufen emperor and any of the various fered since 1171 continued, with promises of the
rebels, however, Isaac II made peace with Theo- revival of former privileges and the expansion of
dore and Ivan Asen in Bulgaria late in the same the Venetian Quarter in Constantinople [2no. 1590].
year [2no. 1584a]. In the spring of 1189, he recognized An agreement was also reached with Genoa for
Theodore Mankaphas’ rule over Philadelphia, pro- recompense for the damage caused by the attack
vided that Theodore relinquished the imperial during Andronikos I’s seizure of power, amount-
insignia [2no. 1587a]. At the same time, however, ing to 288,000 hyperpyra and for the expansion
the emperor also entered into negotiations with of their quarter. Similar terms were agreed with
Sultan Ṣalāḥ ad-Dīn, who agreed to tolerate Ortho- Pisa [9579–83, 100–102]; [2no. 1609]. Even so, frequent
dox worship, particularly at the holy sites he had Venetian, Genoese and Pisan attacks on Byzantine
conquered in the Holy Land, in exchange for the shipping continued, as did attacks on Italian ships
building of a second mosque at Constantinople by pirates acting with Byzantium’s blessing. The
(the first dated back to the 8th century), among instability of the Byzantine state was also fuelling
other concessions [134]; [5]. The agreement, how- instability at sea [95557–577].
ever, fell short of a full-scale defensive alliance As a ruler, Isaac II Angelos proved diligent at
against the crusade [18]; [14415–18]. home and abroad, but ultimately enjoyed little
Treaties of this kind nevertheless aroused the success. The sheer profusion of crises facing him
crusaders’ distrust. Conflicts also arose quickly would have driven any emperor to the break-
when Frederick Barbarossa’s army entered Byzan- ing point. Yet another one arose in 1194, when
tine territory at Belgrade in the summer of 1189. Emperor Henry (Heinrich) VI (1191–1197), the son
79 byzantium 1025–1204

of Frederick Barbarossa, succeeded in enforcing Nevertheless, Byzantine authority in the Bal-

his claim to the Norman kingdom in Sicily, put- kans continued to erode. At Philippopolis, the
ting two foci of Byzantinophobe power in the Bulgar nobleman Ivanko declared independence,
west in the same hands [43128–134]. Faced with and the emperor recognized his status as a local
this situation, a group of nobles, including Theo- ruler in 1200 following a fruitless campaign by
dore Branas (a son of the failed usurper Alexios), Theodore Laskaris [7051–55]; [2no. 1657]; [3139].
George Palaiologos, John Petraliphas, Constan- Princes previously within the Byzantine sphere
tine Raul and Manuel Kantakouzenos, launched a were also making efforts symbolically to extricate
conspiracy to overthrow Isaac II and replace him themselves from the authority of Constantinople,
with his brother Alexios Angelos. The conspirators and they found ready support from the ‘univer-
exploited Isaac’s absence on his Bulgarian cam- sal’ powers of the West, the Holy Roman Empire
paign, and had Alexios III proclaimed emperor and the papacy. Kaloyan of Bulgaria and Stefan II
on April 12, 1195. Isaac II and his sons were taken Nemanjić of Serbia (1196–1217) entered into nego-
prisoner and blinded [33128 f.]. tiations with Pope Innocent III (1198–1216) to win
recognition as kings and independence for their
C.2.5. Alexios III Angelos and the churches [130]; [37380 f., 390 f.]; [120219–230]; [14421].
consolidation of central authority Prince Leo (Łewond) II of Cilicia (1187–1219) was
Alexios III Angelos proved generous in bestow- crowned king by the Archbishop of Mainz, Con-
ing donations and privileges on his supporters. rad of Wittelsbach, representing the Holy Roman
His wife Euphrosyne’s Kamateros family, which emperor and the pope, and recognized the eccle-
produced such leading figures as Patriarch John X siastical authority of Rome in return. Alexios III
(1198–1206), enjoyed particular favour. Alexios was sent another crown from Constantinople in an
in general more restrained than Isaac II in deal- attempt to uphold at least symbolic influence in
ing with rival forces, reluctant to jeopardize his this region, over which the Komnenos emperors
regime at the centre of the empire, but the effect had fought so doggedly [175 f.]; [2no. 1642].
of this restraint was the continuing shrinkage of Alexios III was also eager to establish good
the power of that centre [8275–278]. The emperor relations with the papacy, which was expanding
sought to defuse the threat posed by the Holy its influence at the expense of Byzantium, and he
Roman Emperor Henry VI with monetary pay- sent embassies to Rome in 1196 and 1198. Innocent
ments, and his emissaries managed to bargain the III, however, gave them a frosty reception. The
original demand for 5,000 pounds of gold down to pope’s written reply accused the eastern emperors
1,500 (which the Hohenstaufen emperor intended of betraying the Holy Sepulchre and demanded
to use to finance his planned crusade). The sum the commitment of all their resources to another
was still enormous, however, and the emperor had crusade. Alexios III rejected the demand as impos-
to exact special taxes (the alamanikon) to pay it, sible in the light of the damage previously done
which did nothing to enhance his popularity. He to the empire by Frederick Barbarossa and oth-
managed to collect the required sum despite resis- ers [2nos. 1643, 1648]; [130]. Negotiations with Venice
tance, but Henry VI then unexpectedly died in Sep- were more fruitful, and a major privilege conces-
tember 1197, leaving the money in Alexios’ hands. sion of 1198 put an end (ostensibly) to the rift dat-
Free to use it as he wished, he chose among other ing back to 1171. Not only were all the Venetians’
things to finance court luxury [99151 f.]; [43135 f.]. former privileges restored, but the list of places in
Money was Alexios’ preferred method for neu- the empire where they were allowed to conduct
tralizing other threats too. The Emir of Ankara, commercial activity was also greatly extended,
who was harbouring a pretender styling him- now even including localities deep inland [95
self Alexios II Komnenos, was promised annual 41–49]; [109]; [2no. 1647]; [73]; [3139].
payments in exchange for inaction [2no. 1632a].
Alexios III left the domain of the rebel Bulgars C.2.6. Venice and the Fourth Crusade
Theodore and Ivan Asen largely untouched, and Leading figures in La Serenissima continued to
in 1201 he concluded a peace with their brother distrust the Byzantines, including the aged Doge
and successor Kaloyan (1197–1207), in which he Enrico Dandolo (1192–1205), who had experienced
recognized the revived Bulgarian Empire while the expulsion of the Venetians in 1171 and the con-
requiring Kaloyan in return to take the emperor’s flicts that had followed it. Innocent III called for
side against external threats [146309–312]; [37364 f.]. a Fourth Crusade in 1198, with Egypt as its target,
Alexios also took an amicable approach with the and troops began to gather in Venice in 1201/02,
former grand prince of Serbia, Stefan Nemanja, under a treaty whereby the republic would build
now a monk, granting a privilege in 1196 to the a fleet and transport and provision the crusaders.
Hilandar Monastery founded on the sacred Mount However, the princes and knights who actually
Athos by Stefan and his son (the future Saint) Sava gathered proved too few in number to cover the
[2nos. 1644, 1646]. gigantic costs of 85,000 marks (almost 20 tons) of
byzantium 1025–1204 80

silver. Enrico Dandolo had wagered and lost [100]; however, when a coup attempt by John Komnenos
[99157–160]; [122]. Axouch received some popular support, although
In 1201, one of the sons of Isaac II Angelos, ultimately unsuccessful, Alexios’ power base in
Alexios (IV), escaped from his dungeon in Con- the capital was disintegrating. When the crusad-
stantinople and managed to reach Sicily, going ers and the Venetians sailed on Constantinople
on from there to meet the brother of the late regardless, on July 17, the emperor therefore fled
Emperor Henry VI, Philip of Swabia, who had mar- to Thrace [33136–140]; [3140].
ried Alexios’ sister Irene (previously married to a
Norman prince) in 1197. Philip’s authority, how- C.2.7. The crusaders and the conquest
ever, currently faced the challenge of the election of Constantinople in 1204
of a Guelph anti-king, Otto of Brunswick (Braun- In the capital, the blinded Isaac II Angelos
schweig), and at Christmas 1201, when Alexios was hauled out of his dungeon and seated on the
requested military assistance for the restoration throne. Under pressure from the crusaders, he was
of his father, he sent him to his cousin Boniface forced to recognize his son Alexios as co-emperor
of Montferrat, who as the brother of Renier and (Alexios IV). Father and son now set about trying
Conrad (see above, C.1.16., C.2.2.) also had close to fulfil the crusaders’ inflated expectations. They
family ties with Byzantium and was one of the managed to raise 100,000 marks of silver, giving
leaders of the planned crusade. It was at the meet- 34,000 to the Venetians (who thereby, taking into
ing of Alexios and Boniface that the plan was first account the payments already made by the crusad-
hatched to use the opportunity of the crusade to ers, approximately covered their original invest-
disrupt the status quo at Constantinople. When ment). In return, the crusaders put themselves
Boniface later met Innocent III, the pope rejected at the emperors’ disposal for one year. Alexios IV
this idea, but he very rapidly lost direct control sent them on a campaign to enforce central gov-
of the crusade, especially when the doge of Ven- ernment authority in Thrace [99170 f.]; [3140].
ice, Enrico Dandolo, hamstrung by the threat of Elsewhere, the empire fell apart during the
financial disaster, agreed with its leaders that the 1203/04 crisis of the Fourth Crusade even before
crusader forces could be used for purposes other the Sack of Constantinople. The fugitive Alexios III
than those originally intended [100]; [99162]; [122]. Angelos succeeded in maintaining his authority in
In November 1202, the Venetian and crusader parts of the European provinces. At Philadelphia,
fleet laid siege to the Christian city of Zadar in Theodore Mankaphas returned from exile in Ico-
Dalmatia, possession of which had been disputed nium and took power again. Alexios and David
between Venice and King Emeric (Imre) of Hun- Komnenos, grandsons of Andronikos I, conquered
gary (1196–1204). The city fell and the crusaders Trebizond on the Black Sea in 1203/04 with the
wintered there. An embassy of Philip of Swabia help of troops from their kinswoman by mar-
now arrived at Zadar with the fugitive Alexios, who riage, Queen Tamar of Georgia (1184–1213), laying
again pleaded with the crusaders to intervene in the foundations of the independent Trapezuntine
Byzantium. Alexios made tempting promises: the Empire. On the Peloponnese, the aristocrat Leo
Byzantine Church would return to the authority of Sgouros established a de facto independent state
the pope (which would probably earn the project [7056–68]; [33134–156]; [14425 f.].
the approval of Innocent III); the crusaders would Isaac II and Alexios IV recognized the author-
receive a payment of 200,000 marks of silver and ity of the papacy in a letter sent in August 1203
be provisioned and quartered for a year; 10,000 to Innocent III, who was outraged at the diver-
Byzantine soldiers aboard their own ships would sion of the crusade [2no. 1667]; [130]. However,
be provided for the ensuing crusade against Egypt, relations between the Latins and the populace of
and 500 knights would be provided and paid for Constantinople were palpably worsening. Attacks
in the Holy Land for the lifetime of the emperor. were made on both sides. When a crusader force
Despite the detour to Constantinople, the crusad- destroyed one of the capital’s two mosques, the
ers could now hope to continue their campaign in people rose up in full-scale rebellion [134]. The
Egypt with a greater prospect of success, and the position of the new regime was ever more precari-
Venetians hoped to bring the entire enterprise to a ous, and in view of the popular hostility, Alexios IV
profitable conclusion [9]; [99162–170]; [122]. now tried to distance himself from the crusaders.
The expedition set out again early in 1203, In doing so, he undermined the one solid founda-
its destination now changed to the Bosporus. tion of his rule [9]; [99171]; [122].
It landed on Corfu in April, and the crusaders The general Alexios Doukas Mourtzouphlos,
arrived at the gates of Constantinople on June 23. a son-in-law of Alexios III Angelos’, led a palace
Alexios III tried to avert an attack by negotiat- revolt on January 25, 1204. Isaac II and Alexios IV
ing, undertaking to support the crusade, and later were deposed and quickly killed. A few days later,
even to keep the promises made by his nephew Alexios V Doukas Mourtzouphlos ascended the
Alexios at Zadar. As had become clear in 1200, throne, stopped the payments to the crusaders
81 byzantium 1025–1204

and told them to leave. They were in no mood to regained parts of western Asia Minor in the wake
do any such thing and instead demanded that the of the First Crusade. Internally, following the mul-
promises made at Zadar should be kept. It became tiple overthrows and usurpations in the preced-
clear that military confrontation was inevitable. ing decades, he secured his position by putting
While Alexios V cast around desperately for allies, his (extended) family in key positions of power
even petitioning the Seljuk sultan of Iconium and aligning the imperial government with the
for help, the crusaders and Venetians decided in network of aristocratic clans to which he owed
March 1204 to seize power over → Constantinople his rise. The imperial state became a ‘family busi-
(8.10.) and the entire Byzantine Empire. An agree- ness’, as Paul Magdalino and Michael Angold have
ment was reached on the partitioning of Byzantine characterized it [101180–227]; [8]; [25]; [98447]; [48].
territory and the distribution of the anticipated Under Alexios I and his successors John II
spoils (the partitio terrarum imperii Romaniae). and Manuel I, Byzantium once more rose to the
Once Constantinople was taken, a ‘Latin’ emperor status of a great power in the eastern Mediter-
would be elected from among their ranks [31]; ranean, nurtured by its possession of the most
[98435–443]. productive regions of western and coastal Asia
The first assault on the Byzantine capital began Minor and much of the Balkans, where, as else-
on April 9 and resumed on April 12. On April 13, where in Europe, a period of economic and demo-
after Alexios V had fled the city overnight, resis- graphic growth continued until the early 14th
tance collapsed. The crusaders and Venetians century (although Mark Whittow has downplayed
occupied the city and ransacked it for three days the extent of this growth, especially by compari-
and nights. The eye-witness account by the histo- son with Western Europe) [101140–171]; [90]; [91];
rian Niketas Choniates gives a graphic record of [149487–491]; [129].
the destruction and violence, memories of which Byzantium, however, had to accept the
would poison relations between Byzantine Ortho- increased presence of Western European powers
dox and Latin Catholic Christians for centuries in its vicinity (in the form of the crusader states)
[142]. As per the terms of their treaty, the crusad- and was forced to open up what had previously
ers and Venetians partitioned between them the been strictly regulated access to its commercial
remaining territories of the empire (most of which markets to the rising Italian maritime city-states.
they had yet to conquer) and shared out the booty Venice (in exchange for support against the Nor-
of (supposedly) 900,000 marks of silver. On May 9, mans) and later Genoa and Pisa were granted the
Count Baldwin of Flanders was elected ruler of the right to trade freely in Constantinople and other
new ‘Latin Empire’ [9]; [99171–176]; [122]. The crisis (ever more important) cities at reduced tariffs (or
of the Byzantine Empire had lasted since 1180, and even tariff-free) [95]; [44]. Although the activities
it appeared that the empire had not survived it. of these states doubtless contributed to the eco-
nomic growth of the period, they also led to rising
C.3. Trends and assessments of the tensions between foreign traders and local popu-
period 1081–1204 lations, tensions that were further aggravated by
religious differences (awareness of which was also
C.3.1. Byzantium as a ‘resurrected’ Mediterranean heightened by intensifying contacts) [84]; [81].
great power
C.3.2. The fragile governance system of the C.3.2. The fragile governance system
Komnenoi of the Komnenoi
C.3.3. Interactions and challenges of the At the same time, there was no abatement of
12th century in the European- the tendency towards a fragmentation of power
Mediterranean world in the ‘aristocratic empire’ of the 12th century,
whether at the centre, where it was now appar-
C.3.1. Byzantium as a ‘resurrected’ ent within the extended imperial clans of the
Mediterranean great power Komnenoi, or in the provinces, where economic
After Byzantium had lost most of Asia Minor growth was strengthening the power base of local
(and probably two thirds of the state’s revenue magnates. The ad hoc solutions devised to weather
with it) to the Turks, and as its remaining prov- the crisis of the 11th century brought unintended
inces in Southeastern Europe were threatened and dangerous consequences, once the weakening
by the Pechenegs and Normans, the Byzantine of the central authority allowed these conflicting
Empire in 1081 seemed to be approaching its forces to surface. Paul Magdalino even suggests
downfall. At this juncture, → Alexios I Komne- that under the successors of Manuel I, the Komne-
nos (2.5.; 1081–1118) came to power with the sup- nian system was ‘programmed for self-destruction’,
port of a network of aristocratic families. Alexios and Peter Schreiner claims that ‘by 1204, the Byz-
successfully stabilized the empire externally by antine Empire was no longer capable of governing
repelling the Normans with Venetian help and or continuing to exist’ [102663]; [138632]; [14414–34].
 byzantium 1025–1204 82

4
Number of marriages

0
720 750 780 810 840 870 900 930 960 990 1020 1050 1080 1110 1140 1170 1200
Time

Fig. 3: Number of marriages of members of the Byzantine royal house to members of foreign princely houses,
per decade, 700–1200 (diagram; data: [113]; graphic: J. Preiser-Kapeller).

And indeed, the empire collapsed within only 24 ership’ [14536]. Yet in contrast to medieval West-
years of the death of Manuel I in 1180. ern Europe, but exactly like in the Holy Roman
Various members of the Komnenos family and Empire, the ‘imperial Roman’ principle of an elec-
the related Angelos clan succeeded one another toral monarchy never permitted a regulated suc-
on the imperial throne, but its power evaporated, cession to become fully established in Byzantium,
at first in peripheral regions like Bulgaria (after for instance by primogeniture.
1185) and Cyprus (1185), then even in heartland Concepts of kinship combined with the elec-
provinces like the Peloponnese and western Asia toral principle left every member of an imperial
Minor, as local potentates filling the vacuum clan seeing himself as a suitable candidate – hence
(Isaac II Angelos, for instance, faced at least sev- Isaac Komnenos opposed John II, his son Androni-
enteen revolts during the ten years of his reign, kos opposed Manuel I and Alexios II, and Alexios
1185–1195) [33120–129]. Meanwhile, the emperors III Angelos opposed Isaac II. The bestowal of
alternated between antagonizing the powers of extensive estates and sovereign rights in various
Western Europe (attacks on Genoese and Pisan provinces was a strategy for defusing such rival-
communities in Constantinople 1182, conflicts ries to which Alexios I already resorted. Rights to
with the crusaders under Frederick Barbarossa limited state incomes in the form of pronoia (‘fore-
1188), attempting to mollify them (raising the ala- thought’) privileges were also granted to retain-
manikon to pay tribute to Henry VI in 1196) and ers, a practice that gained ground particularly in
ultimately even inviting them to intervene in suc- the reign of Manuel I (→ 1.5. Public finances and
cession disputes, which led to the Fourth Crusade taxation C.; → 5.3. State budget D.) [15]; [14430–34].
and the catastrophe of the Sack of Constantino- However, an established power base in the prov-
ple by the crusaders and Venetians in April 1204 inces could also be used to attack or at least chal-
[26]; [9]. lenge an incumbent emperor (as Andronikos I
Again, a combination of internal and external did from Paphlagonia and Isaac Komnenos from
political dynamics can be observed that created Cyprus) [94]; [14422–25]. Meanwhile, the power
some potential but ultimately was lethal in its of the aristocracy was also increasing as a result
effect. The network of aristocratic families stitched of the uninterrupted economic and demographic
together by Alexios I, which to some extent even growth that proceeded in various regions regard-
dated as far back as the reign of Constantine X less of central political developments.
Doukas (1059–1067), ultimately proved success- Just as the dynamics of the provincial economy
ful in its quest for imperial power, producing all depended less and less on the central economy
the imperial dynasties that followed the Kom- (although coins minted at Constantinople were in
nenoi (the Angeloi, Laskarides, Palaiologoi and wide circulation everywhere even until 1204 [114]),
Kantakouzenoi) until the fall of the empire [16]. so too did political particularism become increas-
Stanković calls this phenomenon a transition from ingly evident towards the end of the period, evinc-
a ‘state-centred to a family-centred model of rul- ing a tendency towards autonomous government
83 byzantium 1025–1204

without Constantinople. The central authority of Emperor of the Romans, there was no expecta-
the Holy Roman Empire declined in a similar way tion even at the zenith of Byzantine power in the
in the 13th century, although its territorial integ- 12th century that the empire would be capable of
rity was not (yet) called into question, because – destroying its western rivals by political or military
in contrast to Byzantium – its leading powers felt means. The possibility of a western attack on Con-
themselves to be ‘more and more the bearers of stantinople, however, was very real during the cru-
the empire and guardians of its unity’, even in the sade of Frederick Barbarossa and the campaigns
absence of a strong imperial authority [2545]. How- of his successor Henry VI, and became a reality
ever, the formation of autonomous aristocratic with the Fourth Crusade (negotiated by Philip of
power centres in Byzantium also created the basis Swabia, respectively the son and brother of those
for the reconstitution of the Byzantine Empire in emperors). When it came, that attack was at the
exile after 1204, particularly at Nicaea, the base invitation of rival parties around the Byzantine
for the imperial recapture of Constantinople in throne, appealing for support to princes (Philip,
1261. Boniface of Montferrat) whose ties of kinship gave
them a keen interest in affairs at Constantinople.
C.3.3. Interactions and challenges The attacking Normans in the 1080s and 1185
of the 12th century in the European- had already brought Byzantine pretenders with
Mediterranean world them. In 1204, however, it was no longer possible
The first foreign-policy priorities of the Byzan- to stop the invaders with a military defeat far from
tine Empire under the Komnenoi were to reach the capital. The invaders themselves were at the
accommodations with the new centres of power centre, while the provinces were subject to ever
that had emerged from the turmoil of the 11th cen- stronger centrifugal forces. In a world now larger
tury, both within its territory proper and within its and more complex, in which the Byzantine Empire
broader sphere of influence (Normans, Seljuk, cru- was intertwined with its neighbours as never
saders), and to defend its residual territories of the before, the Byzantine emperor’s radius of action
empire against them. The increasingly complex in 1204 shrank to the limits of Constantinople.
landscape of states in Europe and the Mediter- Maps and plans: Maps 6–7, Maps 10–11, Map 17;
ranean meanwhile also offered many opportuni- Plan 2; BNP Suppl. 3, 247, 249, 251
ties for building extensive alliances in efforts to
preserve or even increase Byzantine influence in Bibliography
certain regions (e.g. by mobilizing the Christian [1] TIB 5, 1990 [2] Regesten der Kaiserurkunden des
powers of the West against Byzantium’s Muslim Oströmischen Reiches von 565–1453, part 2: Regesten
neighbours). One striking sign of the adaptation von 1025–1204, edited by F. Dölger, new edition by
of diplomatic practices is the proliferation of mar- P. Wirth, 21995 [3] TIB 12, 2008 [4] TIB 15, 2015
[5] G. D. Anderson, Islamic Spaces and Diplomacy
riages between members of the Byzantine royal in Constantinople (Tenth to Thirteenth Centuries
house and foreign houses, especially those of the c.e), in: Medieval Encounters. Jewish, Christian and
Latin powers west and east (crusader states), as Muslim Culture in Confluence and Dialogue 15, 2009,
an ‘externalization’ of the kinship model that the 86–113 [6] D. Angelov, The Bogomil Movement,
Komnenoi employed within the Byzantine aris- 1987 [7] M. Angold, Church and Society in Byzan-
tocracy (cf. fig. 3) [101201–217]; [145]; [113217–400]. tium under the Comneni 1081–1261, 1995 [8] M.
However, this also created potential channels for Angold, The Byzantine Empire 1025–1204,
outside intervention in Byzantine politics legiti- 21997 [9] M. Angold, The Fourth Crusade. Event
mized by kinship, the most spectacular example and Context, 2003 [10] M. Angold, Belle Époque
or Crisis? (1025–1118), in: J. Shepard (ed.), The Cam-
of which would be seen in the Fourth Crusade.
bridge History of the Byzantine Empire, c. 500–1492,
At the same time, the Byzantine Empire was 2008, 583–626 [11] I. Augé, Églises en dialogue.
gradually reduced to one player among many in Arméniens et Byzantins dans la seconde moitié du
the increasingly complex world of the 12th-century XIIe siècle, 2011 [12] G. Avvakumov, Die Entste-
states. Although the prestige of the Roman Empire hung des Unionsgedankens. Die lateinische Theologie
still exerted an allure, it was waning in step with des Hochmittelalters in Auseinandersetzung mit dem
the empire’s declining resources. Another parallel Ritus der Ostkirche, 2002 [13] M. Balard, Les Lat-
is evident here in the Holy Roman Empire in the ins en Orient, XIe–XVe siècle, 2006 [14] R.
West, which likewise lost its hegemonial status in Bartlett, Die Geburt Europas aus dem Geist der
the 13th century [2545]. Again, however, the conse- Gewalt. Eroberung, Kolonisierung und kultureller
Wandel von 950 bis 1350, 1996 [15] M. C. Bartusis,
quences for the empire of the West were less dra- Land and Privilege in Byzantium. The Institution of
matic than those for the empire of the East. Pronoia, 2012 [16] K. Barzos, Ἡ γενεαλογία τῶν
Despite Manuel I’s intervention in the conflicts Κομνηνῶν, 2 vols., 1984 [17] A. Bayer, Spaltung der
between Frederick Barbarossa and the various Christenheit. Das sogenannte Morgenländische
powers of Italy, and extravagant ideas like Alex- Schisma von 1054, 2002 [18] A. D. Beihammer,
ander III’s proposal to recognize him as the sole ‘Der byzantinische Kaiser hat doch noch nie was
 0º 10º 20º 30º 40º 50º

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0 100 200 300 400 500 km Medi
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84

Map 5: The Byzantine Empire and its cultural context, ca. 1025
 0º 10º 20º 30º
Rostov Suzdal
The Byzantine Empire,1056–1204
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Map 6: The Byzantine Empire, 1056–1204

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Barletta Melnik 37 Manzikert
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40º Prusa Dorylaeum 29 36 Melitene

AMALFI Otranto
11 21 Mayyafariqin
SALERNUM
lju

34 35Samosata
2 12 Caesarea Amida
14 Amoriom 30
Se

Eub Germanicea Teluch 44

Nicopolis 15 o ea Smyrna 24 Podandos Anazarbus
Palermo Messina Naupactus Philadelphia Nisibin
Thebes Edessa
Patras Ephesus Laodikeia 45 Harran al-Mausil
.
Athens Ikonion Mopsuestia 31
Sicily Corinth 18 Tarsus Manbiğ Mossul
Taormina 22 Chonai Attaleia
16 Aleppo
Syracuse Lacedaimonia
17 32 Eu
id te Kibyrrha Seleucia 33 Antioch ALEPPO ph
ra
Monemvasia 23 Corycus te
s
Apamea Baghdad
m ha
p Rhodes Myra Laodikeia

i
Chandax
Malta Kandia 20 Antarados

al ti
Homs
Tripolis

C Fa
C
bb

ā
ˁ A al

19 Damascus ip sid Kufa

The Byzantine Empire, ca. 1045/1064 ha
te
Approximate course of the Byzantine frontier Mediterranean Sea
ar-Ramlah Jerusalem
Boundaries of Byzantine administrative units
e

CROATIA
t
Autonomous regions,
a
nominally under Byzantine control
h
p
l i
1–47 Byzantine administrative units (themes, etc.) C a
0 100 200 300 400 500 km
F a t i m i d
Ala n ia Other regional names
30º

Byzantine 6 Dyrrhachium 15 Nicopolis 24 Anatolikon 33 Antioch 42 Mesopotamia

7 Paristrion 16 Peloponnese 25 Optimaton 34 Lycandcus 43 Vaspurakan
administrative units 8 Macedonia 17 Aigaion Pelagos 26 Boukellarion 35 Melitene 44 Trans-Euphrates cities
9 Thrace 18 Samos 27 Paphlagonia 36 Sebastea 45 Teluch
1 Langobardia 10 Strymon 19 Crete 28 Armeniakon 37 Colonea 46 Cherson
2 Calabria 11 Thessalonica 20 Cyprus 29 Charsianon 38 Chaldia 47 Gothia
3 Istria 12 Hellas 21 Opsikion 30 Cappadocia 39 Kars
4 Sirmiun 13 Dalmatia 22 Thrakesion 31 Cilicia 40 Ani
5 Bulgaria 14 Cephalonia 23 Kibyrrhaioton 32 Seleucia 41 Iberia
86

Map 7: The Byzantine Empire, ca. 1045/1064

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byzantium 1204–1453 90

Mediterranean in several respects. A new Latin ing three eighths, which included parts of the
Empire, the Imperium Romaniae, took the place Thracian Chersonese, Thessaly and the Pelopon-
of the Byzantine Empire on the Bosporus, occu- nese, were granted to the other leaders of the cru-
pying it for 57 years or two generations [14]. The sade [4061–65]; [50].
maritime Republic of Venice consolidated and In sum, this partitioning was problematic
strengthened its position as a leading political and because it blended reality with fiction. Many of the
commercial power in the region. The encounter lands listed were not held by the ‘Latins’ (the gen-
between Byzantine and Western traditions, espe- eral term used for the western crusader knights;
cially in southern Greece and the Aegean, was → 15.2. The West), and sporadic campaigns of con-
reflected in → literature (12.) and → architecture quest by individual crusader and Venetian leaders
(11.2.), and many relics and artworks found their led to the establishment of microstates. Boundar-
way over the ensuing decades from Byzantium ies were sometimes unclear, creating potential for
into the treasuries of the West. conflict, and the allegiance of the new political
The Byzantine Empire, already embroiled in entities to the Latin Emperor proved fluid in prac-
crisis since the late 12th century under the Ange- tice, despite the creation of feudal relations.
los Dynasty, now found itself divided into three Boniface of Montferrat conquered → Thessa-
Greek successor states to the west (Epirus), south lonica (8.11.) in 1204, establishing his own realm
(Nicaea) and east (Trebizond) of Constantinople. (later called a kingdom) extending from west-
These descended into decades of war among ern Thrace to central Greece, holding the Latin
themselves and with their neighbours in the Empire at arm’s length. Late in the same year,
→ Balkans (15.3.) and Asia Minor. the Duchy of Athens and Thebes was estab-
The religious split between the Eastern Church lished as Boniface’s fiefdom, and a year later he
and the Western Church now became more deeply also enfeoffed the Principality of Achaea on the
entrenched. Rather than the events of 1054, which Peloponnese, which was evolving independently
Byzantine sources scarcely mention, it seems rea- [2164 f.]; [6117–26]; [632 f., 120 f. et al.]. Even leaving aside
sonable to see the 1204 Sack of Constantinople mutual rivalries, western rule in the eastern Medi-
and its aftermath as the real reason for the Great terranean suffered particularly from a shortage of
Schism that persists to this day (→ 7.1. Doctrinal migration from the West: a small clique of ‘Latins’
history D.2.) [3449 f., 94–100]; [491–18]; [5934 f.]. (→ 15.7. Minorities in the empire A.) faced a much
more numerous Greek populace, and a lack of
B. The fruits of conquest: new social cohesion and confessional antipathy exac-
forces in the Balkans and Asia Minor erbated the problems of cohabitation.

B.1. The Latin polity B.2. The Greek successor states, or

B.2. The Greek successor states, or the question the question of rightful succession
of rightful succession When Constantinople fell, many members of
B.3. Serbia and Bulgaria as Balkan powers the Byzantine → court (1.3.) and civil service fled
to Nicaea in Bithynia, where a son-in-law of the
B.1. The Latin polity former emperor Alexios III (1195–1203), Theodore I
On May 9, 1204, a twelve-man council of Vene- Laskaris, was acclaimed as emperor, probably in
tians and crusaders, influenced by Doge Enrico the summer of 1205 ([19151 f.]; August 1204 accord-
Dandolo, unexpectedly elected, not the leader of ing to [5926]). Theodore’s empire, which was
the crusade, Boniface of Montferrat, but Baldwin violently at odds with the neighbouring Seljuks,
of Flanders as the first Latin emperor. According comprised much of western Asia Minor from the
to the partitio terrarum imperii Romaniae com- Aegean to the Black Sea coast of Paphlagonia. In
piled on the basis of Byzantine tax lists, his realm, 1208, Theodore defied the Latins by appointing
the Latin Empire, comprised one quarter of the Michael Autoreianos as the new Greek patriarch,
territory of the Byzantine Empire: parts of Con- replacing the late John Kamateros (1198–1206).
stantinople and neighbouring eastern Thrace, the Patriarch Michael resided at Nicaea, which
Asian shore of the Propontis, a number of islands increasingly became a religious centre, while the
in the northern Aegean and parts of western Asia centre of political gravity in the empire shifted
Minor. Venice, which appointed the patriarch, to the more southerly cities of Magnesia on the
also received parts of the capital (including Hagia Meander, Nymphaion and Smyrna [9].
Sophia and the Monastery of Christ Pantokrator) The Despotate of Epirus was founded in the
and eastern Thrace as well as selected islands and autumn of 1204 by Michael Angelos Komnenos
ports of strategic or economic importance, includ- Doukas, a cousin of the Angelos emperors Isaac
ing some places on the Hellespont – a total of II and Alexios III, after a local uprising was put
three eighths of Byzantine territory. The remain- down. Epirus became a rival to both Nicaea and
91 byzantium 1204–1453

the Latin Empire. Its seat of government was Arta, ezuntine Empire, probably in 1205, taking the
and its territories included parts of southern Alba- enemy general Synadenos captive. This blocked
nia and northwestern Greece, including a long Trebizond’s western advance, and an alliance
coast along the southern Adriatic and the Ionian against Nicaea concluded in 1206 between Trebi-
Sea [46]. Like Nicaea, Epirus also profited from a zond and the Latin Empire proved of no conse-
steady flow of migrant Greek artists, officials and quence. Theodore also prevailed over a number of
clerics from territories now under Latin control. local potentates who had established themselves
The third Greek state was the empire of the in parts of Caria and Phrygia.
‘Great Komnenoi’ (Megaloi Komnenoi, possibly The confrontation with the Seljuks acquired
‘elder, original Komnenoi’ [5945]; [30]) centred on further edge in 1209 when the former emperor
Trebizond on the southeastern shore of the Black Alexios III Angelos arrived at the court of Iconium
Sea. It was founded in 1204 by Alexios and David (Konya) and presented Sultan Kaykhusraw I (1192–
Komnenos, grandsons of Andronikos I (1183–1185), 1196, 1205–1211) with a legitimate casus belli in the
who had fled to the court of their kinswoman, enforcement of his claim to the throne. Theodore,
Queen Tamar of Georgia (1184–1213), after their who reacted to the sultan’s alliance with Henry
grandfather’s murder. They actually took Trebi- of Flanders by making his own with the Bulgar-
zond before it was known that Constantinople had ian tsar Boril (1207–1218), a nephew of Kaloyan’s,
fallen to the crusaders, and their original intention won an important victory over the Seljuks at
may have been to create a buffer state to protect Antioch on the Maeander in early 1211. The battle
Georgia from the Seljuks (→ 15.4. The Caucasus; cost Kaykhusraw his life, and Alexios III was taken
→ 15.5. The East) [6419]. Trebizond was indeed suc- prisoner [5894–105].
cessfully defended against a Turkish assault in 1205, Spurred on by this victory, Laskaris planned
and over subsequent years the realm annexed new an attack on Constantinople. To forestall it, Henry
territories in Pontus and Paphlagonia. of Flanders, who had meanwhile defeated the
Bulgars, brought his forces across to Asia Minor.
B.3. Serbia and Bulgaria as Balkan Henry defeated Theodore at the river Ryndakos
powers on October 15, 1211, and pressed on from there to
Serbia, ruled by Stefan Nemanjić (1196–1217), Adramyttion and Pergamum, then to Nymphaion
and Bulgaria under Tsar Kaloyan Asen (1197–1207) in the south of the Empire of Nicaea. Since neither
were also powers in the → Balkans (15.3.) [53]. side could defeat the other, however, a treaty was
Bulgaria courted the Latins, but when Baldwin signed (late in 1213?) whereby the Latins were guar-
rebuffed Kaloyan Asen’s overtures, he became a anteed extensive territories in northwestern Asia
dangerous enemy. He invaded inner Thrace in the Minor, while the Empire of Nicaea gained lands
winter of 1205, and on April 13/14 inflicted a dev- south of Adramyttion [40127 f.]; [58120–122]. Nicaea
astating defeat on the Latin army at Adrianople. now redoubled its efforts against the Trapezuntine
Baldwin of Flanders was taken captive and van- Empire and won territory in Paphlagonia. After
ished from history without a trace [4047–50]. This losing the port city of Sinope in 1214, Trebizond
defeat put a stop to the Latin advance in Asia then fell under Seljuk suzerainty [6427 f.]. Henry of
Minor, and no advantage could be taken of the Flanders, meanwhile, confronted Serbia with Bul-
victories over the Laskarides near Poimanenon garian support. By the time of his death in June
(late 1204) and Adramyttion (1205) in Mysia. 1216, large parts of Thrace and eastern Macedonia
The main task for Henry of Flanders, who acted were again under Latin rule.
as regent for his brother Baldwin before succeed-
ing him as emperor in August 1206, when Baldwin D. Epirus and Nicaea
was assumed dead, was to organize the defence
of the empire against Kaloyan, whose campaign D.1. The Balkans amid the power struggle
now had Constantinople itself in its sights. Pres- D.2. Further successes for the Empire of Nicaea
sure on Henry increased further early in 1207 when D.3. Towards the decisive moment
the Bulgarians allied with Theodore I Laskaris,
and was only released when Kaloyan died outside D.1. The Balkans amid the power
Thessalonica in October 1207. Even so, Henry’s struggle
next years were still dominated by conflict with In Epirus Michael Angelos had by now greatly
the Bulgars in the Balkans. expanded his territory. After a failed assault on
Thessalonica in 1210, he conquered much of Thes-
C. The consolidation of the Empire saly in 1212, driving a wedge between the Latin
of Nicaea possessions in Attica and the Peloponnese. Over
This all enabled Theodore Laskaris to consoli- the next few years, he then took Dyrrhachium,
date his position in Asia Minor. He successfully Corfu and Ohrid, before striking out into north-
repelled an assault on Nicomedia by the Trap- ern Albania, where he was murdered in 1215
byzantium 1204–1453 92

[4638–43]; [661]. He was succeeded by his half- regional one. The struggle for Constantinople was
brother Theodore (1215–1230), who in 1217 captured now beyond its capacities [21124–128].
the Latin emperor-designate Peter of Courtenay
(Pierre de Courtenay), as the latter attempted to D.2. Further successes for the
travel by land from Rome to Constantinople via Empire of Nicaea
Dyrrhachium. Two years later, in 1219, he went Provoked by the promotion of John of Bri-
so far as to kill him. Leaderless, the Latin Empire enne (1231–1237) to co-ruler alongside the young
was pitched into a deep crisis. Theodore Angelos Latin emperor Baldwin II, Ivan Asen II abandoned
meanwhile fought a war of conquest in Thessaly his previous strategy in the summer of 1231 and
and Macedonia that culminated in December attempted a rapprochement with the Empire of
1224 with the capture of → Thessalonica (8.11.), Nicaea. An alliance was concluded in 1234 and
extinguishing the Latin kingdom there [4662 f.]; consolidated the following year by the marriage
[21112–120]. of the two rulers’ offspring, Ivan’s daughter Elena
Some time between April and August 1227, and Theodore, son of John III. Like the Serbs, with
Theodore appears to have assumed the title of their consecration of Archbishop Sava (1175–1236)
emperor, further exacerbating the rivalry with the in 1219, Ivan Asen II also had the independence
Laskarid Empire of Nicaea. The ruler of the latter, of the Bulgarian Church (autocephaly) confirmed
John III Doukas Vatatzes (1222–1254), son-in-law by Nicaea in 1235 – incidentally confirming once
of Theodore I Laskaris, had also won an impor- again Nicaea’s political primacy within the Ortho-
tant victory over the forces of the Latin emperor dox Church. Late in the summer of the same year,
Robert of Courtenay (1217–1228) at Poimanenon in the two allied empires embarked on a siege of
1224, as a result of which (treaty of 1225) the Latins’ → Constantinople (8.10.), which was supported by
possessions in Asia Minor shrank to a few pockets, various western powers including the Venetians
mainly on the shore opposite Constantinople and and Genoese. The siege lasted a year, but growing
around Nicomedia [40161 f.]. John’s powerful fleet discord among the besieging forces ensured that
then made it possible to conquer various Aegean it failed [37].
islands (including Chios and Lesbos) and the Thra- Bulgaria came under Tatar rule in 1242, follow-
cian Chersonese. The people of Adrianople offered ing the death of Ivan Asen II in June 1241. Trebi-
their city to John III. This, however, sat ill with zond, which had briefly extricated itself from
Theodore Angelos, who sent an army. Seeing that Seljuk suzerainty in 1223, was forced to accept
this army enjoyed a massive numerical advantage, Tatar overlordship in 1243, and the Seljuks suffered
the units just arrived from Nicaea withdrew in the same fate themselves after they were defeated
1225 without a fight. The Epirote force took Adri- at the Battle of Köse Dağ in June 1243. Nicaea,
anople and embarked on a plundering campaign untouched by the Mongol advance, became by
that extended as far as Bizye in the hinterland of default the most powerful state in the region
Constantinople [8143]. [65130–134].
A marriage treaty by which Manuel, one By now, John III Doukas Vatatzes had not only
of Theodore Angelos’ brothers, married Maria secured the empire’s external frontiers with a
Asen, daughter of the Bulgarian tsar Ivan Asen string of military successes, but he had also sta-
II (1218–1241), helped cement relations only for a bilized the interior and brought about consider-
short time. Following the death of Robert of Cour- able economic growth with a plethora of astute
tenay in 1228, a controversial agreement made reforms in government, finance, the military and
Ivan Asen II the guardian of the minor Baldwin education and culture [43]. He skilfully used
II of Courtenay (1228–1261) on the condition that political alliances (negotiations with the papacy;
Ivan would recover the Latin possessions lost in in 1245, a second marriage to Konstance/Anna of
Thrace. Ivan accordingly conquered the hinter- Hohenstaufen) to establish Nicaea as a power in
land of Philippopolis. Theodore Angelos opted to its own right, and now he used the opportunity
attack Bulgaria but suffered a devastating defeat to acquire more territory in Thrace and Macedo-
at Klokotnitsa on March 9, 1230, and his eyes were nia. In 1246, he conquered Thessalonica [9279 f.].
put out. Large tracts of his domains from Thrace to That same year, the Despotate of Epirus under
Epirus passed to Ivan Asen II [7106]. Michael II also began to expand in Albania, and
The Despotate of Epirus survived at least in 1251 it encroached on Nicaean territories. Epi-
in name. Manuel, Theodore’s brother and Ivan rus was quickly defeated and stripped of extensive
Asen’s son-in-law, ruled in Thessalonica and Thes- territory. Nicaea also conferred the court title of
saly by arrangement with Bulgaria. Southern Epi- despotes on Michael II, officially signalling his sub-
rus, including the old capital of Arta, was given to ordination to John III [663].
his nephew Michael II. When Manuel died in 1241, Relations with the Bulgarians under Michael II
his domains passed to Michael II. Epirus, thereby Asen (1246–1256) remained volatile. When John III
reunited, became a power once more, albeit only a died in November 1254, they struck deep into
93 byzantium 1204–1453

Thracian territory claimed by Nicaea. Theodore II Venetian possession founded by Marco Sanudo in
Laskaris (1254–1258), John’s son and successor, 1207, centred on the islands of Naxos and Paros,
suffered from severe epilepsy and was more inter- similarly found itself claimed by Achaea in 1248
ested in cultural than military matters. Even so, and evidently was compelled to accede. Because
he went to Thrace, conducting a successful win- the Venetians on Euboea also acknowledged
ter campaign in 1254/55. A treaty was then signed Achaean overlordship, the principality was a pow-
early in 1256, fixing the upper Hebros as the border erful ally for the Epirotes in their struggle against
with the Bulgarian Empire [8145]. The following the Empire of Nicaea.
year, Theodore consolidated relations by having At Nicaea, Theodore II Laskaris died in August
his daughter Irene marry the new Bulgarian tsar, 1258 and was succeeded by his son John IV Las-
Constantine Tih Asen (1257–1277). karis, who was just seven years old. Theodore
had appointed his friend George Mouzalon as
D.3. Towards the decisive moment regent, but, despite swearing an oath of loyalty
Michael II of Epirus, meanwhile, had taken up to him, a group of leading imperial nobles who
arms against the Empire of Nicaea and, with Ser- had been greatly disadvantaged by Theodore’s
bian support, conquered parts of western Mace- hostile policies towards them murdered George
donia. In the winter of 1257/58, Michael in turn days after his installation. The noble party chose
suffered a surprise attack by the Hohenstaufen king a new regent from their own ranks, the general
Manfred of Sicily, who quickly took long stretches Michael Palaiologos, who was quickly elevated
of the Albanian coast and the island of Corfu. to co-emperor in early 1259. Michael immediately
Determined both not to jeopardize his own east- sent an army led by his brother John Palaiologos
ward ambitions and to avoid a war on two fronts, to the Balkans. John launched a surprise assault on
Michael II recognized these conquests and mar- Kastoria, and won a victory over the forces of
ried his daughter Helene to Manfred. William II Michael II, who launched a counter-offensive
of Villehardouin, Prince of Achaea, subsequently together with his allies.
also joined the alliance, marrying Michael’s sec- Thus it was that the troops of the two Greek
ond daughter, Anna, in 1258. A mixed western and empires came to face each other in the autumn of
Byzantine coalition was thus created, bent on put- 1259 for the decisive battle on the plains of Pelago-
ting a stop to Nicaea’s expansion. nia (Bitola). The alliance behind Michael II, which
The Principality of Achaea had been created by also had Serb support, broke apart immediately
William of Champlitte and Godfrey I of Villehard- before hostilities began. Some Epirote units with-
ouin on the Peloponnese in 1205. At first, it was a drew from the fray, and John Palaiologos won a
dependency of the Latin Kingdom of Thessalonica, glorious victory over the remaining forces, taking
but it became de facto independent after that William II of Villehardouin captive [22]. The Nica-
kingdom’s collapse in 1224 [6377–79, 186–188 et al.]. Its ean army went on to penetrate deep into inner
first capital was the small town of Andravida, and Thessaly and advanced on Epirus. The war among
the culture of the polity was informed by French the Greeks was decided in favour of the Empire
culture and Byzantine administration in equal of Nicaea.
measure. Thanks to its fertile lands and exports
of wine, oil and wax, Achaea was prosperous, and E. The recovery of Constantinople
its financial resources allowed it to take a lead- and its consequences
ing role among the Latin principalities. Godfrey Michael Palaiologos, the de facto ruler of Nicaea,
II of Villehardouin sent knights, archers and ships signed another treaty with the Bulgars early in
in 1236 to support the Latin emperor Baldwin II 1260. On the positive side, he then went on to con-
at Constantinople to help him repel the besieg- quer parts of eastern Thrace as far as Selymbria,
ing forces of John III and Ivan Asen II. Godfrey’s but, on the negative, he had to accept Michael II’s
successor, William II of Villehardouin, conquered recapture of Arta. In March 1261, Michael Palaiolo-
(hitherto Greek) Laconia, including Monembasia gos agreed an anti-Venetian pact with Genoa at
by 1250/53, and built the fortress of → Mistra (8.13.) Nymphaion, granting the Italian trading city com-
on an outcrop of the Taygetus, west of ancient mercial privileges and exemptions from taxes and
Sparta [2170–77]; [6128–32, 68 f.]. duties in return.
The Duchy of Athens and Thebes, established With his position thus shored up, Michael
in Attica and parts of Thessaly in late 1204, and began to prepare for the recapture of → Constanti-
in its early years (under Otto de la Roche) a fief- nople (8.10.). In the end, this feat was accomplished
dom of the Kingdom of Thessalonica, had come almost effortlessly and somewhat by chance. The
increasingly under the sway of Achaea after Thes- general Alexios Strategopoulos, who was cam-
salonica fell to Epirus in 1224. The Duchy of the paigning in Thrace, heard in the summer of 1261
Archipelago (Ducato dell’arcipelogo or Ducato di that the city was almost unguarded, because most
Nasso [63123 et al.]) in the heart of the Cyclades, a of the occupying Latin troops were away besieging
byzantium 1204–1453 94

the island of Daphnousia off the Bithynian Black of monasticism, into a richly ornamented and
Sea coast. Alexios led his army into the city to a highly melismatic hymnology. Old melodies were
rapturous welcome from the Byzantine popula- elaborated in the new style, and new compositions
tion, and Constantinople returned to Greek con- by renowned melodes (melodoi) found their way
trol on July 25, 1261. The Latin Emperor Baldwin II into books of musical liturgy (→ 14.1. Liturgical
had already fled along with the Latin patriarch music).
and their followers, and the Venetian Quarter The recovery of Constantinople was an act
went up in flames. fundamental to Byzantine self-conception, but for
A few weeks later, on August 15, 1261, Michael all its importance in the history of mentality and
Palaiologos celebrated his triumphal entry into the ideology, its economic and political consequences
city. His second coronation (alongside his wife), were stark. Large sums, for example, had to be
this time in the Hagia Sophia, gave appropriate invested in refurbishing the urban infrastructure,
expression to the idea that this was a new start which had decayed greatly during the long Latin
for the Byzantine Empire. Michael’s son Androni- occupation. The Byzantine treasury could not pro-
kos, just three years old, was made co-emperor. vide all this money itself. Much of it came from the
The rightful Laskarid heir, John IV, was not pres- private fortunes of noble families, whose endow-
ent at this ceremony, but was made to stay at ments contributed to the restoration of palaces,
Nicaea. He was blinded in December and put in churches and monasteries. It was not possible
a monastery, where he soon died of his injuries. to transpose to Constantinople the healthy eco-
The Palaiologoi had thus finally taken control of nomic and fiscal structure that had facilitated the
the Byzantine Empire. The Empire of Nicaea had triumphs of the comparatively small Empire of
metamorphosed into a new empire, with the last Nicaea, with its largely homogeneous population.
Byzantine dynasty at its helm, to remain there for Michael VIII saw himself as the new Constan-
almost two centuries [4934–37]. tine, and as such he felt an obligation to restore
Despite all political troubles, Byzantine art the old territories and frontiers of the empire.
would enjoy another golden age during these two However, defending that empire against its many
hundred years, reflected in → architecture (11.2.) enemies and restoring its defensive fortifications
and painting alike (→ 11.3. Art A.1.3.), and more devoured vast sums of money. In practice, the
than justifying the term ‘Palaiologan Renaissance’ abundance of hostile forces requiring diplomatic,
[62144–172]. Outstanding among the sacred build- monetary or military action in the Balkans meant
ings of this period is the southern church of the that the former heartlands of the empire in Asia
Lips Monastery in Constantinople, built between Minor suffered neglect.
1282 and 1304 (→ 11.2. Architecture A.2.4.) [44126–
131]. The Tekfur Sarayı (Palace of the Poryphyro- F. Byzantium under Michael VIII
gennetos) in Constantinople (→ 11.2. Architecture Palaiologos: a new, centralized state
B.3.) [44244–247] and the Palace of the Despot at and resurgent power
→ Mistra (8.13.) bear impressive testimony to Byz-
antine profane architecture, while the new frescos F.1. The Arsenite Controversy
and mosaics endowed by Theodoros Metochites F.2. Byzantium a Great Power once more
in the capital’s Chora Church (Church of the Holy F.3. Emperor Michael VIII as a statesman
Saviour in the Fields) between 1316 and 1322 are F.4. The Trapezuntine Empire
remarkable for their unique composition and
profound spirituality (→ 11.2. Architecture A.1.3., F.1. The Arsenite Controversy
with figs. 6 and 7) [44159–163]. A tendency towards The murder of John IV was a serious embarrass-
multidimensionality becomes generally apparent ment to Michael VIII. His efforts to hush the crime
in paintings of this period. New types of precious up soon came to nought, and as soon as it became
sculptural and relief icons were also produced known, the same Patriarch Arsenios Autoreianos
(→ 11.3. Art B.3.). who had made him co-emperor in 1259 promptly
In → literature (12.2.), the Palaiologan Renais- excommunicated him. Despite the dismissal of
sance saw engagement with the works of Classi- the patriarch in 1265, the resultant ‘Arsenite Con-
cal Antiquity, along with sporadic translations troversy’, which severely tested the internal unity
from the Latin. Ecclesiastical historiography, non- of the newly reconstituted Byzantine Empire, far
existent during the Middle Byzantine period, was outlasted the lives of both protagonists, persisting
revived. Besides texts in the prestige language, until September 1310.
more and more verse romances and fables were
also appearing that made use of a much simpler, F.2. Byzantium a Great Power
‘vulgar’ language and often a new metric form, once more
decapentasyllabic (or ‘political’) verse (→ 12. Lan- Conflict with the Bulgars soon resumed. Tsar
guage, literature, culture and education). Church Constantine Tih Asen, who was married to a sis-
music was developing, chiefly under the influence ter of the murdered John IV, used the pretext of
95 byzantium 1204–1453

vengeance to invade Thrace in 1262. Although he Nikephoros I, while the lands east of the moun-
made territorial gains at first, he was beaten back tain chain, including Thessaly, passed to his ille-
the following year, when the Byzantines advanced gitimate son John Doukas, who made Neopatras
on the Hebros (Maritsa) and the Black Sea coast his base. Although Constantinople granted John
and won important victories at Philippopolis, Doukas the title of sebastokrator and allied him to
Sozopolis, Mesembria and elsewhere. The enmity the Palaiologoi through marriage, he continued to
of those powers directly affected by the recapture pursue an independent policy [48].
of Constantinople was much more dangerous as
far as Michael was concerned. Quite apart from F.3. Emperor Michael VIII as a
the deposed Latin Emperor Baldwin II, the Vene- statesman
tians (stung by the damage done to their com- Charles of Anjou took the port of Dyrrhachium
mercial interests), the papacy (which wanted the in 1271 and subsequently annexed territories in
Latin patriarch reinstalled) and the Latin realms in Albania. Michael VIII countered this threat by
Greece, Byzantium’s key enemies here were Sicily, concluding treaties with the Hungarians (ca. 1270)
Epirus and Serbia. and the Tatars (ca. 1272), before having his legate,
William II of Villehardouin had bought his Georgios Akropolites, announce a union with the
freedom in 1262 by relinquishing the fortresses of Church of Rome and Byzantine recognition of the
Mistra, Geraki, Maina and Monembasia in Laco- primacy of the papacy at the Council of Lyon in
nia (returning possessions on the Peloponnese to July 1274 (→ 7.1. Doctrinal history D.2.). This move
Byzantium [63340 f.]) and by swearing an oath of thwarted Charles of Anjou’s plans for conquest for
loyalty, but he was now released from the latter the time being, and Charles committed himself to
by the pope. He proceeded to reinforce the army a two-year truce, giving Michael the opportunity
of Michael II of Epirus, who had recently returned to advance and conquer territory in Albania, Thes-
to the fray. Fortunes fluctuated at first, but John saly and the Aegean [4949–57]; on the council [55].
Palaiologos decisively defeated this force in 1264, Michael renewed the treaties with the maritime
and Epirus again had to acknowledge the superi- powers of Genoa (in 1275) and Venice (in 1277).
ority of its foe. The marriage of the eldest son of Orthodox opposition to the church union erupted
Michael of Epirus, Nikephoros I Angelos, to the in Constantinople and its surroundings, offering
Byzantine emperor’s niece Anna, affirmed the John Doukas, to whose territory many opponents
treaty the following year. of the union had fled, a welcome pretext for a new
Meanwhile, Michael was moving away from war. A synod convened by him at Neopatras in
his exclusive reliance on Genoa. Following the lat- 1277 even condemned Michael as a heretic [665 f.].
ter’s defeat at the hands of Venice early in 1263, William of Villehardouin died in 1278, and Charles
the emperor attempted a rapprochement with the of Anjou succeeded him as Prince of Achaea on
victor. After laborious and volatile negotiations, the Peloponnese in accordance with the provi-
he finally granted concessions to both powers. sions of the Treaty of Viterbo eleven years before.
The Genoese were given a quarter in Galata on In 1281, the new pope, Martin IV, excommunicated
the Golden Horn in 1267, and a commercial treaty the emperor for political reasons despite Michael’s
was signed with Venice the following year. This single-minded efforts to enforce the union in Byz-
accommodation prevented either Italian city from antium over strong opposition from his subjects.
joining the great anti-Byzantine coalition that had The excommunication provided a new legal basis
meanwhile begun to coalesce in the west. for a Western assault, and the alliance opposing
Manfred of Sicily had fallen at the Battle of Michael seemed on the verge of success, particu-
Benevento in February 1266, and the victorious larly when Venice also joined by the Treaty of
Charles of Anjou was now the new king of the Orvieto in July 1281.
southern Italian regnum Siciliae, succeeding the However, a rebellion broke out in Palermo on
Normans and the House of Hohenstaufen. Charles March 30, 1282, led by the son-in-law of the late
made a pact in May of the following year with the Manfred of Sicily, Peter III of Aragon, evidently
fugitive Latin emperor Baldwin II at Viterbo, with with some financial support from Byzantium. This
the approval of Pope Clement IV. Its main provi- uprising, known as the ‘Sicilian Vespers’, put a
sion was for the partition of the Byzantine Empire, permanent end to Charles’ hopes of conquering
largely to Charles’ advantage, and the restoration Constantinople. The rest of his life was devoted
of the Latin Empire. Bulgaria, still hostile to the to fighting for the territorial integrity of his own
Palaiologoi, joined the alliance, as did Serbia, regnum [57]. Venice again made overtures to Byz-
whose king Stefan Uroš I (1243–1276) was married antium, but Michael was unable to exploit his
to Princess Helen of Anjou. Epirus was partitioned success further. He died in December 1282 while
in 1266/68, following the death of Michael II and campaigning in eastern Thrace [4958–71].
weakened in the process. The territories west of Western Asia Minor had attracted far less atten-
the Pindos, including the capital, Arta, went to tion than the Balkans in the first two decades of
byzantium 1204–1453 96

Michael’s reign. Pirates were emboldened to raid Seeking to cut high maintenance costs, the
the eastern shores of the Aegean with increasing emperor decided in 1285 to dissolve the Byzantine
frequency, and the Seljuks conducted repeated navy and contract out the defence of the empire’s
(1264, 1269, 1274 etc.) incursions into Lydia and long coasts to the Genoese. Contemporaries imme-
the Maeander Valley. Many important Byzantine diately criticized this decision, which was made
towns were reduced to ruins. The project to rebuild in the conviction that the empire faced no seri-
the destroyed city of Tralleis on the Maeander and ous threat since Charles of Anjou was dead and
rename it Palaiologopolis (ca. 1280) failed. the maritime powers of Genoa and Venice now
maintained friendly relations. It indeed proved to
F.4. The Trapezuntine Empire be a historic mistake that seriously damaged Byz-
Relations between the empire and Trebizond antine independence. Moreover, Andronikos also
were peaceful. Manuel I Megas Komnenos (1238– reduced the size of the Byzantine army. Although
1263) received some ecclesiastical concessions this brought financial rewards in the short term,
from Constantinople in 1261, and his empire expe- the constraints on military action meant that
rienced a commercial boom when the Mongol Byzantium’s position as a great power, regained at
destruction of Baghdad in 1258 caused a shift in such great cost over the past decades, was quickly
the route of the Silk Road. Manuel’s son Androni- lost once more [3574 f.]; [49107 f.].
kos II (1263–1266) again lost Sinope in 1265. After Andronikos spent much of his time in Asia
the church union was announced at Lyon, his Minor between 1290/91 and 1293. During this
successor and half-brother George I (1266–1280) period, there was a rapprochement between Nike-
seemed, as an Orthodox regent, to be a suitable phoros Doukas of Epirus and Charles II of Sicily,
ally for those who opposed the union, but the and the relationship was consolidated by a mar-
surviving sources give little idea of how he felt riage between the children of the two men, Tamar
about it. In any case, George was betrayed in 1280 and Philip of Anjou. The despots of Epirus had
and found himself in Mongol captivity for sev- already resumed their fight with Constantinople
eral years, while his brother John II (1280–1284, in 1292, and there were raids in the Arta region.
1285–1297) succeeded him. In September 1282, Byzantine forces now relied on Genoese ships to
John married Eudokia, the third daughter of take them to the theatre of war, but the lack of a
Michael VIII, and took the title of despotes to navy was not a glaring weakness for this reason
replace the controversial ‘Emperor of the Romans’, alone: it also made it impossible to act effectively
which the Byzantines viewed (→ The Byzantine against increasingly frequent pirate attacks along
view of the state (2.1.)) as associated with posses- the eastern Aegean coast.
sion of Constantinople. The disastrous consequences of the abolition
of the Byzantine → navy (6.4.) became abundantly
G. Great power status lost again: clear in 1294, when war broke out between Genoa
Byzantium under Andronikos II and Venice and rapidly spread to Byzantine waters.
In 1296, Constantinople found itself under attack
G.1. Beginning of the end: haunted by political from a Venetian fleet whose original intention
errors had merely been to attack the Genoese enclave
G.2. Alans, Catalans and the failure of Byzantine of Galata, but it had then turned its attention to
strategy the Byzantine shore of the Golden Horn. Byzan-
tium reacted by arresting Constantinople’s Vene-
G.1. Beginning of the end: haunted by tian residents, thus making itself a party to the
political errors conflict – initially as an ally of Genoa, but then,
Michael VIII confirmed his son Andronikos after the Italian republics concluded a separate
as his successor shortly before his death in 1282. peace in 1299, alone. Andronikos did not managed
Immediately upon his accession, Andronikos II to procure a ten-year truce in until September
(1282–1328) dispatched Mongol auxiliaries to take 1302, and he had to promise substantial mon-
up arms against the Serbs, who had invaded Mace- etary payments and wider trading privileges to
donia and taken Skopje. One of the new emperor’s achieve it.
first acts was to cancel the church union of 1274 The conflict with the Serbs also came to a
on the basis both of personal conscience and of head during this sea war. The Serbs had by now
political expediency, since it prevented John Dou- extended their regular incursions into Macedonia
kas of Epirus and his followers from justifying in the direction of the Adriatic, targeting Albania,
their campaigns against Byzantine possessions in and they conquered Dyrrhachium in 1296. Byz-
the Balkans as a defence of Orthodoxy. Hostilities antine counteroffensives proving ineffective, the
with Epirus entered a few years of hiatus in 1283, only path to peace seemed to be through matri-
and the following year Andronikos won some vic- monial diplomacy. However, the obvious candi-
tories against the Bulgars and Tatars. date, Andronikos’ sister Eudokia, who had just
97 byzantium 1204–1453

returned from Trebizond widowed by John II, The mercenaries plundered Thrace, sometimes
angrily rejected the emperor’s plan, and he was in coordination with Bulgars and Alans. They then
forced to marry his five-year-old daughter Simo- moved westwards towards Macedonia in search of
nis to the King of Serbia, Stefan Uroš II Milutin richer pickings in 1307. In 1308 they launched an
(1282–1321). unsuccessful assault on Thessalonica [35158–199];
This was a delicate suggestion, not only because then in 1310, the Company traversed Thessaly to
of the bride’s age, but also because the groom had Attica, where they initially entered the service of
already been married three times, and the Church Duke Walter of Brienne. An immediate parting of
would not accept a fourth marriage (→ 4.2. Canon the ways, however, ended with the Catalan rout
law A.). The imperial envoy Theodore Metochites of Walter’s army at the Battle of Halmyros (for-
nevertheless succeeded in greasing the necessary merly mislabelled as the Battle of the Cephissus)
wheels in Serbia in 1299, and the marriage took in March 1311. The Company subsequently set up
place at Thessalonica in the same year. This meant its own regime in the Duchy of Athens [35226–229];
that Byzantium de facto recognized the Serb con- [49130–135].
quests in Macedonia. Andronikos had thus elimi- That same year, the Catalans’ former Turkic
nated the threat of further Serbian territorial gains allies laid siege to Michael IX’s units in Thrace
at Constantinople’s expense for as long as Milutin before assailing the Thracian Chersonese. Byzan-
lived, while strengthening the influence of Byzan- tine victory and the expulsion of the plunderers
tine culture in Serbia [21219–222]; [49119–121]. two years later came only thanks to Serb and Gen-
oese support. Anna, a daughter of Michael IX’s,
G.2. Alans, Catalans and the failure was married to Thomas, son of Nikephoros I of Epi-
of Byzantine strategy rus, probably in 1313. Turkic tribes in Asia Minor
The Byzantines had won several victories in were on the march in the early 14th century after
western Asia Minor under the general Alexios Dou- the failure of Byzantine military action, and the
kas Philanthropenos; in 1295 his troops acclaimed emirs of Aydin and Saruhan conquered many sub-
him emperor and made Nymphaion their capital. stantial centres in these years, including → Ephesus
This time, however, there would be no aggrandize- (8.12.), Pyrgium, Thyatira and Sardeis. Alexios II
ment of Asia Minor as in the Laskarid period: the Komnenos (1297–1330), the eldest son of John II,
rebellion was put down the same year. Internal had more success against the Turks and Geno-
dissent weakened the Byzantines in the years that ese in his Trapezuntine Empire. Thanks to some
followed, enabling Turkic tribes to win substantial military victories and skilful diplomacy in deal-
territories in the region. The emperor sought to ings with neighbouring peoples, his reign became
reinforce the Byzantine army with large groups something of a golden age for this mini-state on
of Alans, who had been settled in Thrace in 1302, the periphery of the Byzantine Greek world.
so that he could turn them against the Turks, but
the plan failed. The advance of the Byzantine force H. Civil wars
led by Michael IX, Andronikos’ eldest son and co- Michael IX, the heir apparent, died in October
emperor, was stopped at Magnesia on the Sipylus, 1320. Andronikos II refused to recognize his grand-
whereupon the Alans deserted and headed back son of the same name, co-emperor since 1316, as
for Thrace, plundering as they went. Many Byzan- heir because of his reckless way of life. The result
tine settlers followed hot on their heels, fleeing the was a civil war, which broke out in April 1321.
advancing Turks. There was a brief truce in the summer of 1321, but
The military emergency forced Andronikos, hostilities did not end until the following summer
who had drastically reduced the size of the Byz- with the signing of the Treaty of Epibates (July
antine army, to accept a costly offer made by the 1322). This restored the whole of Thrace to the
mercenary leader Roger de Flor. Roger’s ‘Cata- emperor, who had lost territory over the course of
lan Company’ of around 6,500 men, previously the conflict, while the younger Andronikos (III),
engaged in the fight between the Aragonese and who had many supporters, especially in the nobil-
Angevins over Sicily, arrived at Constantinople in ity (including the very wealthy future emperor
1303. The hopes invested in them would be disap- John [VI] Kantakouzenos, who was very close to
pointed. A first campaign in Asia Minor in 1304 him), and who was adept at exploiting his grandfa-
laid bare their unreliability and indifference to ther’s restrictive taxation policies for his own ends,
Byzantium. Recalled to Thrace in the autumn of was recognized as heir.
that year to repel Bulgarian incursions, they pro- The agreement provided an opportunity for
ceeded to pursue their own ends. The mercenar- action against the Bulgars, who had invaded the
ies’ hostility to Michael IX escalated, and when empire. The Tatars also had to be dealt with
Roger de Flor himself was murdered in late April in 1324. Meanwhile, the Turkic advance in Asia
1305, the Catalans became a rogue warring party in Minor was continuing, and Bursa was lost in
Byzantium’s midst. 1326. Tensions within the Palaiologos family now
byzantium 1204–1453 98

intensified again, and the third phase of the civil In the eastern Aegean, Chios was restored to
war began in 1327, this time with major contribu- Byzantine control in 1329. A Genoese attempt to
tions from the Serbs on the side of the emperor establish a foothold on Lesbos was thwarted in
and the Bulgars supporting the pretender. The 1335, but only thanks to an alliance with the Tur-
younger Andronikos took → Thessalonica (8.11.) in kic emirates of Aydin and Saruhan. They shared
January 1328, and, after further indecisive battles, with Andronikos a determination to stem Otto-
he occupied the capital itself on May 24, 1328, man expansion in northwestern Asia Minor under
ascending the Byzantine throne as Andronikos III Orhan Gazi. When Byzantium confronted Orhan
[8153–155]; [35284–300]. directly, however, the empire was defeated, at the
The Byzantine Empire lost its status as a great Battles of Pelekanon (Pelecanum) and Philokrene
power in the reign of Andronikos II. The domi- (Philocrene; June 10/11, 1329; John Kantakouzenos,
nance of numerous enemies, including the Bul- Historiai 2,6–9; Minor Chronicles 8, note 21) [1vol. 1,
gars, Serbs, Tatars, and the Catalan Company, left 78]. This sealed the fate of the remaining posses-
the emperor for the most part reacting to events, sions in Bithynia, including Nicaea and Nicomedia,
with little scope for initiatives of his own. Much which capitulated in 1331 and 1337 respectively.
of Asia Minor, which had already been neglected Byzantine cities on the southern shore of the Sea
during the reign of Michael VIII, fell to the advanc- of Marmara like Pegai, however, were spared for
ing Turks. Most of the financial reserves saved up now thanks to a treaty of 1328/29 (affirming the
by the Laskarid emperors in the 13th century had territorial status quo and intended by Constanti-
already been spent by Andronikos’ predecessor. nople to protect its flank) with the Karasid Bey-
The continuing widespread use of the pronoia lik of Balıkesir, another rival to the Ottomans. A
system (→ 1.5. Public finances and taxation; → 5.3. trading concession granted to its inhabitants by
State budget), even as imperial territories were Andronikos at the same date [33] shows the lim-
shrinking, meant a chronic decline in tax and ited options available to Byzantine merchants
other revenues. Military cuts proved a false econ- competing with the western powers of Venice and
omy, leaving the empire at the mercy of mercenar- Genoa, if they were not to resign themselves to
ies, who were not only expensive, but also lacked acting merely as their junior partners [36].
any intrinsic loyalty to their employer and were The Bulgarian defeat at Serbian hands at the
prone to change sides at any time. Abolishing the Battle of Velbužd on July 28, 1330, had an indi-
navy also drastically curtailed the empire’s ability rect impact on Byzantium. The victors now put
to respond and increased its dependence on for- their regional dominance beyond all doubt, draw-
eign powers. Last but not least, the civil war ate ing the weakened Bulgarians into their orbit and
up valuable resources that were urgently needed becoming the chief Balkan enemy of the empire
for the fight against external enemies. under their king, Stefan Uroš IV Dušan (1331–1355).
Andronikos was still able, however, to avert any
Andreas Külzer direct impact on the empire through negotiation.
The emperor died after a short illness in July
I. Andronikos III: a period of 1341. Without his unifying influence, the group of
convalescence powerful figures designated to form the council of
The abdication of Andronikos II in 1328, leav- regency for the minor John (V) immediately splin-
ing his grandson and former co-emperor to reign tered. John Kantakouzenos now confronted Anna
alone as Andronikos III, seemed to mark the of Savoy, Andronikos’ widow, egged on by Alexios
end of years of internal strife. Supported by his Apokaukos (a former protégé of Kantakouzenos’
friend and comrade-in-arms John Kantakouzenos who was now seeking to plot his way to more power
[66], who became his chief minister, the younger of his own). Whereas Kantakouzenos belonged
Andronikos consolidated the territorial position to the landowning aristocracy, Apokaukos repre-
in the southern Balkans by taking northern Thes- sented Constantinople and its financial and com-
saly in 1333 and Epirus in 1337/38 [47183, 185–187]. mercial circles [42144–157]. Just as the notables of
This finally drew a line under the years of Greek the Frankish Principality of Achaea pronounced
division against Nicaea (1204–1261) and Constanti- themselves ready to recognize Byzantine overlord-
nople (since 1261), but these were victories against ship, Kantakouzenos, who had established firm
opponents whose power had long since been wan- control over the empire’s external threats in the
ing. The polity that had emerged from the merce- preceding months, was stripped of his powers while
nary force of the Catalan Company in Attica and away from the capital. In October 1341, however,
Boeotia [60], which lacking any naval ambition he had his army proclaim him emperor in Thrace
was a welcome ally for the Venetians, also posed [47195–197]. In a distant echo of the history of the
an obstacle to Byzantine reunion with its posses- Lakapenoi in the 10th century, a new paradynasty
sion on the Peloponnese, the Despotate of Morea, thus emerged, paying lip service to the legiti-
which was growing at the expense of the Western, macy of the Palaiologoi while pursuing its own
Frankish principality of Achaea [68]; [13]. ambitions.
99 byzantium 1204–1453

J. Civil war resumed the plague (→ 13.6. Epidemics B.), which had swept
After five and a half years of conflict that began in from Central Asia via the Crimea in September
badly for him, Kantakouzenos finally succeeded 1347 (further waves followed in 1361/62, 1381/82,
in gaining the upper hand. He entered Constanti- 1398/99 and 1409/10). Nor did the salaried troops
nople on February 3, 1347, and was recognized as sent by the new eastern allies show much mercy.
emperor, now with John V as his co-emperor, who Orhan, Sultan of the Ottomans, had taken the
significantly was married to Helena, one of Kan- place of the Emir of Aydin in 1346. In his attempt
takouzenos’ daughters. This coup would not have to defend Thrace from the Serbs, Kantakouzenos
been possible without external military help. Serbs had shown a far more dangerous foe the road to
and Ottomans alike used these events to trans- Europe.
form themselves from international partners into → Constantinople (8.10.), however, faced a more
powerful factions of Byzantine domestic politics, immediate problem in 1348. Its little neighbour on
to the benefit of their respective causes. Stefan the opposite bank of the Golden Horn, Genoese
Dušan changed sides in 1343, and then proceeded Galata (Pera), was generating seven times as much
(in league with Anna of Savoy) to strip the empire income as the imperial capital. Late in the sum-
of most of its territories in Macedonia and all in mer of 1348, Kantakouzenos sought to strengthen
Albania. As so often in Byzantine history, political the Byzantine position (and probably also to gain
and religious affairs were inseparably intertwined; more support from the urban traders) by drasti-
in this case, in the Hesychast Controversy (→ 7.1. cally cutting customs duties, which provoked an
Doctrinal history A.5.). overreaction from the Genoese, who laid waste
The Hesychast Controversy began as a theo- to the Byzantine shore, burning ships and even
logical dispute between Gregory Palamas and the attacking the sea walls with catapults [47228 f.]. The
Italiote Greek Barlaam, who later became Bishop successful defence of the city stoked Byzantine self-
of Gerace. They differed, namely, over the ortho- confidence, and the long-contemplated revival
doxy of an ascetic practice of prayer that, when of the navy, requiring increased revenues, now
repeated frequently, was supposed to give one a became more practicable. The requisite timber,
mystic vision of the divine Light of Tabor. Against however, had to be sourced from far away, and
the backdrop of civil war, it became a crucial and the ships had to be built in the safer harbour of
divisive issue for the rival camps in Byzantine soci- Kontoskalion rather than in the wharves on the
ety. Kantakouzenos’ victory meant the triumph of Golden Horn [4526–31], showing just how difficult
Palamas’ doctrinal position (finally confirmed at such a project now was for Byzantium.
two synods in 1351), which is still regarded as ortho- When the new ships set sail for Galata on
dox today, although impartial scholarly analysis March 6, 1349, they were evidently poorly bal-
casts doubt on whether close patristic arguments anced. A gust of wind sowed panic among the
have always been followed with due seriousness. crews, who leaped into the sea before a blow was
One much-studied case that still eludes definitive struck (John Kantakouzenos, Historiai 4,11). All
evaluation because of the hostility of the sources the Genoese had to do to win a simple victory
is the government of the Zealots of → Thessalonica and humiliate Byzantium was to commandeer
(8.11.; most recently [2]) from 1341 to 1350. This the abandoned vessels. Although in the circum-
regime displayed anti-aristocratic and even ochlo- stances, the ensuing peace was very favourable
cratic tendencies, was legitimistic and anti-Palam- to the empire (although harbour taxes had to be
itic and vaguely reminiscent of the city communes raised again), there was to be no real respite at sea.
of Northern Italy. It lacked the means, however, to The latent rivalry between Venice and Genoa
maintain a restored central authority in the long broke out in open conflict in 1350 as a result of
term. In any case, the city ultimately preferred the latter’s efforts to take control of all trade in
the overlordship of Kantakouzenos to that of the Black Sea. John VI wanted to keep Byzantium
Serbia. out of the war, but Venetian pressure and the
prospect of weakening Galata led him to weigh in
K. Impotence against Genoa. A Genoese fleet reacted by plun-
That, however, would prove to be the solitary dering Byzantine Herakleia on the Sea of Marmara
success against Stefan Dušan, whose southward in October 1351, and the same fate soon befell
offensive continued. Thessaly was lost in 1348. Just Sozopolis on the western shore of the Black Sea
eight years after a restored, unified Byzantine ter- (Minor Chronicles 8, note 55 [59vol. 1, 86]). A Vene-
ritory extending from Albania to the Peloponnese tian fleet then fought an indecisive battle in the
had seemed within reach, the political map was waters off Constantinople in February 1352 (Nice-
radically redrawn. Together with the Despotate of phorus Gregoras, Historia Rhomaike 26,18–23)
→ Mistra (8.13.), Thrace was now the only substan- before promptly sailing away, leaving the emperor
tial territory still in Byzantine hands, and it was to negotiate with Genoa alone. Even within its
devastated by civil war and its cities ravaged by shrunken sphere of direct influence, Byzantium
byzantium 1204–1453 100

was no longer a force capable of shaping events, of both Johns, initial street battles ended with
but a pawn in the hands of others. This problem the negotiated compromise of joint rule on equal
would only worsen. terms. Whether this was all planned in advance as
a full transfer of power (as Kantakouzenos him-
L. Debilitating fragmentation self claims in his Historiai 4,40), or whether events
On land, Kantakouzenos found himself in the were driven by public opinion, the fact remains
summer of 1352 negotiating between his son Mat- that John VI Kantakouzenos abdicated, leaving
thew and the co-emperor John V, now an adult John V Palaiologos as sole emperor, on Decem-
and increasingly ambitious. Both had received ber 4, 1354.
parts of Thrace as apanages, while the dowager Although he now became a monk, Kantakouze-
empress Anna was residing at Thessalonica and nos did not retire from politics altogether, but
Manuel Kantakouzenos was serving as governor continued to act as a discreet mentor. His fam-
of the Despotate of Morea in the Peloponnese. ily even managed to hold on to power until 1382
As experiences with the Exarchates of Ravenna in the Despotate of Morea, which was enjoying a
and Carthage had shown, when segments of the phase of peace. His son and co-emperor Matthew
empire were isolated like this, it made for a rapid was also supposed to retire there under an agree-
local response to events, but there was also a dan- ment concluded with John V in 1355, but this came
ger that local officials would start pursuing their to nothing, and Matthew even moved against
own personal interests, supported or even manip- Constantinople with a force of Serb and Turkic
ulated from abroad. To restore order, John VI mercenaries in 1356. His army, however, fell prey
again made use of Turkic auxiliaries, who as to internal divisions, and Matthew found himself
usual took the opportunity to indulge in plunder. once more in Serbian captivity. John V bought his
John V, meanwhile, received aid from the Serbs freedom, but Matthew’s only recourse in Decem-
and Bulgars and financial subsidies from Venice. ber 1357 was to renounce the imperial title, to save
Although the empire had made frequent use of himself from a worse fate [47256 f.].
mercenaries over the thousand years of its history,
they had now effectively escaped government M. The emperor as supplicant
control, while still costing money and extracting There was little in the way of comfort from the
concessions. outset in the long reign of John V Palaiologos. The
Although the Turks withdrew to Asia Minor main crumbs were that the dynasty was again led
after defeating John V Palaiologos at the Battle by a single emperor and (at first sight) that John’s
of Demotika on the Hebros in 1352, another con- Serb rival Stefan Dušan had died in December 1355,
tingent sent by Sultan Orhan set itself up in the after which his kingdom, which had outgrown its
fortress of Tzympe on the Thracian Chersonese own stability, collapsed into small warlord fief-
that same year. Two years later, an earthquake doms. Even so, Byzantium lacked the power to
damaged the walls of nearby Kallipolis (Gallipoli), exploit this situation for anything more than spo-
enabling Orhan to take it too, with its fortress radic territorial gain. Just before his retirement,
overlooking the Dardanelles, through which ran John Kantakouzenos had advised a considered
all sea routes to and from Constantinople (→ 9.2. approach to confronting the wrongdoings of the
Sea routes). The Ottomans thus had a foothold in Turks: ‘What we need is money and the aid of an
the Balkans, and they proceeded to expand rap- allied army equal to our enemy in strength’ (His-
idly, probably establishing themselves on the coast toriai 4,40). Money was the first stumbling block,
south of Ganos as early as 1354, and then reach- and in 1357, the empress was forced secretly to
ing the important east-west route of the via Egna- sell precious enamel and gold reliquaries from the
tia at Megale Karya (Malkara; → 9.1. Land routes) imperial treasury to Venetian traders. These items
[8159 f., 428, 688 f.]. and their explanatory despatch notes found their
All this stoked discontent with John VI in way to wealthy Siena, where they remain to this
Constantinople, which no doubt inspired his co- day [27]; [1267–78, 104–124].
emperor and now rival, John V, to make his move The Ottoman advance, meanwhile, contin-
on the capital from Tenedos (where he had been ued apace. The loss of Arkadioupolis, Mesene
living ‘voluntarily’ since his 1352 defeat) in late and Tzurulon in 1359 alone laid bare the collapse
November 1354. A first foray in March 1353 failed of Byzantine power in the Thracian hinterland,
and moreover earned John’s rival Matthew Kan- while the fall of Didymoteichon (Demotika) in
takouzenos the title of co-emperor in response 1361 revealed a similar situation in the west. Hav-
(Nicephorus Gregoras, Historia Rhomaike 28,19). ing taken Philippopolis in 1363, the Turks contin-
This time, John V, who had the support of the over- ued to expand along the Maritsa (Hebros) Valley.
whelming majority of the population, succeeded Given the threat hanging over them both, it seems
in seizing the throne. Thanks to the pragmatism grotesque that Bulgaria and Byzantium felt they
101 byzantium 1204–1453

could indulge in a two-year war over Anchialos Although the underlying tendency was the
and Mesembria on the Black Sea coast (1362–1364) same everywhere, its effect varied across the Byz-
[8160 f.]; [7120, 401]. antine world (known as ‘Romania’) in the late
John V had already pleaded with Pope Inno- 14th and early 15th centuries, because substan-
cent VI to send troops in 1355. Although John’s tial territories were no longer subject to imperial
offer to subject the Orthodox Church hierarchy to authority at all. In Cyprus and Crete, for instance,
Rome through a papal legate within six months literary production flourished in altogether calmer
was unrealistic, it showed for the first time John’s political and economic conditions, and regional
willingness to abandon his predecessors’ contrar- linguistic and cultural forms were able to evolve
ian attitudes to church union. Ten years later, John in isolation from the gravitational pull of the capi-
would travel up the Danube to Hungary, only to tal and the dictates of its example. Western ideas
be told, however, that military aid was conditional could inspire contemporaries here with little in
upon the establishment of church union [24]. the way of ideological filtering [42324–329].
While trying to return home, John found his The remoteness of the Byzantine Peloponnese
way blocked by the Bulgars, who refused him pas- also spared it from the worst of the turmoil for a
sage. Only decisive intervention by a distant rela- time; indeed there were hopes that it might spawn
tive, Amadeo of Savoy, relieved the emperor from a turning of the tide, perhaps even on the basis of
this embarrassing position [16221–230]. Amadeo’s Ancient Greek thought, as proposed in the social
small army had attacked and conquered Kallipo- utopia of George Gemistos Plethon (Nomon syn-
lis during their advance [16218–220], and a similar graphe and the oration to Emperor Manuel II)
western intervention on a larger scale might have [67]. Far more in tune with reality, however, was
been able to push back the Ottomans on a broader the Greek version of The Chronicle of the Morea
front. No such intervention came. On the contrary: (second half of 14th century) [17]; [28], in which
the next domino fell in 1369 with the Ottoman a Greek elite of rural nobles, their self-confidence
conquest of Adrianople. At least this provoked the restored, took an originally Western, Frankish epic
formation of a coalition of the Serbian warlords, of conquest and turned it into their own history.
whose joint army then marched on Adrianople Outstanding and sometimes innovative works of
in September 1371. It was annihilated, however, painting are also found dating from after 1350,
at Černomen, 40 km west of the city [7121], and especially at Mistra [29].
Bulgaria and the southern Serbian princes now Although educational, cultural and literary
became Ottoman vassals. activity at Constantinople (cf. teaching and the
The following month, John V returned home scriptorium at the Xenon of the Kral; → 12.5. Cul-
from a second supplicatory voyage, this time to ture and education B.3.; → 13.3. Medical writings
Italy, where his personal conversion to Catholi- C.) did not stop altogether, it tended to amble
cism proved fruitless [26188–199]. Venice at least along well-worn paths of rhetoric, epistolography
agreed to send emergency aid if it received Tene- and theology (→ 12.2. Literature G.) [42369 f.]. Only
dos in return, to which John agreed. When his a qualified minority exhibited any intellectual
eldest son and co-emperor Andronikos IV, acting openness to the West. It is significant that one of
as regent, refused to countenance the move, John the most substantial Byzantine surveys of political
found himself in financial straits, and Manuel, his and religious conditions at the time was written
younger son, had to purchase his freedom [39]; by Sylvester Syropoulos about the events of the
[5nos. 3128, 3130]. distant Council of Ferrara-Florence in 1438/39.
But we shall not leap ahead to events yet to be
N. Sea changes in literature and art discussed.
Narrative histories by two contemporary intel-
lectuals with long experience as members or close O. A mini-state under foreign
associates of elite Byzantine circles, John (VI) control
Kantakouzenos (covering the years 1320–1356) The humiliation of John V at Venice was fol-
and Nikephoros Gregoras (retrospective account lowed by another one at home in 1372, when the
beginning in 1204, then in increasing detail for the Ottoman Sultan Murad I (1362–1389) demanded
years 1341–1358), gave way to a seventy-year his- the payment of tribute [5no. 3136]. In 1373, Murad’s
toriographical drought (relieved by John Kananos’ son Savcı Bey and John’s son Andronikos (IV)
account of the Siege of Constantinople in 1422) joined forces to rebel against their fathers. While
reminiscent of the ‘Dark Ages’ of the 7th and 8th Murad punished his defeated son without remorse
centuries – another period in which the political in the traditional fashion by blinding him, John
order and traditional structures had been dissolv- appears only to have inflicted the punishment on
ing or had already broken down, as enemies closed Andronikos in one eye [1119–23], which prolonged
in on all sides and internal strife ran rampant. the revived generational conflict (cf. above, H.,
byzantium 1204–1453 102

on Andronikos II vs. Andronikos III) within the Murad made no commitment. His priority for
Palaiologos family. now was his enemies in Anatolia and the → Bal-
That conflict soon became conflated with the kans (15.3.), where the northern Serbs and Bos-
dispute over Tenedos, where the Genoese sought nians were joining forces in an attempt to turn the
to prevent a Venetian takeover by helping the tide. They enjoyed some initial success thanks to
captive Andronikos IV to flee to Galata (Minor Murad’s military distractions. However, when the
Chronicles 22, note 15 [59vol. 1, 182]). From there, he allies met the entire Ottoman force on June 15,
attacked Constantinople in the summer of 1376, 1389 at the ‘Blackbird Fields’ (Kosovo Polje, near
conquering it with the tacit approval of the Otto- Priština), they suffered an epic defeat that decided
mans and taking his father and brother → Manuel hegemony in the Balkans for centuries to come.
(2.6.; co-emperor since 1373) captive (Doukas 12,3). Although the Ottoman leader was himself killed,
Kallipolis fell to the Turks again, and Tenedos to his son and heir Bayezid (1389–1402) already
Genoa, but the Venetians were quicker to occupy proved his ability during the battle. Byzantium,
the island. With their help, and that of the Otto- reduced to a negligible entity that was not even
mans, who had switched sides once more, John present at Kosovo Polje, commented on these
V and Manuel were freed after three years and events with mere resignation. Demetrios Kydones,
returned to power in 1379, whereupon Androni- scholar and mesazon of many years’ standing,
kos IV escaped to Galata. The two sides fought wrote to Manuel (letter no. 396 [39]) that Sultan
each other on the shores of the Golden Horn until Murad’s death ‘brings no improvement to our
April 1381 [47289–293]. position. Even if all the Turks died, the Romans
These events may seem like a rather clumsily [i.e. Byzantines] would fare no better’.
constructed tragicomedy of trials and tribulations, As far as the Byzantine succession was con-
but they demonstrate all too clearly the degree to cerned, the new sultan in 1390 gave his vote
which the ‘rulers’ of the rump empire were now to John VII, co-emperor under his father Androni-
reduced to puppets of other, more powerful forces. kos IV in 1376/77, rather than to Manuel. Fur-
The Ottomans were the strongest, and dominant nished with the requisite troops, John duly took
on land, but Venice and Genoa, with their respec- control at Constantinople in April, with the excep-
tive, primarily mercantile interests and domina- tion of the fortress at the Golden Gate, which had
tion of the seas offered a counterweight that kept once offered refuge to John Kantakouzenos and
Constantinople, now virtually synonymous with now did the same for John V. As he had done
Byzantium as a state, from downfall. before at Venice, Manuel organized outside help,
There was now yet another internal partition and succeeded in restoring his father to the throne
of the little that remained to partition, but with [54311–327].
the sole exception of the Despotate of Morea, Bayezid was less than delighted by this unex-
this no longer meant territories, but only a few pected reverse, and Manuel and John VII were sum-
Aegean islands and towns and cities isolated in a moned to the sultan’s camp as hostages. The then
mostly Turkic landscape. Andronikos IV received were forced, to their personal shame, to take part
the towns on the shores of the Sea of Marmara, in the Ottoman siege and conquest of the very last
while Manuel administered → Thessalonica (8.11.), Byzantine city in Asia Minor, Lycian Philadelphia.
and Theodore, the youngest son of John V, resided John V, meanwhile, was commanded to raze the
at → Mistra (8.13.) on the Peloponnese. The Prin- fortress at the Golden Gate. If he refused, Manuel
cipality of Achaea, long Byzantium’s key regional would be blinded. This effectively left the emperor
opponent there, was in decline. Its western terri- with no choice [54331 f.]: even in his own residence,
tories were dominated by the Navarrese Company he had become a receiver of orders. His death on
(a Spanish mercenary force gone rogue) after February 6, 1391, spared John further humiliations.
1383, and its east (along with Corinth, Athens and In retrospect, he was not a great emperor, but nor
Boeotia) by the Acciaiuoli, a family of Florentine does he bear any great responsibility for the fall
bankers who had risen to become territorial lords of the empire. At the same time, his actions were
[38130–134]. The Ottomans reached Sofia in 1385, inadequate even to slow the process.
while John V and Andronikos IV were fighting
again, this time over possession of a small fortress P. The end nigh?
in the environs of Constantinople – encircled by → Manuel (II; 2.6.) was quicker to react to word
the Turks. This would be their final battle, for of the death of John V than John VII, and soon
Andronikos then died. Byzantine rule over Thessa- he was the undisputed emperor. During the first
lonica was also crumbling; after a four-year siege, decade of his reign, he alternated between periods
the city opened its gates to the Ottomans on April of enforced absence from → Constantinople (8.10.)
9, 1387 [11446–450]. Manuel suffered the humilia- and periods of confinement there. In June 1391, he
tion of submission to Murad. From now on, the was already required to accompany Bayezid as his
Ottoman Sultan had a say in who should be the vassal for months of campaigning in Anatolia, and
Byzantine heir. he was summoned to the Ottoman court again in
103 byzantium 1204–1453

the winter of 1393, along with other subjugated and John VII became Regent at Constantinople –
Christian rulers. Whether by calculated intimi- the sultan could hardly raise objections to his for-
dation or genuine threat, the sultan’s changes of mer protégé. Manuel, however, did not entirely
mood led his guests to fear for their lives [47314 f.]. trust his nephew and sent his wife and children
Once safely back in Constantinople, Manuel to the Despotate of Morea on the Peloponnese.
ignored the next summons. He was soon unable Even here, dark clouds were also gathering. The
to leave the city even by land, after a Turkic army first Turkish assaults had come in 1395 and 1397,
laid waste to its surroundings. This marked the leading the despot Theodore to relinquish Corinth
beginning of a blockade that lasted many years. (which had only been taken in 1395) to the Knights
Supplies of provisions ceased, and only occasional Hospitaller of Rhodes. Following a third wave of
deliveries of grain by Italian maritime traders kept plundering in 1400, the transfer of the entire ter-
the population from starvation. ritory to the Order of St. John was agreed, but a
Wallachia and Hungary, whose territories bor- popular uprising in → Mistra (8.13.) prevented the
dered on the north and northwest of the sultanate, change of regime from taking effect everywhere
now belatedly recognized the threat they too faced, [68vol. 1, 158–161].
and acted. An indecisive battle in 1395 could not At Constantinople, as the siege continued, the
save Wallachia from also becoming a vassal state, atmosphere in the city became ever more hope-
but Sigismund of Hungary (King of Hungary 1387– less. The sultan, outside, was already at work
1437; Holy Roman Emperor 1433–1437) was warned specifying who should use which buildings after
and took greater care. His operation assumed the the takeover and how. Manuel meanwhile was en
dimensions of a crusade, with contingents from route from Italy to France, then visiting England
across the whole western world – but it practically (December 1400 – February 1401) before return-
ignored Manuel’s Byzantium. Relieving Constanti- ing to Paris, while also pursuing contacts with
nople was only an indirect aim of the campaign. Portugal and Aragon (→ 2.6. Manuel II Palaiolo-
Its main purpose was to push back the Turks in gos B.) [11171–199]. His remarkable erudition earned
Europe or even expel them from it. At all events, him great admiration in the climate of the Early
Sigismund’s venture ended on September 25, Renaissance, but when it came to saving Byzan-
1396, in the catastrophic Battle of Nikopolis on tium, even the emperor was unable to achieve
the Danube, where most of those not killed were much, beyond many donations of words and a
shipped off into Oriental slavery. Sigismund him- few of money. Aware of the hopelessness of his
self managed to escape by ship across the Black mission, he sought solace in literary activity, as he
Sea to Constantinople. As he passed through the had done before, while in Anatolia in 1391 (→ 2.6.
Dardanelles on his homeward voyage, Bayezid Manuel II Palaiologos C.). Dating from that period
mockingly lined the banks with thousands of are his Dialogues with a Persian, a disputation on
European prisoners to greet him. Even now, Islam [4], and between 1399 and 1402 he wrote an
for all their dominance on land, the Ottomans Ekphrasis on a wall-hanging in the Louvre [18].
still did not control the sea. This umbilical cord Meanwhile, rumours were beginning to circulate
was one key factor in the continuing survival of in England and France of a dramatic turn of events
Constantinople. in the distant East.
Shock at the disaster of Nikopolis earned Byz-
antine supplicants, tirelessly sent out to the West Q. Timur ex machina
by Manuel from the increasingly beleaguered Con- The legend of Prester John, who struck at the
stantinople, a better hearing there than before. backs of the enemies of Christendom, echoed
Charles VI of France, who had an interest in the through these rumours. The grain of truth at its
Levant as the new lord of Genoa, sent a contingent heart bore the name Timur (Tamerlane). Timur
of 1,200 men to support the city in 1399 [11160–165]. was a distant, Islamized descendant of Genghis
Although their presence boosted morale, they Khan, whose Mongol Empire he led to a final flour-
made no practical difference. The French com- ish from his seat at Samarkand. Timur’s armies
mander, Jean le Meingre, Marshal Boucicaut pushed north into Russian territory and south
[11162], was able to persuade Manuel that his per- towards India. Whoever they did not subjugate,
sonal presence in the West was needed if anything they butchered. Tamerlane’s westward expansion
substantial was to be achieved. There may also led inevitably to a collision with Bayezid, who
have been a thought that, if Constantinople were had been pushing eastward for years. The situa-
to fall in the meantime, Manuel could become tion has echoes of the simultaneous Byzantine and
the figurehead of a Christian European army that Seljuk pushes into the → Caucasus (15.4.) around
would set out for Constantinople to emulate the 1050, which culminated in the Battle of Manzikert
one that had freed Jerusalem. At all events, the in 1071.
emperor set off on his western journey in Decem- Tamerlane and Bayezid both demanded trib-
ber 1399 (Minor Chronicles 35, note 5 [59vol. 1, 285]), utes from the eastern Anatolian emirates. Then,
byzantium 1204–1453 104

in 1400, the Mongols for the first time attacked the Sea of Marmara and Black Sea were restored
and destroyed a direct Ottoman possession, to the empire [4140–75]. For their part, the Otto-
Sivas (formerly the Byzantine Sebaste). Bayezid’s mans gained the time they needed to consolidate
image and pride made submission impossible and internally. In 1410/11, when Suleiman lost out to
unthinkable, and two years later, he accordingly his brother and rival Musa, who showed signs of
confronted Timur in a large-scale offensive. The seeking a reckoning with Byzantium and even
Ottoman force was unable to withstand the sheer embarked on a siege of Constantinople, Manuel
numerical superiority of the enemy at the Battle of adopted the strategy that had stood the empire in
Ankara on July 28, 1402, and the sultan himself was good stead for centuries: playing the ‘barbarians’
taken prisoner, although four of his sons escaped. against one another. Mehmed, the third surviving
The victor systematically destroyed Ottoman gov- brother, was incited to make a bid for the throne
ernment structures in Asia Minor, replacing them against Musa, and he authoritatively imposed
with other Seljuk emirates (e.g. Saruhan, Aydin), himself as the new sultan in 1413 [47341–343]. He
which now became Timur’s tributaries. The Mon- remained in Manuel’s lifelong debt as a result, but
gols withdrew east for good in the spring of 1403. this did not prevent him from working to reas-
semble his empire piece by piece.
R. Calculated risk – a period of Manuel saw this work for what it was, and
coexistence sought to avert possible threats wherever he
Spared the onslaught of the Mongol hordes, could, not least with diplomatic initiatives. As
Byzantium found itself in the summer of 1402 before, the European West responded to these
miraculously freed from the Turks’ stranglehold, with nothing but sugared words. Between 1414
and with some scope for initiative restored. That and 1416, the emperor conducted a tour of inspec-
scope was admittedly far from unlimited, because tion of his fragmented realm that also took him
the Ottomans were still ensconced in the southern to the Peloponnese [11298–318], and while there,
Balkans. Even if their realms there had splintered, he ordered the construction, with all speed, of a
like those of the Serbs after the death of Stefan defensive wall across the Isthmus of Corinth, over
Dušan fifty years before (see above, M.), it would 6 km long and furnished with two forts and 153
still have been beyond the small Christian Balkan turrets. The ‘Hexamilion’ [25] was intended to
states to overpower them, after decades of eco- repel incursions from the north (and Manuel was
nomic and military decline and given the degree not thinking about the moribund Principality of
to which they were already bound into the net- Athens), providing the Despotate with the same
work of the Ottoman overlords. Only a full-scale security as Constantinople’s triple barrier of walls.
crusade like that of 1396 might have really turned The defences were tested sooner than he expected.
the tide, but even before 1402, in extremis, there Mehmed I died unexpectedly in May 1421, and
had been very little appetite for such a project, as Murad was designated as his successor, a deci-
Manuel had discovered to his bitter disappoint- sion Manuel was minded to support. His son John
ment in Western Europe. (VIII), however, who had become co-emperor that
Although the situation now seemed much year, enforced a riskier course. He was convinced
improved, there was even less Western enthusi- that another candidate, Mustafa, who had been in
asm, particularly given that the eastern Christians Byzantine custody since 1416, would bring Byzan-
(not least Manuel II himself) continued to reject tium more (territorial) profit if he were to succeed
union with Rome. Venice and Genoa, the only (Doukas 27,1–7; [47347 f.]).
Latins to be directly involved, found it easier to
uphold their commercial interests with the Otto- S. Vassalage restored
mans weakened, and the costs of military security Mustafa’s rapid failure in January 1422 brought
were also lower. Seizing the opportunity to negoti- a prompt reckoning for Byzantium. Murad II sent
ate their way to a better position within the exist- a punitive expedition to the Byzantine Pelopon-
ing system, in which the Ottomans were crippled, nese that left the Hexamilion in ruins [2519, 148 f.]
was clearly a far easier and less risky alternative. and plundered the lands it had defended. He laid
Byzantium, freed from the blockade, had siege to Constantinople from June to early Septem-
already chosen this route too by the time Manuel ber 1422 [11359–366] and set up a blockade at Thes-
II returned home on June 9, 1403. Flanked by the salonica. Byzantium found itself unable to supply
Italian maritime states, it reached an accommo- the city the next year because of its shortage of
dation with Suleiman, the eldest son of Bayezid. resources and abandoned it to the Venetians (who
The tributary relationship was dissolved, and even kept it until 1430; Doukas 29,4 f.). A new Byzantine-
the Byzantium’s vassalage was reversed, formally Ottoman treaty was agreed after long negotiations
speaking. → Thessalonica (8.11.), where John VII in February 1424, and it made the emperor a vassal
would reside as (co-)emperor until his death in once again [5no. 3414]. Byzantium was back where
1408, Mount Athos and stretches of coast along it had been with Murad I in 1372. Once again, a
105 byzantium 1204–1453

quarter century would now pass before the empire vague gesture, despite Byzantium’s agreement to
faced the precipice as it had in 1400. His death in a church union at the Council of Ferrara-Florence
July 1425 relieved Manuel II of the necessity of wit- (1438–1439; → 7.1. Doctrinal history D.2.). John VIII,
nessing a second agony of the state. his brother Demetrios and Patriarch Joseph II led
John VIII reigned as emperor at Constan- the delegation of 700, which included the entire
tinople until 1448, but up to three of his four Byzantine intellectual elite [23], but there was no
brothers remained at Mistra in the Despotate of popular support for the proposed union. Indeed,
Morea. On the one hand, this reflects the reduc- the dividing lines now sharpened: Basilios Bessa-
tion in the empire’s possessions, but on the other, rion [20] and Isidore (‘of Kiev’, actually born in
it shows where Byzantium still held out hopes the Peloponnese) sided wholeheartedly with the
for the future. In the capital, almost encircled by pope, becoming cardinals and providing impor-
Turkish territory (only Mesembria, Anchialos and tant stimulus to Western Humanism with their
Selymbria were still holding out), John meanwhile literary studies and private libraries, while the
decided, pleading financial exigency, to impose equally erudite Matthew of Ephesus and George
a tax on wine consumption in Venetian taverns, Scholarios led opposition to the union. That sig-
contrary to existing trading privileges [15310 f.]. nificant help from the West was conspicuous by
Late in 1427, a Bavarian nobleman spent three its absence gave strength to the latter position.
months in the city after escaping decades of slav- Demetrios Palaiologos tried to market his
ery, at first with the Ottomans (1396–1402), and opposition to the union to the detriment of his
then with the Mongols. Johann Schiltberger had brother the emperor and even besieged Constan-
hoped to look around the city, but he was forbid- tinople himself in 1442, initially with Turkish sup-
den to do so, ‘because they feared that the heathen port (Sphrantzes 25,3). On the whole, however,
might recognize us and demand that the emperor foreign participation in squabbles within the rul-
return us’ (quoted from Schiltberger’s memoirs; ing family had diminished greatly compared to
cf. [3299–104]). To learn of the decline of the infra- the 14th century, and for one simple reason: the
structure of the ‘second Rome’ (to which the empire had slid below the threshold of relevance
declining sums spent on building restoration also even for local politics, so that siding with dynasty
attest), we therefore rely on the accounts of other members who aspired to the throne no longer
travellers, such as Ruy Gonzales de Clavijo (1403) promised any return.
or Pero Tafur (1437/38) [31109 f.]). The population Murad II punished his defiant vassal Constan-
of Constantinople had by now shrunk to around tine in 1446. Two armies devastated the Pelo-
40,000 – a tenth of its strength in the reign of ponnese, and tens of thousands were reportedly
→ Justinian (2.3.) in the 6th century (→ 8.10. Con- taken captive. The dream of a general resurgence
stantinople D.). beginning in the Despotate was in ruins. A bar-
In the Peloponnese, on the other hand, the rage of cannon fire atomized the rebuilt Hex-
empire was growing. The remnants of the Latin amilion [2522 f., 149 f.] in what was effectively a
Principality of Achaea fell to the Despotate of dress rehearsal for the final act, seven years later.
Morea between 1427 and 1432 [13vol. 1, 287–293], and The Ottomans showed off their growing fleet in
Morea now covered the entire peninsula apart the waters off Constantinople in 1448. Accord-
from a few Venetian ports. Despot Constantine ing to the only surviving source to describe the
even felt strong enough in 1444/45 to expand action, however, the Minor Chronicles (9, note 50)
northwards, conquering Attica and Boeotia [59vol. 1, 99], they still quailed, for now, before the
[68vol. 1, 230–232]. city’s heavily fortified walls.
However, the emperor’s brother was taking
advantage here of the fact that Murad II’s army was T. The end: last echoes of a
busy elsewhere. The armies of the united Hungar- millennium
ian and Polish kingdom had advanced as far as Niš The protagonists for the finale were new. Con-
and Sofia under the command of Janos Hunyadi, stantine XI succeeded his late brother as emperor
and Murad was forced to agree a ten-year truce in on October 31, 1448, and Mehmed II acceded to the
1444. When it was immediately broken, it was by sultan’s throne on February 18, 1451. The fortress of
the Christians, who then suffered a heavy defeat Rumeli Hisar on the Bosporus, completed in 1452,
at Varna in November 1444, to be followed in 1448 won Mehmed control of the sea routes, which hit
by another catastrophe in the ‘Blackbird Fields’, Constantinople particularly hard. The real siege
the Second Battle of Kosovo. Although the west- of the city began in April 1453, and the Ottomans
ern armies were posturing as crusaders in these triumphantly stormed it on May 29. Constantine
campaigns, the real motivation was two powers’ XI fell in the battle [56]; [52]. The Fall of Constan-
struggle for hegemony in the Balkans. tinople, and with it the Byzantine Empire, came
The promise of assistance to the Christian as a result not of some gate being carelessly left
brethren of the east remained no more than a unlocked, but of relentless pressure from all sides
byzantium 1204–1453 106

by land and water, applied by an attacker with at Cupane, Noi e gli altri. Forme di identità e alterità
least a tenfold numerical advantage, combined in zone di contatto, in: Le forme e la storia N. S. 8,
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ity that the city would also stand at the crucial Biographie, 1971 [20] G. Ficcadori (ed.), Bessari-
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in: N. Asutay-Effenberger / U. Rehm (eds.), Sul- Assault and Siege of Constantinople, 1235–1236, and
tan Mehmet II. – Eroberer Konstantinopels – Patron der the Breakup of the Entente Cordiale between John III
Künste, 2009, 211–225 [11] J. W. Barker, Manuel II Ducas Vatatzes and John Asen II in 1236, in: S. Vryo-
Palaeologus (1391–1425). A Study in Late Byzantine nis (ed.), Byzantine Studies in Honor of M. V. Anas-
Statesmanship, 1969 [12] L. Bellosi (ed.), L’oro di tos, 1985, 105–135 [38] P. Lock, The Franks in the
Siena. Il tesoro di Santa Maria della Scala (Ausst.kat.), Aegean, 1204–1500, 1995 [39] R.-J. Loenertz, Jean
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historiques, topographiques et archéologiques sur la 217–232 [40] J. Longnon, L’Empire latin de Con-
principauté d’Achaie, 2 vols., 1969 [14] A. Carile, stantinople et la principauté de Morée, 1949 [41]
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1204–1261, 21978 [15] J. Chrysostomides, Vene- Schicksal von Byzanz. Studien zur spätbyzantinischen
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in: Studi veneziani 12, 1970, 267–356 [16] E. L. Cox, Matschke / F. Tinnefeld, Die Gesellschaft im
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 Nicopolis
107

er
ad Istrum

Ist
Niš
1396
Odessus a
Kosovo Trnovo / Varna k Se
polje 1444
c
Mesembria
Bla
Kosovo Sofia / Nesebar
(Blackbird Field) 1330 Anchialus
June 15, 1389 Hebr 1230 / Pomorie Sozopolis
os (M ari )
ca Klokotinisa Sinope
Pautalia
Skopia Beleboustion Philippoupolis 1371 Amastris
/ Skopje / Velbuzd / Plovdiv Adrianople Constantinople
Dyrrhachium ˇ
Cernomen

Sea
and Pera
Ohrid Bizye
1259 Serrai Didymoteichon 1329 Heraclea Pontica P o n
t u s
Pelagonia Selymbria
/ Bitola Apros 5 B i t h y n i a
1302 Philokrene
Thessalonica ntis
Cinbi / Tzympe 2 Prop o Nicomedia
Kastoria Ancyra
Cyzicus Nicaea July 28,
Cassandrea Athos Callipolis / Ankara
5 Prusa / Bursa 1402
Olympos

Adriatic
Th Hellespontus
ess 1204 & 1224 1 Andravida
Corcyra

A
alia
Tenedos Poimanenon Kotyaeion
Corfu Germia t e s 2 Ganos
Demetrias Assos Adramyttion i r a

eg
Arta Halmyros Attaleia e m Caesarea
3 Methone

e
Eu i c
Zetounion bo Pergamum r k 4 Nymphaion
ea Lesbos 6

an
(N Phocaea 8 Sardeis
T u 5 Pegai
eg
r 6 Thyatira

o
1311
ea Thebes a Chios
ha Smyrna 4 Philadelphia 7 Magnesia on

S eponte)
Hexamilion Athens the Maeander

Ac
1 Tralleis Antioch
Zakynthos Corinth´ Ephesus on the Laodicea 8 Magnesia on
Argos Maeander 30º 35º the Sipylus
7

Pele
Naxos Mylasa

po
3
Mistra

nn
Late Byzantium

Ma

es
Monembasia

e
ina
(M Byzantine Empire Venetian possessions
or c. 1350
ea
) Frankish possessions,
Rhodes Turkic emirates esp. Principality of Achaea

35º Genoese possessions

Serbian Empire

Serbian conquests
Crete (Candia) after 1340 Duchy of the Archipelago

ea Bulgarian Empire
Medi Duchy of Athens,
terranean S from 1311 Catalan Company
Campaigns of the Catalan
Company 1303–1311
Possessions of the
Knights Hospitaller
0 100 200 300 400 500 km 30º Mongol invasion
under Timur Lang, 35º
1402/03 battle
20º 25º
byzantium 1204–1453

Map 8: Late Byzantium

byzantium 1204–1453 108

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Wiener, Die Häfen von Byzantion, Konstantinupo- Relations with the Seljuk Sultanate of Rum in Asia
lis, Istanbul, 1994 [46] D. Nicol, The Despotate of Minor, the Armenians of Cilicia and the Mongols
Epiros, vol. 1: 1204–1267, 1957 [47] D. Nicol, The A.D. c. 1192–1237, 1981 [59] P. Schreiner, Byzanz
Last Centuries of Byzantium, 1261–1453, 1972 [48] 565–1453, 32008 [60] K. M. Setton, Catalan Domi-
D. Nicol, The Despotate of Epiros, vol. 2: 1267–1479. nation of Athens, 1311–1388, 21975 [61] K. M. Set-
A Contribution to the History of Greece in the Mid- ton, The Papacy and the Levant (1204–1571), vol. 1:
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of Byzantium, 1261–1453, 21993 [50] N. Oikono- W. Treadgold, Renaissances before the Renais-
mides, La décomposition de l’Empire byzantine à sance, 1984 [63] N. I. Tsourgarakis / P. Lock
la veille de 1204 et les origines de l’Empire de Nicée. (eds.), A Companion to Latin Greece, 2015 [64] A. A.
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2 vols., 1976 [52] M. Philippides / W. K. Hanak, Eleventh through the Fifteenth Century, 1971 [66]
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To Ellēnikon. Festschrift S. Vryonis, Jr., vol. 1, 1993,
1. The idea of empire and emperor
1.1. The idea of empire and emperor: introduction ing to the emperors and their advisors not to stray
1.2. The concept of the emperor beyond the bounds of orthodoxy. From a more
1.3. The Byzantine court: emperors, empresses, pragmatic political perspective, it might be said
eunuchs and court culture that every political rebellion in Byzantium rested
1.4. Emperor, elite and subjects on simple awareness of the fact that anyone who
1.5. Public finances and taxation could make an emperor could also unmake him
[91–75].
1.1. The idea of empire and emperor: The ‘election’ of the emperor chosen by God –
introduction to be supreme commander of the armed forces
and supreme leader of the Roman world – was
A. The office of emperor ratified by the army, senate and people, who in
B. Empire and Church acclaiming the emperor acted of their own free
C. Roman law will, in the sense of being plenipotentiaries of God.
D. Empire and patriarchate Once elected, the emperor enjoyed unique litur-
E. Ecclesiastical policy and the Imperial Church gical and executive privileges within the Church
[28]. This arrangement explains both the absence
A. The office of emperor of hereditary succession (instead, designated suc-
‘Every emperor strives to ensure that his sub- cessors were named as co-emperors) and the fact
jects are ruled by good laws, lest he unwittingly that it was possible to transform a usurpation into
overstep the immediate threshold into tyranny’ a legitimate succession. Principles of dynastic suc-
(Psellos [3vol. 1, 22]; [11178]). Byzantine political the- cession existed, but they could be challenged at
ory assumed a linear relationship between the any time.
emperor and his people and realm (→ 2.1. View The emperor’s governmental power was abso-
of the state). The emperor was God’s governor lute and all-encompassing. It touched on every
on earth, and as such was appointed by God. A aspect of public and private life, although social or
bad emperor was thus no misfortune: as part of geographical distance could dull the effects of this
the divine plan, the monarch reflected God’s omnipotence. The fact that the institution of the
satisfaction or dissatisfaction. Tyranny was both emperor comprised the essential and wholly unas-
the hallmark and the outcome of a bad regime sailable foundation of the state also meant that all
or misguided ruler. Theophylact of Ohrid (late political change had to be brought about by the
11th cent.), drawing on Aristotle, proposed a list power and office of the emperor. If this proved
of forms of government in positive and negative impossible, the only other option was rebellion.
pairs: basileia (monarchical rule) and its negative However, because in practice ‘limited rebel-
counterpart, tyranny; aristocracy and oligarchy; lion’ was oxymoronic, insofar as questioning the
democracy and ochlocracy, the ‘rule of the mob’ emperor’s authority in any way was tantamount to
(ochlokratia) [4195]. high treason, a crime punishable by death, opposi-
In the 4th century and even more so in the 5th, tion generally escalated rapidly into a direct attack
the question of whether the emperor was ortho- on the emperor’s regime.
dox in his faith became increasingly important. The medieval Eastern Roman state evolved
The assumption that there was a direct causal link organically and continuously from the structures
between the orthodoxy of the monarch or people of the Roman Empire of the 5th century. Politi-
and the fate of the empire began to take hold. This cally and administratively, it was pyramidal in
link legitimized actions to safeguard or restore structure, with the divinely appointed emperor at
orthodoxy. Patriarch Nicholas I of Constanti- the pyramid’s pinnacle. Below him was the appa-
nople gave a particularly drastic reading of this ratus of the household officials of the palace and
position in a letter written to Pope Anastasius III empire, forming the core of the imperial → gov-
in 912: an emperor misled by the devil could not ernment (5.2.) and administration. From here,
be obeyed, and his orders, being the godless edicts directions were given to the further branches of
of a godless man, were to be ignored. If such an government in the provinces. In many respects,
emperor encouraged his subjects to break the law the emperor was kept isolated and remote from
of God, these infamous instructions should not his subjects: by his seclusion in his palace, by a
be followed, but they and the emperor should be rigid and highly liturgical court ceremonial and by
opposed [2no. 32]. This was a clear justification for his sacred status, which derived, on the one hand,
the overthrow of a tyrannical ruler, and a warn- from the legacy of the Roman ruler cult and, on
1.1. the idea of empire and emperor: introduction 110

the other, from the status of → Constantine I (2.2.) (Greek orthodoxía) shaped the actions of individu-
as a saint. als and groups as well as their identity. Conflicts
Until the early 7th century, the Byzantine with the papacy emboldened the Eastern Romans
emperor was called by the traditional Roman titles in regard to the history of Rome and their own
of autokrator in Greek, imperator in Latin (albeit Roman (‘Rhomaic’) identity: Constantinople, the
without its purely military connotations) or augus- Second Rome, was now the ‘True Rome’, not the
tos/augustus. The Greek basileus (originally ‘king’) seat of the pope in Italy. This ideological legacy
was introduced and combined with the older titles was passed on to the Russian Orthodox Church
in 629, and in the 650s occasionally acquired the and the Orthodox Russian state after the Ottoman
adjunct ton Rhomaion (‘of the Romans’) [3037–39, conquest of Constantinople (1453), when a distinct
111–116]; [12]. The emperor’s status was symbolically version of this political tradition (the translatio
expressed in the use of purple and gold, of impe- imperii) became established at Moscow, the Third
rial court ceremonial and of imperial insignia. Rome, in the form of the Romanov Dynasty [29];
It was disseminated and reinforced by minting [27]; [6].
imperial coins bearing his likeness and title. Imperial universalism was a key element of the
Eastern Roman political theory interpreted and political ideology of the Eastern Rome. This was
viewed the world through the imperial → court a conceptual structure that equated the civilized
(1.3.) and the strictly hierarchical system it main- world with the Roman political sphere and Roman
tained. There were two key motifs at the heart of culture. Through Christianity, itself an indepen-
this image: order (taxis) and harmony, reflecting dent, universalizing ideology dominated by exclu-
the order of the kingdom of God. Social status was sivity and intolerance towards rival belief systems,
aligned with and emerged from this hierarchical this imperialism had developed a new identity.
order. Status and power depended on proximity The Christian coloration of this new imperialism
to the court and the imperial household, which was already evident in the reign of Constantine I
meant that even the lowliest official or dignitary (324–337), when a Christianized theory of empire
enjoyed a certain, if modest, elite position. Social was formulated equating the Imperium Romanum
advancement could take place and be understood with the Christian oikoumene. This ideology was
only within this established hierarchy, so that developed in particular in the writings of Eusebius
social ambition invariably manifested itself in a of Caesarea.
quest for titles, official positions and the status The concept of the oikoumene, which trans-
symbols associated with them. lation inevitably robs of nuance, related to the
civilized realm of the orthodox Christian ‘Romans’
B. Empire and Church (Rhomaioi, i. e. Byzantines), protected by God.
The structure of ecclesiastical institutions and Over the centuries after Constantine, imperialism
the concept of philanthropy were fundamental consisting in territorial expansion was increas-
characteristics of Eastern Roman politics. These ingly expressed in the discursive form of a spiritual
were part of the ideological and socioeconomic conquest of the world, through sporadic mission-
frames of reference for Byzantine society. The ary activity, conversion and the establishment
Church stood for more than just a belief system: it of an orthodox Christian oikoumene under the
was also the owner of extensive estates, second in leadership of the emperor. Successful missionary
scale only to those of the emperor. Imperial power campaigns were conducted as early as the late
politics was closely interwoven with the politics 4th and 5th centuries, among the Goths in Europe
of the Church and its dogmatic and ideological and along the Red Sea in Asia [14]; [23].
themes (→ 7.4. Church organization and personnel Even leaving aside the definition of terms like
F.). It also had to take into consideration the fac- ‘state’ and ‘empire’, it is clear that the political
tions of the social → elites (1.4.), from which most ideology of the Eastern Roman world made use of
high-ranking imperial and ecclesiastical dignitar- established Hellenistic, Roman, Near Eastern and
ies were recruited by the 10th century at the latest. early Christian traditions. A complex package of
Political loyalty was understood within the narrow ideas and concepts became part of an imperial
confines of concepts of ‘orthodoxy’, which meant ‘political theology’, in which Christianity func-
that, as discussed above, provincial challenges to tioned not only as the official political ideology
the central power were very seldom successful. and universal symbol of the Byzantine world, but
Establishing and sustaining a unified, ortho- also as a moral and symbolic system that perme-
dox (Chalcedonian) Christendom was always a ated Eastern Roman society down to its very foun-
key concern for the emperors, and even shifting dations. By the 7th century, Christianity already
interpretations and frequent pragmatic accommo- constituted the metaphorical space within which
dations following imperial reactions to dissent did society, politics and the physical universe were
nothing to alter this. Internal doctrinal disputes understood and influenced. In this, the Chris-
were capable of shaking the very foundations tianization of the old Roman ruler cult played a
of the empire, and the quest for the ‘right faith’ key role.
111 1.1. the idea of empire and emperor: introduction

Imperial court ceremonial and the drama of ingly under the influence of the moral authority of
church → liturgy (7.2.) lent concrete form to the the Church. The emperor was not bound by law
ideas associated with them. This ideological sys- as the source of his jurisdiction, although he was
tem created the context within which the Church expected to align himself with it. His real power
and state existed. It provided the framework and derived from the strength of the imperial armies
the foundation of the imperial concepts of the and the efficiency of the fiscal authorities in col-
earthly political order, and it furnishes the key lecting taxes.
contexts for understanding Byzantine behav- The → Church (7.) was one of the most pow-
iours, whether on the level of imperial politics or erful ideological and economic institutions of the
of individual conviction and personal reaction. It Late Antique and Byzantine world. The theology
also influenced the conduct of politics on all lev- espoused in Christianity claimed universal valid-
els from the local to the international. Despite the ity for a system based on the belief in a messi-
many successful and unsuccessful coups and usur- anic redeemer, which over the first four centuries
pations, the strength of these concepts of empire, of its existence had constructed a sophisticated
orthodoxy and the divine mission of Byzantine and highly complex theological arsenal. Practi-
rule endured, ensuring that there were no sepa- cally speaking, Christianity embraced a plethora
ratist or centrifugal tendencies in the Byzantine of possible ways of interpreting the world. It was
Empire until after the Fourth Crusade (1203/04), informed by the conceptual models of the cultural
which caused both territorial losses in the west traditions in which it had developed, on which
and the fragmentation of the empire [15]; [5]; [34]; it had been imposed or become superimposed.
[7245–260]; [8]; [16vol. 2, 614 f., 652 f.]. Through their official doctrines and theology,
the clergy and educated classes portrayed Byzan-
C. Roman law tine Christianity as the sole correct form of belief
One crucial medium for the functioning of the (‘orthodoxy’), but its first centuries were domi-
Roman state and its Eastern Roman successor was nated by a succession of dramatic intellectual and
Roman law, which was interpreted, casuistically political conflicts over contentious religious issues
applied and managed (with regional variations) [34]; [15]; [22]; [16].
from a Christian perspective (→ 4. Legislation
and legal practice). Although sometimes diluted D. Empire and patriarchate
by local customs and traditions that stubbornly The Patriarchate of Constantinople was one
clung on, particularly in regard to issues of kin- of five ecclesiastical centres, each with its own
ship or inheritance or the punishment of par- administrative zone within the territory of the
ticular crimes, Roman law was deeply rooted in Roman Empire (→ 7.4. Church organization and
Byzantine society [33]. Even if in some parts of the personnel A.). The other four patriarchates were
empire it was applied and enforced only sporadi- Rome, Jerusalem, Antioch and Alexandria. Con-
cally, it was the instrument by which the imperial stantinople was the last of the five to be accorded
authorities administered justice. It thus reinforced this exalted ecumenical status, at the synod con-
‘Roman’ identity while also constructing a gener- vened in the city in 381. The council of the same
ally accepted edifice of socially effective norms, year declared that Constantinople was second in
not least in the sphere of property and inheritance authority only to Rome. This claim, which Rome
[25]; [19]; [20]. Its existence reflects and symbol- never recognized, was not formally included in
izes the remarkable scope of the infrastructure of the title of the patriarch until the late 9th century.
the Eastern Roman state, which extended even to Each of the five patriarchal sees could look back on
the lowliest strata of society. an apostolic history, and the resulting claims and
Roman law had an impact on families, the counterclaims played an important role in argu-
rights of the head of a household, the distribution ments over precedence and privileges throughout
of movable and immovable property, the rights of the history of the relations between them. In the
children of both genders, the rights and obliga- case of Constantinople, the evidence for such a
tions of spouses, kinship by marriage and parents history was so weak that its apostolic tradition was
[24]. Together with the state financial authori- believed by many to be pure invention.
ties, whose interventions likewise reached deep The status of the Patriarchate of Constanti-
into the fabric of medieval Eastern Roman society nople was enhanced by the city’s status as an
(→ 1.5. Public finances and taxation), the Byzantine imperial capital (and, after 476, the only one).
variant of Roman law gave the state a solid foot- The Roman see, however, never acknowledge the
ing in society. Even after the fall of the empire in equal status of Constantinople. Whereas the patri-
the 15th century, Roman law continued to influ- archate of the eastern capital began slowly but
ence the provincial administration of the Ottoman surely to evolve into a kind of ‘Imperial’ Church by
state. In both its practical application and its inter- virtue of its environment, Rome after the 5th cen-
pretation, however, Roman law in the Byzantine tury remained largely untouched by the emper-
Empire began in the 7th century to come increas- ors’ direct influence, although they occasionally
1.1. the idea of empire and emperor: introduction 112

exerted colossal pressure until the mid-7th cen- was the fount of the law, the emperor chosen by
tury (e.g. Justinian in the 550s on Pope Vigilius, God was the fount of earthly legislation. This posi-
and Constans II on Pope Martin in the 650s). tion, which limited the purview of the priesthood
The Patriarchate of Rome, i.e. the papacy, conse- to ‘divine matters’, would lead to major differences
quently emerged as an independent authority, and of opinion [14198–216]; [17]; [32].
conflicts within the Byzantine Church therefore Imperial court ceremonial became increas-
could be referred to Rome. Not only did this esca- ingly ‘liturgical’ in the late 6th and 7th centuries,
late tensions between Rome and Constantinople, emphasizing the common identity of the secular
it also exacerbated the conflicts in the Eastern and ecclesiastical spheres. As part of this develop-
Roman Empire between the various church fac- ment, Phocas in 602 was the first emperor to be
tions and between the secular authorities and the crowned in a ceremony directed by the Church
clerics concerned [21]; [26]; [22]; [18]. (→ 1.2. The concept of the emperor B.2.3.), after
One key characteristic of the Eastern Roman which all imperial coronations took place in
Church was its close political and ideological rela- churches. This marked a radical break with the
tionship with the secular power represented by traditional, highly militaristic ceremonial, largely
the emperor. The Christian imperial ideological predating the Christian period, whereby which
system that had developed in the 4th century had emperors had been elevated by acclamation. By
its roots in Hellenistic Roman political concepts the 7th century, what had begun as the Church in
and Christian theology, an indissoluble associa- the Roman Empire had become the Eastern Roman
tion that imposed limits on the actions of emperor Imperial Church, and it became so even more
and patriarch alike, while also legitimating them. emphatically after the Arab conquest. Although
In its most abstract form, the system was under- it was fully integrated in the state apparatus and
stood as a relationship of reciprocal dependence. the state’s political ideology, it also maintained an
It was the emperor’s duty to defend the orthodox ambivalent attitude towards the emperor’s right to
faith and to protect the interests of the Church intervene in doctrinal matters [34]; [14]; [21].
with deference to and respect for the priesthood. The tensions inherent in this relationship came
That priesthood, meanwhile, was responsible for to the fore when an emperor directly intervened in
the spiritual needs of its charges. issues of theology or ecclesiastical law. Although
Statements from the 6th century (e.g. Justinian, some emperors were themselves exceedingly eru-
Nov. 6, praef. [135 f.]; Nov. 109, epilogue [1519 f.]) attest dite theologians, they still represented a special
to the conviction that the wellbeing of the state interest that was not always, in the view of leading
was only guaranteed if the traditions of the ortho- clerics, congruent with the interests of the Church.
dox faith, as handed down by the Apostles and Conflicts of this kind between the emperor and
the Church Fathers, were practised and passed the Church were frequent from the outset. Exam-
on in a conscientious way. This utopian concept ples include the quarrel in the 720s between Patri-
of harmony and order, towards which the earthly arch Germanos I and Leo III on issues related
kingdom should strive in its imitation of heaven, to iconoclasm (but probably also on matters of
was reflected in religious and secular politics and ecclesiastical jurisdiction; → 7.1. Doctrinal history
in the emperor’s dealings with the Church. It C.); the argument between Patriarch Tarasios and
was particularly conspicuous in the convening of Constantine VI over the latter’s second marriage
councils and in the incorporation of its fundamen- in the 790s, and the similar row between Leo VI
tal principles in imperial → legislation (4.3.) [16]; and Patriarch Nicholas in the early 10th century.
[22297–310]; [13]. Other notable confrontations include the quar-
rels between the various emperors and churchmen
E. Ecclesiastical policy and the who supported the hostile factions of Patriarchs
Imperial Church Ignatios and Photios in the mid-9th century; the
The emperors had involved themselves in tensions between Emperor Isaac I and Patriarch
ecclesiastical policy and theological matters since Michael Keroularios over church assets and tax
Constantine I (313–331). By the reign of → Justin- exemptions for monasteries in the 1050s, and the
ian (2.3.) in the 6th century, long traditions meant controversies between the supporters and oppo-
that the secular ruler, the state and the Church nents of the contemplative Hesychast movement
had grown together into a complex and inextri- in the 14th and 15th centuries and the related dis-
cable whole. In 535, Justinian issued an edict (a putes over the union of the Western and Eastern
novella) that summed up this development. It Churches (→ 7.1. Doctrinal history D.). Depending
describes the two great blessings of humankind: on the characters of those involved, their respec-
the priest and the emperor, both of whose origins tive power bases and other specific factors, the
derive from the same divine source. Because God emperor sometimes prevailed in these quarrels,
113 1.1. the idea of empire and emperor: introduction

but equally often the Church in the person of the sungsgeschichte (Sitzungsberichte der Bayerischen
patriarch won the upper hand [1440 ff., 198–240]; [229– Akademie der Wissenschaften, Philosophische-Histo-
183]; [26]. rische Klasse, 1966/6), 1966 (reprinted in: H.-G. Beck,
Part of the reason why relations between Ideen und Realitäten in Byzanz, 1972, no. 12 and in
H. Hunger (ed.), Das byzantinische Herrscherbild,
Church and state were in constant flux was the 1975, 353–378) [10] H.-G. Beck, Das byzantinische
fact that their respective territories changed over Jahrtausend, 1978 [11] J.-C. Cheynet, Pouvoir et
the centuries. Until the mid-7th century, the five contestations à Byzance (963–1210), 1990 [12] E.
patriarchates together ruled over the entire Ortho- Chrysos, The Title basileus in Early Byzantine Inter-
dox world (even taking into account the existence national Relations, in: DOP 32, 1978, 29–75 [13] E.
of various regional opposition movements like Chrysos, The Roman Political Identity in Late Antiq-
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antin du VIIe au milieu du XIe siècle, in: G. Dagron
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the Bulgars) to spread into the central and west- G. Dagron, Emperor and Priest. The Imperial
ern → Balkans (15.3.), and northward in the late Office in Byzantium, 2003 [16] F. Dvornik, Early
10th century with the conversion of the Rus’. The Christian and Byzantine Political Philosophy, 2 vols.,
Patriarchate of Constantinople did not, of course, 1966 [17] W. Enslin, Gottkaiser und Kaiser von
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Hunger (ed.), Das byzantinische Herrscherbild, 1975,
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Empire, the idea of an empire established by God rin, The Formation of Christendom, 1987 [22] J. M.
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1.2. the concept of the emperor 114

1.2. The concept of the emperor the high priest, as he had been at Rome (as pon-
tifex maximus), he still stood at least alongside,
A. The status of the emperor and his associated or even above, the clerical leaders of the Church.
image This was apparent, for instance, in the fact that
B. The representation of the emperor in he convened church councils, chaired them and
ceremonial gave their edicts the necessary legal force by sign-
C. Theory and reality ing them (→ 2.1. View of the state B.2.). He was no
ordinary laymen: his coronation as emperor had
A. The status of the emperor and his given him a new status ([2vol. 3, 44]; cf. [13no. 794]).
associated image Over time, the Byzantine Church was able to
The unique feature of the Byzantine imperial tame the influence of the emperor, but it was
monarchy that distinguished it from all other never able to extinguish it [33]. This was prob-
medieval monarchies was that it was not specifi- ably the most fundamental difference between
cally ‘Byzantine’ at all. Nor was it a continuation of Byzantium and the other Christian monarchies of
the Roman imperial monarchy: it was the Roman the period, not the fact that the emperor united
imperial monarchy. Naturally, some aspects the secular trias politica (executive, legislature,
changed over time, but the essence remained judiciary) in his own person, which was also true
unaltered (cf. e.g. [21]). The coexistence of dif- (albeit to varying degrees) of other medieval mon-
ferent and sometimes even contradictory aspects archies (cf. generally on the Byzantine concept of
within the institution of the emperor is a phenom- the emperor: [22]; [16]; [17]; [26]; [34]).
enon unique not to the Byzantine imperial monar-
chy, but to the Roman imperial monarchy. B. The representation of the
As is well known, the roots of the Roman impe- emperor in ceremonial
rial monarchy lay in the traditions of the Roman
Republic, but it had also absorbed Hellenistic B.1. Introduction
and Near Eastern (‘Oriental’) elements. The con- B.2. Coronation ceremonial
cept of monarchy as electoral was Republican, B.3. Deposing an emperor
and although this no longer had any real political B.4. The emperor in the limelight of ceremonial
meaning in the Imperial period, it remained vis-
ible in the ruler’s public presence and hence also B.1. Introduction
in ceremonial, especially during the installation The emperor’s exalted status demanded appro-
of a new emperor. The divinization of the ruler, priate presentation, both to his own → subjects
on the other hand, was Hellenistic and ‘Oriental’ (1.4.) and to other peoples and states not under
in origin. This element too was already present in his direct rule. The possibilities were many and
the early days of the Principate, for the princeps varied. The emperor’s image appeared on coins
ruled less by virtue of his official authority than and seals (→ 1.1. The idea of empire and emperor
by virtue of his personal charisma, his auctoritas. A.). Statues were put up in the provinces, e.g. the
It was inevitable, in consequence, that he was seen statue of Phokas in the Forum Romanum, the col-
as possessing certain qualities that elevated him umn of which survives. The statues of Constantine
above ordinary people. The senate deified Julius I and Justinian I in Constantinople were famous.
Caesar soon after his assassination, and Augustus There were also depictions in paintings and
and his successors were likewise posthumously mosaics (→ 11.3. Art A.). Probably the best-known
deified (Latin divi, singular divus). Later, even the is the mosaic of the imperial couple Justinian and
living emperor was deified, which was unproblem- Theodora in the Church of San Vitale in Ravenna.
atic insofar as there were many gods and worship- Mention must also be made of the emperor por-
ping the ruler did not prevent also serving other traits in Hagia Sophia, of which sadly only a few
deities (e.g. [14]). have survived. Portrayals of the emperor, whether
→ Constantine I (2.2.; 324–337), who added full-length or bust, were commonplace in small-
Christianity to the established religions of the format art (→ 11.3. Art C.) and, of course, in book
Roman Empire, certainly continued to allow non- illumination. Literary celebrations also circu-
Christians to worship him as a god or a divine lated, either indirectly in the context of general
incarnation, or at least did nothing to prevent it narratives, or directly in encomia, intercession-
[24]; [20]; [36]. This was no longer possible for his ary prayers for the emperor and the like (→ 12.2.
successors, but a solution was found: the emperor Literature). There must also have been musical
was now said to possess a special aura as the elect works, such as hymns and chorales, that glorified
of God that elevated him above all others in just the emperor (see below, B.4.1.; cf. → 14.11. Ensem-
the same way [19]. This allowed the traditional bles C.).
idea of the emperor to be preserved. Although Such productions were sometimes sponsored
after the 4th century the emperor was no longer or instigated by the court, and sometimes spon-
115 1.2. the concept of the emperor

taneous, for instance when authors hoped to win asked him to name his grandson emperor (basi-
the emperor’s favour, e.g. Corippus’ great panegy- leus). The emperor acceded to their demands and
ric to Justin II in the 6th century [3]. Examples of had Leo II summoned. The patriarch said a prayer,
such works are legion. to which all responded with amen, and Leo I
The most important instrument in this con- placed the crown on his grandson’s head. The
text, however, was the ceremonial in which the patriarch departed, and the new emperor greeted
emperor moved and that represented him. The the people, who replied by acclaiming him in
ceremonial provided the framework within which turn. As was customary, the eparch of the city and
the emperor appeared to his subjects and simulta- the senate presented him with a golden modiolos
neously shaped the image of the emperor for those (crown). The soldiers also received the traditional
subjects. Conversely, however, it also required five nomismata and a pound of silver each (Const.
an emperor to behave in a certain way in order Porph. De cerem. 1,94 [4431 f.]; cf. [2810 f.]).
to prove himself worthy of this official imperial The central figure here was the emperor as
image. This ceremonial will therefore serve as the he crowned his successor. The patriarch played
centrepiece of discussions of the representation of only a peripheral role. Importantly, though, the
the emperor [30]; [31]; [32]; [35]. emperor did not perform the coronation on his
own initiative: ordinarily, the constituents (i.e. the
B.2. Coronation ceremonial senate, people and army) formally requested Leo
to crown his grandson. It is unclear why there is
B.2.1. Conditions no mention of the senate in this case. Generally,
B.2.2. Coronation by one’s predecessor the senate was one of the constituents, and it was
B.2.3. Coronation by the constituents almost never omitted. These exhortations by the
B.2.4. Coronation as the will of God constituents suggest a consensus omnium that, on
the one hand, was intended to reflect God’s will,
B.2.1. Conditions but, on the other, also faintly echoed the elections
Every reign began with a coronation, which of the Roman Republican period. This universal
naturally was the focus of much attention. Dis- consensus expressed in the acclamations during
regarding peripheral issues, there were two basic the coronation was an essential legitimizing fac-
forms of coronation depending on the circum- tor of the ceremony. Although the constituents’
stances. If the succession was regular (i.e. gener- role sometimes slightly varied, it was almost never
ally dynastic), the new emperor was crowned by omitted. The key figure nonetheless remained the
his predecessor. If there was no predecessor avail- emperor himself, who ‘made’ his successor, as can
able, the role of the coronator in the ceremony was be read in the account of the coronation of Justin-
taken over by the constituents and the patriarch. ian by his predecessor Justin I in 527: ‘Justin made
our most Godfearing Justinian emperor’ (Const.
B.2.2. Coronation by one’s predecessor Porph. De cerem. 1,95 [4432 f.]).
There are plentiful examples of both types, and
one of each will be described here. In 474, Leo I B.2.3. Coronation by the constituents
crowned his grandson Leo II co-emperor. The The case of Phokas, who revolted against
book of ceremonial protocol known as De ceremo- Maurice in 602 and marched on Constantinople,
niis, a 10th-century source that includes a collec- exemplifies the process whereby a coronation
tion of descriptions of ceremonies at the imperial was conducted without an emperor as coronator.
court, reports this coronation as follows: Leo I was Maurice tried to flee but was taken captive. When
gravely ill and his death was anticipated soon. In Phokas and his army arrived at Rhegium, near the
the circumstances, he was asked to nominate his capital, emissaries of the green circus faction (the
grandson Leo as emperor. Although Leo already demos) that was opposed to Maurice hurried there,
held the title of Caesar by this point, he was still acclaimed Phokas as emperor and convinced him
a child. The coronation took place in the Hippo- to go to the Hebdomon, the great army training
drome of Constantinople on November 18, 474, grounds outside the walls of Constantinople. Once
before a gathering of the people and representa- there, Phokas sent a representative into the city
tives from abroad. Troops were also present with to call the patriarch and senate to the Hebdomon.
their standards. In public chants, the people and Phokas began by offering the crown to Ger-
the soldiers now demanded the emperor’s pres- manos, a relative of Maurice’s by marriage who
ence. Leo I duly made his appearance in the Hip- was widely popular. Germanos refused it, and
podrome accompanied by senators. Leo II, for the when the circus factions (both Greens and Blues
time being, remained in the palace with Patriarch together) acclaimed Phokas, he accepted the
Acacius. throne. He was raised on the soldiers’ shields
The people (demos) and soldiers now before being crowned in the Church of St. John
acclaimed Leo I as their ruler, and repeatedly the Baptist by Patriarch Kyriakos (Chron. pasch.
1.2. the concept of the emperor 116

[1693, ll. 16–19]). Phokas made a ceremonial entrance for example, was abandoned, only to be revived
into the city on an ‘imperial chariot’, probably on centuries later. What was important was not that
the third day (according to Theophanes, whereas every individual aspect of the ceremony was slav-
Theophylact makes it the fourth) after the corona- ishly observed, but rather that the overall charac-
tion, and distributed valuable gifts to the soldiers ter of the ceremony gave the impression that the
before being acclaimed once more by the circus new emperor ascended the throne in a legitimat-
factions (Theophylact, Historiae 8,10; Theophan. ing ceremony and hence ruled legitimately as well
[10vol. 1, 289] with slight discrepancies, but not (on coronation ceremonial: [25]).
affecting the central narrative). A trace of hostil-
ity towards the circus factions can be detected in B.3. Deposing an emperor
this account, arising from the political situation Crowning an emperor was the enactment of
after Herakleios’ overthrow of Phokas in 610 and divine will, as the coronation ceremony made
influenced by Herakleios’ propaganda. Even so, clear. Removing an emperor therefore had to be
the formalities of the ceremonial are straightfor- presented as equally legitimate. Such ceremonies
wardly apparent in the narrative. were rarer events, because when an emperor was
The candidate did not himself declare an inter- overthrown, he was usually killed or else abdi-
est in becoming emperor, but was exhorted to take cated in good time and retired to a monastery,
the throne by the constituents. It is significant that which rendered him automatically unfit to rule.
Phokas even began by offering the crown to Ger- One example of the form by which an emperor
manos, a member of the hitherto ruling dynasty. was deposed comes from the overthrow of
Since the deposed emperor naturally was unavail- Justinian II in 695. The patriarch intoned the
able to perform the coronation, this was done psalm, ‘This is the day which the Lord hath
by the patriarch, essentially as his deputy and made’ (Ps 118,24). The people shouted, ‘Scatter
symbolizing the will of God. Phokas introduced the bones of Justinian!’ (Theoph. [10vol. 1, 369]; see
no other innovations to the formalities, with the also Nikephoros [738, 42]; [8chapter 40, 96, ll. 28–30]). The
exception that the coronation now took place in nose of the deposed emperor was removed, dis-
a church. In other respects, his ceremonial closely qualifying him from office, and he was banished
resembled that of the coronation of Leo I in 457, [12I/2, 430–434, #3556].
another occasion on which the new emperor was How lawful such a deposition was is another
not crowned by his predecessor (cf. [27]). question entirely. Justinian II certainly never
viewed his own deposition as legal. When he
B.2.4. Coronation as the will of God reclaimed the throne ten years later, he neither
If we consider both forms together, it is evident had himself crowned again, nor did he hold an
that the main purpose of the ceremonial was to official ceremony in the Hippodrome to depose
demonstrate that the new emperor was not striv- the two emperors who had reigned in the interim
ing for office on his own initiative, but rather was (Leontios and Tiberios III). He simply treated
acceding to the public will, supported by a general them as traitors who had interrupted his right-
consensus. The common good demanded his coro- ful rule. The people participated here too, singing
nation, as indeed was literally stated in the accla- songs in praise of Justinian and heaping abuse on
mations recorded, for instance, in the description the two deposed emperors cast in chains at Justin-
of the coronation of Leo I in 457: ‘the good of the ian’s feet. Justinian put his feet on their necks until
people demands Leo …; the general order awaits the end of the first chariot race, while the people
Leo …; the common good, Leo, come; the com- shouted, ‘Thou hast trodden on the viper and the
mon good, Leo, shall reign’ etc. (Const. Porph. De dragon; the lion and the serpent has thou tram-
cerem. 1,91 [4410–417]). pled under foot!’ (cf. Ps 91,13). He then had both
To summarize: the new emperor was appointed men beheaded (Theoph. [10vol. 1, 375]; Nikephoros
by God, whose will was expressed in his ‘election’ [742]).
by the constituents, just as Justin I described it in These calls by the people emphasize the sacred
his address after his coronation in 518: ‘We have character of the ceremonial. The viper and ser-
ascended the throne by the decision of Almighty pent, lion and dragon were symbols of the devil;
God [and] your common choice’ (Const. Porph. Justinian as the rightful emperor annihilated the
De cerem. 1,93 [4429, Z. 18–21]; cf. also [15]; [2817 f.]). It devil, or, more accurately, the two evildoers who
is clear from the sources that this was not an elec- had done the devil’s work in usurping his throne.
tion involving real alternatives, but a formalized Christianity reserved such a victory for the Arch-
act of assent. angel Michael or the Virgin Mary, whom the
This was the fundamental task of the coro- emperor was thus emulating. Aside from these
nation ceremony. The details could differ. For quasi-religious connotations, however, the theat-
instance, the ceremony was more martial in char- rical dimension of the ceremonial is unmistakable
acter in the early phase. The raising on shields, [30338 f.].
117 1.2. the concept of the emperor

B.4. The emperor in the limelight of take part in ceremonial even though they did not
ceremonial participate in the actual business of government.
So too was the empress. Leo VI made his daughter
B.4.1. Ceremonial in the emperor’s daily life Anna Augusta around 900 with the explanation
B.4.2. Members of the imperial family that an empress was needed for court ceremo-
B.4.3. The emperor en route nies [12II/1, 252–254, #20430]. He could, of course, have
resorted to the wife of his brother and co-emperor
B.4.1. Ceremonial in the emperor’s Alexander, but this option was apparently not
daily life considered [12II/1, 145 f., #20228A].
The coronation of an emperor was certainly a Ceremonial was unfurled in its fully glory for
ceremonial highlight, but the ruler was constantly the official reception of foreign guests or emissar-
living a ceremonial life. It became particularly ies. The streets through which the Norwegian king
intense at major holidays like Easter, when he had Sigurd Jórsalafari processed when entering the city
to wash the feet of twelve poor persons on Holy in 1110 were hung with flags and silk streamers
Thursday while the patriarch recited the story of (sources in [18259–263]; [2668 f.]). Reports of a recep-
Christ’s foot-washing from the New Testament tion for Arab emissaries in 946 describe public ser-
(Pseudo-Kodinos, De officiis 4 [9228 f.]). Appearances vants donning their Sunday best and candlesticks
of the emperor and his family at Christmas were and other paraphernalia being brought from the
highly theatrical in design. They waited behind a churches to decorate the palace. Costly gifts were
curtain while spectators were prepared for their presented, such as bowls of pearls, precious stones
unveiling. Eventually, the vestiarios (here meaning or coins (Const. Porph. De cerem. 2,15 [4570–592]; cf.
the official responsible for the imperial wardrobe, [2313–34]).
from the Latin vestis, ‘garment’) drew silk ribbons Liutprand of Cremona, who spent time at Con-
in front of the curtain to show that the emperor stantinople as emissary of King Berengar in 952,
was ready. He then appeared on the rostrum vis- left a famous record of his audience with Con-
ible from the knees up. In his right hand, he held stantine VII. The audience hall was splendidly
the cross, and in his left a bag of earth as a symbol decorated, with golden lion statues standing –
of transience. His relatives were visible from the and roaring – in front of the throne, while golden
chest up. The vestiarios now showed the silk rib- birds sat singing in a golden tree. When Liutprand
bons a second time, and the curtain opened. looked up again after prostrating himself before
Only the emperor was fully visible at first, as the emperor, emperor and throne had floated
the singers began singing the imperial anthem and up into the air (→ 10.19. Mechanics and appara-
the various instruments joined in. The emperor tuses C.). The emperor, moreover, did not speak.
then waved a cloth to order silence. More hymns His words were instead conveyed by a speaker
followed, concluding with the Christmas hymn, (Liutprand, Antapodosis 6,5 [6154, ll. 5–155, l. 15]).
‘Christ, who crowned Thee emperor, is born’. More
verses were sung and then the hymn was repeated. B.4.3. The emperor en route
The emperor and empress were acclaimed, the Things became complicated when the emperor
imperial hymn was sung again, and the curtains was not at Constantinople, for example when
closed as it died away (Const. Porph. De cerem. he went on a campaign. Maurice, for instance,
1,23 [4128–136]; cf. [30330 f.]). The impression is of focus embarked on an expedition against the Avars in
not on the birth of Christ, but on the emperor: 592, despite the vigorous opposition of the senate,
Christ’s supreme achievement here is crowning empress and patriarch. However, he soon had to
the emperor or appointing him to rule. leave his army behind and return to the capital,
Even on ordinary days, the emperor’s routine because ambassadors had arrived and he was
was dictated by a wealth of ceremonies, leaving us needed to receive them [115,16]. Later, emissaries
to wonder how he also had time to deal with the were sent in pursuit of an absent emperor, or, of
political business of the hour. course, a deputy could be used to carry out the
necessary ceremonial. In 878, when Basil I was
B.4.2. Members of the imperial family campaigning in the east of the empire, he left three
Other family members, and especially co- functionaries in the capital to share the business
emperors, were also expected to take part in cer- of state as his surrogates. One was the praipositos
emonial. When Leo VI was attacked by a would-be and sakellarios Baanes Anguris, who represented
assassin while processing to the Church of St. the emperor physically, i.e. took his place in vari-
Mocius in 902, some immediately alleged that ous ceremonies [12II/1, 438 f., #20716].
his brother and co-emperor Alexander had been Even on campaign, the emperor had to live in
involved, because he had not taken part in the a manner befitting his status. The Book of Ceremo-
procession [12II/1, 138–146 with note 8, #20228]. As this shows, nies records that 1,100 pack animals were used for
members of the imperial family were expected to the imperial household and senior functionaries
1.2. the concept of the emperor 118

alone. Wherever he went in his realm, the emperor In practice, it was far more important for the
took two ceremonial tents with him, one to be new emperor to win the support of the military,
sent on ahead to ensure his suitable comfort the central government administration and the
on arrival, the other to be dismantled only after populace of the capital. This was the only way of
he had departed [5text 3, 94–151]. Everywhere, the guaranteeing a relatively secure reign. Although
emperor expected treatment appropriate to his the image of the emperor and the ceremonial
rank. Naturally, there was also a price to be paid: representation that underpinned it stabilized the
he was always expected to make a corresponding imperial institution in the public mind, they did
effort himself, remaining ever aware of the dignity little or nothing to guarantee the security or effi-
of his position and presenting himself appropri- cacy of an individual emperor’s rule.
ately as emperor. If he did not, he could expect
severe censure, potentially jeopardizing his rule Bibliography
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C. Theory and reality [2] Σύνταγμα τῶν θεῖων καὶ ἱερῶν κανόνων τῶν τε
The task of ceremonial was to highlight the ἁγίων καὶ πανευφήμων ἀποστόλων, καὶ τῶν ἱερῶν
unique status of the emperor, presenting him οἰκουμενικῶν καὶ τοπικῶν συνόδων, καὶ τῶν κατὰ μέρος
as someone elevated far above ordinary people ἁγίων πατέρων, 6 vols., edited by G. A. Rhalles und M.
and ‘after God the second […] and lesser only Potles, 1852–1859 (reprinted 1992) [3] F. C. Corip-
in relation to God’ (Tert., Ad Scapulam 2). Fail- pus, In laudem Iustini Augusti minoris libri IV, edited
ing to obey him, let alone fighting him, was not by A. Cameron, 1976 [4] Constantine Porphy-
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duo, 2 vols., edited by J. J. Reiske, 1829–1830 [5]
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must be noted that it was the institution that was Becker, 31915 [7] Nikephoros of Constantino-
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individual. Although according to this definition 1–77 [8] Nikephoros of Constantinople,
an attempted usurpation would constitute an act Short History (CFHB 23, Series Washingtonensis =
DOT 10), edited by C. Mango, 1990 [9] Pseudo-
of blasphemy, only failure confirmed it as such.
Kodinos, Traité des Offices (Le Monde Byzantin 1),
If it succeeded and the usurper became the new edited by Jean Verpeaux, 1966 [10] Theophanes
emperor, the usurpation must have reflected the Confessor, Chronographia, 2 vols., edited by C. de
will of God. In effect, the sole yardstick in prac- Boor, 1883–1885 (in English: The Chronicle of Theo-
tice was success or failure, and the image of the phanes Confessor. Byzantine and Near Eastern His-
emperor propagated in ceremonial was incidental tory AD 284–813, edited by C. Mango and R. Scott with
to this. G. Greatrex, 1997) [11] Theophylakt Simokatta,
History proves the point. Of the 94 or so Byz- Historiae, edited by C. de Boor, 1887 (new edition by
antine emperors (the exact number depends on P. Wirth, 1972; in German: Theophylaktos Simokattes,
how one defines a reign), 36 were overthrown Geschichte (Bibliothek der griechischen Literatur 20),
translated by P. Schreiner, 1985).
and five lost power in combat against foreign
forces. Some 37 emperors came to the throne by
Secondary literature
way of usurpation, 31 by dynastic succession and [12] PmbZ [13] Les regestes des actes du patriarcat
26 by other, bloodless (i.e. legal) routes. Statisti- de Constantinople, vol. 1: Les actes des patriarches,
cally, the average duration of an emperor’s reign fasc. 2–3: Les regestes de 715 à 1206 (Le Patriarcat
was twelve years. The most dangerous years were byzantin, série 1), edited by V. Grumel, new edi-
the first, and it was in this period that statistics tion by J. Darrouzès, 21989 [14] A. Alföldi, Die
reveal most overthrows occurred. If an emperor Ausgestaltung des monarchischen Zeremoniells am
survived his first two years intact, he could hope römischen Kaiserhof, in: Mitteilungen des Deutschen
for a longer reign [29]. It follows that the image of Archäologischen Instituts, Römische Abteilung 49,
the emperor and the propaganda associated with 1934, 3–118 [15] M. V. Anastos, Vox Populi Volun-
tas Dei and the Election of the Byzantine Emperor,
it had no great influence. If the coronation itself
in: J. Neusner (ed.), Christianity, Judaism and other
had really made the emperor untouchable, there Greco-Roman Cults. Festschrift M. Smith, vol. 2,
should have been no such problems, and espe- 1975, 181–207 (reprinted in: M. V. Anastos, Studies in
cially not in the early stages of a reign, when the Byzantine Intellectual History, 1979, no. III) [16]
coronation ceremonial would still be fresh in the G. Dagron, Nés dans le pourpre, in: TM 12, 1994,
memories of all concerned. 105–142 [17] G. Dagron, Empereur et prêtre.
119 1.3. the byzantine court: emperors, empresses, eunuchs and court culture

Étude sur le ‘césaropapisme’ byzantin, 1996 [18] 1.3. The Byzantine court: emperors, empresses,
H. R. E. Davidson, The Viking Road to Byzantium, eunuchs and court culture
1976 [19] W. Enslin, Gottkaiser und Kaiser von
Gottes Gnaden (Sitzungsberichte der Bayerischen A. Introduction and survey of research
Akademie der Wissenschaften, Philosophische-His-
B. Cities and palaces
torische Abteilung 1943/66), 1943 (reprinted in: H.
Hunger (ed.), Das byzantinische Herrscherbild, 1975, C. Books of ceremonies
54–85) [20] K. M. Girardet, Der Kaiser und sein D. Narrative accounts
Gott. Das Christentum im Denken und in der Reli- E. Court eunuchs
gionspolitik Konstantins des Großen, 2010 [21] M. F. Empresses
Grünbart, Die Fortdauer Roms im byzantinischen G. Imperial administration: education and rhetoric
Kaisertum des frühen Mittelalters, in: H. Leppin H. Roman identity: The emperor and the imperial
et al. (eds.), Kaisertum im ersten Jahrtausend. Wis- court
senschaftlicher Begleitband zur Landesausstellung
‘Otto der Große und das Römische Reich. Kaisertum
A. Introduction and survey of
von der Antike zum Mittelalter’, 2012, 191–210 [22]
H. Hunger (ed.), Das byzantinische Herrscherbild research
(Wege der Forschung 341), 1975 [23] O. Kresten, It is unanimously agreed that the Byzantines
‘Staatsempfänge’ im Kaiserpalast von Konstantinopel had no theoretical concept of the ‘court’. This
um die Mitte des 10. Jahrhunderts. Beobachtungen discussion will use the modern definition, which
zu Kapitel II 15 des sogenannten ‘Zeremonienbu- makes the court simply the place where the ruler
ches’ (Österreichische Akademie der Wissenschaften, resides. It follows from this that attention must
Philosophische-Historische Klasse, Sitzungsberichte first be paid to the nature of the court under the
670), 2000 [24] R. Leeb, Konstantin und Christus. Tetrarchy, rather than to where the capital was
Die Verchristlichung der imperialen Repräsentation [28]; [152 f.]. Only then can attention be turned to
unter Konstantin dem Großen als Spiegel seiner
Kirchenpolitik und seines Selbstverständnisses als
the rise of Constantine I to the status of a monar-
christlicher Kaiser, 1992 [25] R.-J. Lilie, Krönung, chical Augustus and the evolution of → Constan-
in: RBK 5, 1991, 439–454 [26] R.-J. Lilie, Byz- tinople (8.10.) into a, and ultimately the, centre of
anz. Kaiser und Reich, 1994 [27] R.-J. Lilie, Die the empire. The nature of the imperial monarchy
Krönungsprotokolle des Zeremonienbuchs und die must also be taken into consideration. After the
Krönung Kaiser Leons I., in: C.-F. Collatz (ed.), Dis- death of Theodosius I (395), the imperial govern-
sertatiunculae criticae. Festschrift G. C. Hansen, 1998, ment resided permanently in this urban centre,
395–408 [28] R.-J. Lilie, Byzanz und die Kreuzzüge even though emperors were constantly away on
(Urban Taschenbücher 595), 2004 [29] R.-J. Lilie, military campaigns ([9]; [34]; general account and
Der Kaiser in der Statistik. Subversive Gedanken zur
analysis in [7]).
angeblichen Allmacht der byzantinischen Kaiser, in:
C. Stavrakos et al. (eds.), Hypermachos. Festschrift A number of texts have become particularly
W. Seibt, 2008, 211–234 [30] R.-J. Lilie, Herrschafts- vital to the work of constructing (or reconstruct-
repräsentation im byzantinischen Kaisertum, in: H. ing) the Byzantine imperial court, notably the
Leppin et al. (eds.), Kaisertum im ersten Jahrtausend. Book of Ceremonies (De ceremoniis) from the reign
Wissenschaftlicher Begleitband zur Landesausstel- of Constantine VII Porphyrogennetos (913–959)
lung ‘Otto der Große und das Römische Reich. and the 14th-century treatise De officiis (Book of
Kaisertum von der Antike zum Mittelalter’, 2012, 321– Offices) by Pseudo-Kodinos. These texts constitute
336 [31] S. MacCormack, Art and Ceremony in the basis for the belief that the Byzantine court
Late Antiquity, 1981 [32] M. McCormick, Analyz- was obsessed with ceremonial and status. They
ing Imperial Ceremonies, in: JÖB 35, 1985, 1–20 [33]
A. Michel, Die Kaisermacht in der Ostkirche, 1959
stand in need of interpretation and their value
(partially reprinted: H. Hunger (ed.), Das byzan- is sometimes overstated. Other texts that shed
tinische Herrscherbild (Wege der Forschung 341), light on different aspects deserve attention too
1975, 206–234) [34] P. Schreiner, Das Herrscher- [18]; [20].
bild in der byzantinischen Literatur des 9. bis 11. Jah- It is important here to identify the peculiarities
rhunderts, in: Saeculum 35, 1984, 132–151 [35] O. of the Byzantine court, among which the role of
Treitinger, Die oströmische Kaiser- und Reichsidee eunuchs is particularly striking (→ 1.4. Emperor,
nach ihrer Gestaltung im höfischen Zeremoniell, 1938 elite and subjects C.2.). Since several other
(reprint 1956) [36] M. Wallraff, Sonnenkönig empires (e.g. China, Persia) also used the services
der Spätantike. Die Religionspolitik Konstantins des
of court eunuchs, it is possible to apply meth-
Großen, 2013.
ods of comparative studies. Imperial women also
Ralph-Johannes Lilie played a notable role at the Byzantine court, not
only as wives, mothers, partners and relatives, but
also as regents and empresses regnant. Another
1.3. the byzantine court: emperors, empresses, eunuchs and court culture 120

point of interest is the remarkably high level of to be. New centres of the imperial government also
literary erudition among members of the imperial emerged in the time of Diocletian and his Tetrar-
bureaucracy. Skill in rhetoric was highly valued in chy, such as Nicomedia, Trier, Thessalonica, Milan
Byzantium, and those who worked at the imperial and Antioch on the Orontes. When Constantine I
court, including chancellery officials, were among refounded Byzantium as → Constantinople (8.10.)
the most highly educated people in the empire. in 324, it must have seemed to contemporaries a
Rhetorical skill was also crucial in a key form of routine act typical of the customs of the time, but
Byzantine court literature: panegyric. the new city gradually developed into the imperial
Finally, the nature of the imperial court reflects capital of the East, and eventually into the capital
an essential aspect of the identity of the empire: city of the Byzantine Empire.
this was not any old empire, but the Roman Julian was the first emperor to be born at Con-
Empire. The very title of the emperor under- stantinople (331/32). Following the death of Theo-
lined this: he was Roman imperator, not ‘king of dosius I, his son Arcadius (emperor from 395 to
the Greeks’ – a distinction that was scrupulously 408) and grandson Theodosius II (408–450) estab-
insisted upon (→ 2.1. View of the state A.1.). The lished themselves as emperors resident in the city,
emperor stood at the heart of Byzantium, and further consolidating Constantinople’s central
understanding the court therefore starts with him. status. → Justinian I (2.3.; 527–565) maintained
Scholarly research on the Byzantine court is this trend. Although he launched campaigns to
less abundant than might be expected. This is reconquer North Africa, Italy and Spain, he never
partly because the Byzantines themselves had no once visited Rome, let alone Ravenna. The early
concept of the subject, and partly because scholars’ Macedonian emperors continued in the same
attention has mostly been directed towards impe- way, especially Constantine VII. They promoted
rial ceremonial, and not more broadly towards the the idea that the court was wherever the monarch
concerns of the emperors and empresses and their currently resided, and this was most frequently
courts. It is unsurprising that the Book of Ceremo- at Constantinople, and specifically in the Great
nies has exerted a particular influence on percep- Palace. This palace, with its ever-expanding com-
tions and research, but attempts have also been plex of buildings, would remain the key imperial
made to shift the focus, for example in a volume setting until the Komnenos emperors of the 12th
on the court culture of the Middle Ages [8] – one century began to prefer the Palace of Blachernae
chapter of which bears the significant title ‘Beyond in the northwest of the city. Even then, the Great
the De Ceremoniis’ [25]. Service has also been ren- Palace retained its importance and its functions.
dered by two works on the Byzantine court exam- When Constantinople was occupied by the ‘Latin’
ining life in court society and the hunting practices emperors (1204–1261), other imperial centres
of Byzantine courtiers [23]; [22]. The earlier of the emerged at Nicaea, Trebizond and Epirus. Michael
two studies was published in [24], based on the VIII Palaiologos (1259–1282), who had the city
Dumbarton Oaks Symposium of 1994, which rep- rebuilt after 1261, highlighted the pivotal impor-
resented ‘the first serious attempt at studying the tance of the Great Palace, at least briefly, when
phenomenon of the Byzantine court’ [22141]. his court ceremonially re-entered it.
More recently, the results of another congress
held in 2010 have been published in a volume that C. Books of ceremonies
has made great progress in the study of the Byz- As mentioned above, the Book of Ceremonies
antine court [27]. It contains a number of impor- of Constantine VII Porphyrogennetos is tradition-
tant articles on the subject, arranged under four ally a source of the greatest importance in any
broad headings: Byzantine palace architecture; the attempt at reconstructing the atmosphere and
Byzantine court as the centre of imperial power; nature of the Byzantine imperial court. This col-
court and city ceremonies, and court culture and lection of texts, which dates from the 10th century,
the fine arts. It is to be hoped that this will stimu- gives the impression of a highly ritualized, hierar-
late further work [29]. chical court governed by custom, at which cere-
monial regulated proceedings on every religious,
B. Cities and palaces political and social occasion (e.g. the procession
By the late 3rd century ad, Rome was no longer to Hagia Sophia on Easter Sunday; imperial coro-
the main residence of the emperor, although the nations; official appointments; commemoration
city continued to possess great symbolic and polit- of Constantine I; diplomatic receptions). An Eng-
ical significance. The military and political crises lish translation was published in 2012 [4], further
of the 3rd century and the growing importance of consolidating the prominent status of the Book
the provinces meant that now emperors tended of Ceremonies as a textual guide to the Byzantine
to go where they were needed. Mobile courts imperial court.
evolved, giving rise to the idea that the imperial An English translation of another, at first sight
court was always wherever the emperor happened similar work relating to the later phase of the
121 1.3. the byzantine court: emperors, empresses, eunuchs and court culture

Byzantine Empire appeared in 2013: the treatise died, after having been paid but before passing
of Pseudo-Kodinos dating from the 14th century through the Elephantine Gate) [142–44].
[21]. This work, possibly a product of the personal Other descriptions of the Byzantine court, also
interest of John VI Kantakouzenos (1341–1354), dating from the 10th century, include those by
comprises a collection of texts with commentar- Liutprand of Cremona, a western emissary who
ies written by contemporary editors. The range stayed at the court of Constantine VII in 949/50
of topics addressed extends from the hierarchy (working on behalf of the Lombard king Beren-
of ranks and offices and the appropriate ceremo- gar) and at the court of Nikephoros II Phokas in
nial for various situations, to the coronation of an 968 (conducting negotiations on behalf of the
emperor and the promotion of other dignitaries. Holy Roman Emperor Otto I regarding his son’s
The editors note, however, that the work rep- marriage to a daughter of the Byzantine emperor
resents only a selection, and that much is miss- Romanos II). Liutprand’s notes on Byzantium in
ing (e.g. the description of an imperial wedding, his Antapodosis and Relatio de legatione Constan-
funeral or audience for an ambassador). The trea- tinopolitana are well known, and scholars study
tise of Pseudo-Kodinos is by no means a ‘dossier of them, among other things, for their insights into
ceremonies’ [2120], and as such it is clearly distinct how East and West thought of and related to each
from the Book of Ceremonies. other. Famous passages include Liutprand’s recep-
tion at the court of Constantine (→ 1.2. The con-
D. Narrative accounts cept of the emperor B.4.2.) and his descriptions
Study of these texts has tended to foster an of festivities, amusements and gifts of money to
emphasis – perhaps an overemphasis – on the cer- officials (Antapodosis 6, 5–10).
emonial character of the Byzantine court and its Liutprand’s account of the court of Nikepho-
predilection for formality and tradition ([34]; but ros II Phokas (963–969), however, deserves more
cf. [18]). Another methodical approach to under- attention. Byzantine specialists often assume that
standing the court is possible through analysing it was the Komnenos dynasty of the 11th century
narratives, such as the Chronographia of Michael that pioneered the idea of running the imperial
Psellos (11th century), an account of the reigns of court as a ‘family business’, but Liutprand gives
the emperors from Basil II (976–1025) to Michael VII an impression of a similar attitude already estab-
Doukas (1071–1078) that focuses strongly on the lished at the imperial court in the 960s. The day
history of events at court. It currently enjoys before his audience with the emperor, Liutprand
something approaching cult status. was welcomed by Nikephoros’ brother Leo, who
A more offbeat example, meanwhile, is the was both kouropalates (‘superintendent of the
Vita of Euthymios of Constantinople. This monk palace’) and logothetes (‘word-setter’, i.e. ‘secre-
was the spiritual father to Leo VI and patriarch tary of state’; Relatio 2). When Liutprand was then
from 907 to 912. His biography was written in the received by the emperor himself, he also noted the
early 10th century in an attempt to justify his role presence of two ‘lesser emperors’ in subordinate
in the approval of Leo’s fourth marriage. As part positions, Basil II and Constantine VII, the sons
of this plan, the author gives insight into the inner of Romanos II and Empress Theophano, and thus
life of the imperial court. Scholars have noted the Nikephoros’ stepsons (Relatio 3; see also 41).
‘exceptionally true-to-life details of some scenes in Later, when Liutprand wrote from his lodg-
this text, all of which take place within the palace ings to request contact with the court, it was to
itself’ [134 f.]. Especially noteworthy is the account of Nikephoros’ brother Leo that he addressed himself
court politics in the period, featuring various patri- (Relatio 14), and Leo replied that Liutprand should
archs and administrative officials under Leo such seek him out in four days’ time. Also present at
as Stylianos Zautzes and the eunuch Samonas. this audience (Relatio 15) were the parakoimome-
For example, there was an incident during a nos (‘grand chamberlain’), the protasekretes (‘head
banquet at court. Stylianos bribed one of the court of the imperial chancellery’), the protovestiarios
mimes who were to entertain the guests, one Lam- (‘first master of the wardrobe’) and two magistroi
poudios, to ridicule Euthymios during his perfor- (senior senators). The parakoimomenos was Basil
mance in order to dissuade Leo from choosing him Lekapenos, brother-in-law to Constantine VII and
to succeed the late Stephen I (Leo’s brother; Vita, hence the great-uncle of the young heirs Basil
§ 7). According to the Vita, ‘over the course of the and Constantine (see below, E.). At dinner, Bar-
banquet, the monstrous and terrible insults that das Phokas, father of Nikephoros, sat next to him
Lampoudios poured from his wicked heart over (Relatio 28). Later, when Nikephoros had left Con-
this innocent man of God caused guests present to stantinople, Leo summoned Liutprand and nego-
blush, until the emperor showed him the door and tiated with him as proxy for the absent monarch
dismissed him from his service’ (the author then (Relatio 35). During a visit to a wild animal park,
adds, with relish, that Lampoudios also promptly Leo sent his son to rebuke Liutprand for having
worn a hat in the presence of the emperor (Relatio
1.3. the byzantine court: emperors, empresses, eunuchs and court culture 122

37). The text also attests that Leo was correspond- precedence. Philotheos’ work details for his col-
ing with the pope (Relatio 55). leagues exactly who could be invited to various
The writings of the contemporary Byzantine festivities during the year, and the proper hierar-
historian Leo Diakonos also give the impression chies that had to be observed. In the course of set-
of a government and court in the hands of a sin- ting out the offices, titles and social hierarchies of
gle family. Leo notes that Nikephoros, after taking his day, he also gives information about the titles
power, made his father Bardas kaisar, his brother and offices that were intended for eunuchs. The
Leo kouropalates and magistros and Basil Lekape- most important of these were the title of patrikios
nos (the parakoimomenos) proedros (speaker and the office of parakoimomenos (→ 1.4. Emperor,
of the senate; Historia 3,8). His nephew John elite and subjects C.1.).
Tzimiskes was installed as magistros and domes- Interestingly, the Kletorologion is cited in
tikos (commander of the armed forces) in the East. De Ceremoniis (Book 2, Chapter 52 f.), the most
It is also recorded that Bardas Phokas sat beside his important surviving manuscript (and perhaps the
son at a reception for Bulgarian ambassadors (His- archetype) of which has been dated to the reign
toria 4,5) and acted as godfather to the emperor’s of Nikephoros II Phokas. It may have been written
sons Basil and Constantine (Historia 3,9). When under the direction of the eunuch Basil Lekapenos
Bardas died, at over 90 years of age, Nikephoros [11]. This manuscript contains an account of how
accompanied the body from the palace to his villa Nikephoros became emperor (1,96), and, among
on Constantinople’s southern coast (Historia 4,5). other things, describes the appointment of the
proedros of the senate (1,97), a post Nikephoros
E. Court eunuchs created for Basil.
Narrative sources of this kind reveal aspects of Some court eunuchs served as lowly domestikoi,
the operation and characteristics of the Byzantine but some rose through the ranks and achieved
imperial court. Like books of ceremonies, they great things, for instance, as chief ministers or
highlight the importance of formal ritual and hier- even de facto rulers of the empire. The accession
archy, of the staging and hence reinforcement of of Nikephoros involved eunuchs: Joseph Bringas,
political and social relationships, and of the physi- the parakoimomenos of Romanos II, opposed
cal spaces and demarcations of the court itself. At him, while Basil Lekapenos (an illegitimate son
the same time, they also convey the role of indi- of Romanos I Lekapenos) favoured both him and
viduality and spontaneity, and hence underline his great-nephews Basil II and Constantine VIII (as
the necessity of taking specific historical phenom- already in the reign of Constantine VII).
ena into consideration, such as the potential role Basil Lekapenos was so powerful in the
of the family in the functioning of the court. early stages of the reign of → Basil II (2.4.) that
One notable element in these texts is the the emperor eventually (around the mid-980s)
presence of → eunuchs (3.3.) [13]; [14]; [30]; [33]. stripped him of his powers. He then passed a law
Although eunuchs had been employed since at in 996, annulling the chrysobulls (decrees sealed
least the early Roman Imperial period, it was with a golden seal) of his uncle. A historical par-
only in the 3rd century that they became a court allel suggests itself in the recent history of North
institution. This change is frequently attributed to Korea, where the supreme leader of the Demo-
Diocletian (284–305) with his supposed ‘Persian- cratic People’s Republic, Kim Jong-un, had his
ization’ of the imperial administration. Eunuchs uncle Jang Song-thaek executed in 2013. Compara-
became a firm fixture of court life, particularly in tive studies on court eunuchs (and courts in gen-
the role of chamberlain (cubicularius/koubikoular- eral, cf. e.g. recent work on the courts and court
ios), who served under the provost of the sacred societies in the ancient monarchies, especially
bedchamber (praepositus sacri cubiculi/praipositos Rome and China [32]; [31] and Norbert Elias’ 1969
tou eusebestatou koitonos). sociological study [10]) may prove fruitful.
The system of offices, however, also evolved, A number of historical cultures made use of
as a comparison of the Notitia Dignitatum of the court eunuchs, including Assyria, Persia, China,
4th/5th centuries and the Kletorologion of Phi- the Hellenistic monarchies, Rome and Islam
lotheos shows – two court texts dealing with (including the Ottoman Empire). It is surprising
the hierarchy of civil and military officials. The to note that the last court eunuch, the Chinese
Kletorologion is a particularly important source Sun Yaoting, died as recently as 1996. In gen-
in regard to court eunuchs (and for court life in eral, the employment of eunuchs seems to have
general). Written by the atriklines Philotheos, it underscored the special status of the ruler and
dates from the reign of Leo VI (886–912) [265–235]; the nature of the court (e.g. the idea that the
[4vol. 2, 702–791]. The atriklines was responsible for earthly court was a reflection of the celestial one,
organizing imperial festivities and therefore was with the eunuchs taking the role of the angels, or
particularly responsible for upholding orders of vice versa).
123 1.3. the byzantine court: emperors, empresses, eunuchs and court culture

F. Empresses people of the second class and the trittyes, all lined
One of the classic stereotypes of Byzantium up in rank and file at the fitting distance. As soon
is that it was ruled by eunuchs and women. It is as all were ready, the main business of the day
certainly true that imperial women operated in began. There were legal disputes and questions of
politically significant roles at the court of Con- public interest to be negotiated, financial grants,
stantinople (→ 1.4. Emperor, elite and subjects audiences for foreign emissaries, controversies or
A.3.), as wives, mothers, sisters, relatives and on agreements, and all the other duties that claim the
their own account [12]; [16]. When Constantine time of an emperor’. Zoë soon married again; her
became sole emperor in 324 after defeating Licin- new husband was Constantine IX. After his death,
ius, it was no accident that coins bearing images Theodora then reigned alone (1055/56).
of his mother Helena and wife Fausta came into
circulation. It highlighted the special status of G. Imperial administration:
their son and husband and emphasized the rein- education and rhetoric
troduction of dynastic authority, putting an end to Psellos (→ 12.2. Literature F.4.; → 12.5. Culture
the experiment of the Tetrarchy. The oft-widowed and education B.2.) typifies another important
Leo VI pleaded in 900 to be allowed to give his trait of the Byzantine court: its use of erudite
three-year-old daughter Anna the title of Augusta, officials. Psellos worked in the imperial admin-
because the court needed one in order for ceremo- istration, but at the same time was a leading
nial to be conducted correctly. intellectual honoured with the title ‘consul of
The court provided a space within which impe- philosophers’ (hypatos ton philosophon). Ensuring
rial women could act as figures of political signifi- that the imperial bureaucracy continued to run
cance, for instance as regents or éminences grises. smoothly required men in the relevant posts with
Examples include Irene of Athens and Theodora the necessary education. The special value that
in the 9th century, the widows of Leo IV and the Byzantines attached to education and rhetoric
Theophilos respectively; the prominent women can be explained partly in terms of practical needs
from the family of Theodosius II (especially his and partly in terms of aesthetic taste.
sister Pulcheria), and of course the first Theodora, One particularly striking example of an intel-
a former showgirl and the controversial consort of lectual administrator is Photios (→ 12.2. Litera-
Justinian I in the 6th century. Women could also ture E.3., E.4.) [19esp. 177–204], who was born into an
rule in their own right. Irene had the status of august family with unimpeachable iconophile cre-
basileus as regent for her son Constantine VI, and dentials in the early 9th century. Before embark-
the main heirs after the death of Constantine VIII ing on his career as patriarch in 858, he made a
(1028) were his daughters Zoë and Theodora. Zoë name for himself in the imperial bureaucracy
married three times and helped all three husbands with a diplomatic mission to the Arabs and was
to become emperor. made protasekretes (chief imperial secretary). He
Following the overthrow of Zoë’s adoptive was a particularly close ally of Bardas, the uncle
son Michael V (1042), she and Theodora reigned of Michael III, as the two shared an enthusiasm
jointly. The description of her court by Michael for teaching and intellectual life. Bardas founded
Psellos is as exciting as it is illuminating (Chrono- a school in the Magnaura Palace in the 850s
graphia 6,1–3 [6155 f.]): ‘… and so the empire passed (→ 12.5. Culture and education B.2.), while Photios
into the hands of the two sisters. For the first time ran a private educational establishment in his own
in our lives, we witnessed the transformation of home. Photios was also an author, most notably of
women’s chambers [gynaikonitis] into an imperial the Bibliotheke (the ‘Library’; → 12.2. Literature E.3.,
council hall. Still more remarkably, citizens and E.4.), a collection of discussions of books that he
the military class cooperated harmoniously under wrote for his brother and which may be a product
the direction of the empresses and showed more of a reading circle. Government and erudition thus
obedience to them than to any overlord issuing went hand in hand, although rhetoric also proved
arrogant commands […]. The procedures of court to be of value to the Byzantine court in a differ-
[…] were observed just as they had been by the ent way, as the crucial medium for disseminating
rulers before them. Both [empresses] sat before imperial ideology.
the royal tribunal, Theodora a little way behind One of the key literary forms of Late Antiquity
her sister. Beside them stood the cudgel-bearers and the Byzantine period, traditionally held in
and sword-bearers and officials equipped with the low esteem by scholars, was panegyric: orations in
rhomphaia [double-edged long sword]. Within praise of rulers, performed on various occasions
this circle were the special favourites and court (e.g. birthdays, weddings, jubilees, funerals). A
officials, while outside it was the second row of rhetorical manual dating from the reign of Diocle-
personal lifeguards, whose eyes were respectfully tian (284–305) and attributed to Menander Rhetor
cast down. Behind these were ranged the senate gives advice on how to write a basilikos logos, i.e.
and members of the privileged class, then the a speech in praise of the emperor. The Panegyrici
1.3. the byzantine court: emperors, empresses, eunuchs and court culture 124

Latini, meanwhile, is a collection of Latin panegy- Ceremonies, 2 vols., edited by A. Moffatt und M. Tall,
rics compiled in Gaul in the late 4th century, prais- 2012 [5] Liutprand von Cremona, Works,
ing members of the Tetrarchy, as well as Julian edited by F. A. Wright, 1930 [6] M. Psellos, Four-
and Theodosius I. One renowned early Byzantine teen Byzantine Rulers. The Chronographia, edited by
E. R. A. Sewter, 1966.
exponent of imperial panegyrikos was Themistius,
who wrote speeches praising a series of rulers
from Constantius II to Theodosius I. Psellos also Secondary literature
[7] H.-G. Beck, Res publica Romana. Vom Sta-
wrote imperial encomia. atsdenken der Byzantiner (Bayerische Akademie
The recapture of Constantinople by Michael VIII der Wissenschaften, Philosophische-Historische
in 1261 was the main theme of three orations by Klasse, Sitzungsberichte 21), 1970 [8] C. Cubitt
Manuel Holobolos, one of which praises the (ed.), Court Culture in the Early Middle Ages, 2003
emperor’s establishment of educational institu- [9] S. Diefenbach, Frömmigkeit und Kaiserakz-
tions [21]. The panegyrikos showed the way for eptanz im frühen Byzanz, in: Saeculum 47, 1996,
Byzantine ‘court literature’ [26]. Even when he 35–66 [10] N. Elias, Die höfische Gesellschaft,
was patriarch (858–867 and 877–886), Photios 1969 [11] M. Featherstone, Further Remarks
on the De Cerimoniis, in: BZ 97, 2004, 113–121 [12]
was still writing panegyric works for Michael III
L. Garland, Byzantine Empresses. Women and
and Basil I (e.g. the sermons on the construction Power in Byzantium ad 527–1204, 1999 [13] R.
of the Church of the Virgin of the Pharos in the Guilland, Les eunuques dans l’Empire byzantin,
Great Palace and on the council of 867). Panegy- in: REB 1, 1943, 197–238 [14] P. Guyot, Eunuchen
ric illuminates the core of Byzantine perceptions als Sklaven und Freigelassene in der griechisch-
and ideals regarding rulers, and is therefore an römischen Antike, 1980 [15] J. Harries, Imperial
invaluable source for understanding the court. It Rome ad 284 to 363. The New Empire, 2012 [16]
also illustrates the political and social importance L. James, Empresses and Power in Early Byzantium,
of such orations and the vital role of the rhetor in 2001 [17] A. Kaldellis, From Rome to New Rome,
the complex of imperial court culture. from Empire to Nation-State. Reopening the Ques-
tion of Byzantium’s Roman Identity, in: L. Grig / G.
Kelly (eds.), Two Romes. Rome and Constantinople
H. Roman identity: The emperor and in Late Antiquity, 2012, 387–404 [18] O. Kresten,
the imperial court ‘Staatsempfänge’ im Kaiserpalast von Konstantinopel
And so we come full circle to the fundamental um die Mitte des 10. Jahrhunderts. Beobachtungen
point of this section. The emperor (or empress) zu Kapitel II 15 des sogenannten ‘Zeremonienbu-
was categorically identical to the imperial court, ches’ (Österreichische Akademie der Wissenschaften,
and to the ‘Byzantines’, as we call them, he was Philosophische-Historische Klasse, Sitzungsberichte
the Roman Emperor. The emperors were the 670), 2000 [19] P. Lemerle, Le premier human-
legitimate heirs to Roman authority dating back isme byzantin. Notes et remarques sur enseigne-
ment et culture à Byzance des origines au Xe siècle,
to Augustus (or even Julius Caesar), and it was also
1971 [20] R.-J. Lilie, Herrschaftsrepräsentation im
during the reign of Augustus that Christ was born. byzantinischen Kaisertum, in: H. Leppin et al. (eds.),
This Roman status was essential to the Byzantines Kaisertum im ersten Jahrtausend. Wissenschaftlicher
and it had to be defended. One major reason for Begleitband zur Landesausstellung ‘Otto der Große
the awkwardness of Liutprand’s reception (see und das Römische Reich. Kaisertum von der Antike
above, D.) at the court of Nikephoros Phokas was zum Mittelalter’, 2012, 321–336 [21] R. Macrides,
that Otto I, whose emissary Liutprand was, held The New Constantine and the New Constantinople –
the title of ‘Holy Roman Emperor’. Scholars today 1261?, in: BMGS 6, 1980, 13–41 [22] P. Magdalino,
sometimes regard Byzantium as merely one of the In Search of the Byzantine Courtier. Leo Choiros-
successor states to Rome. Yet it is beyond dispute phaktes and Constantine Manasses, in: H. Maguire
(ed.), Byzantine Court Culture from 829 to 1204, 1997,
that Byzantium represented the continuation of 141–165 [23] P. Magdalino, Court Society and
the Imperium Romanum [17]. The Roman Empire Aristocracy, in: J. Haldon (ed.), A Social History of
lasted until 1453, and with it the Roman court. Byzantium, 2009, 212–232 [24] H. Maguire (ed.),
Maps and plans: Plans 1–2; BNP Suppl. 3, 251 Byzantine Court Culture from 829 to 1204, 1997 [25]
R. Morris, Beyond the De Ceremoniis, in: C. Cubitt
Bibliography (ed.), Court Culture in the Early Middle Ages, 2003,
235–254 [26] M. Mullett, Did Byzantium Have
Sources a Court Literature?, in: A. Ödekan et al. (ed.), The
[1] Vita Euthymii Patriarchae Cp, edited by P. Karlin- Byzantine Court. Source of Power and Culture, 2013,
Hayter, 1970 [2] Les listes de préséance byzantines 173–182 [27] A. Ödekan et al. (eds.), The Byzan-
des IXe et Xe siècles (Le monde byzantin 4), edited tine Court. Source of Power and Culture (Sympo-
by N. Oikonomides, 1972 [3] Pseudo-Kodinos and sium, Istanbul 2010), 2013 [28] R. Pfeilschifter,
the Constantinopolitan Court. Offices and Cer- Der Kaiser und Konstantinopel. Kommunikation
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Constantin Porphyrogennetos, The Book of 2013 [29] T. Pratsch, Der Kaiser und das Pro-
125 1.4. emperor, elite and subjects

tokoll. Das Zeremonienbuch Konstantins VII., in: Pax who was overthrown by Nikephoros Botaneiates,
Geschichte 5, 2007, 66–68 [30] K. Ringrose, The later Nikephoros III, in 1078.
Perfect Servant. Eunuchs and the Social Construction Secondly, dynastic succession tempted rulers
of Gender in Byzantium, 2003 [31] W. Scheidel to exploit power for the massive enrichment of
(ed.), Rome and China. Comparative Perspectives on
Ancient World Empires, 2009 [32] A. J. S. Spaw-
their own relatives and favourites at the expense
forth (ed.), The Court and Court Society in Ancient of the rest of the aristocracy. A sovereign might
Monarchies, 2007 [33] S. Tougher, The Eunuch in mitigate such monopolization of key positions
Byzantine History and Society, 2008 [34] O. Tre- to some extent by forging suitable marriage alli-
itinger, Die oströmische Kaiser- und Reichsidee ances, whereby outsider groups, for instance rep-
nach ihrer Gestaltung im höfischen Zeremoniell, 1938 resenting regional interests, could also be brought
(reprint 1956). into the fold. The first Komnenos emperors were
extremely adept at uniting the aristocracy within
Shaun Tougher the bosom of their family in this way and thereby
keeping them in line. Otherwise, where such strat-
1.4. Emperor, elite and subjects egies failed or were neglected, the danger arose
that excluded families might form an opposition
A. The establishment of dynastic succession that, were it to take root in the best regiments
B. The aristocracy around the emperor of the army, could lead to a menacing revolt.
C. The role of precedence Basil II (963–1025), for example, came close to los-
D. Subjects of the emperor ing his throne because of his neglect of the grand
old families of Asia Minor.
A. The establishment of dynastic
succession A.2. Increasing importance of the
hereditary principle
A.1. The role of coups Even in Roman times, the imperial succession
A.2. Increasing importance of the hereditary tended to install dynasties, but some emperors of
principle the 5th and 6th centuries died without issue. The
A.3. The imperial succession and women first emperor to be graced with ample offspring
was Maurice, but his succession plans were nulli-
A.1. The role of coups fied in 602 when he and his sons were murdered.
In regard to the succession, the Byzantine The regency of Herakleios (610–641) marked a fresh
Empire seamlessly continued the practice of the start, with a privileged family asserting its entitle-
Roman Empire, which had never really resolved ment to the throne and finding itself blessed with
the conflict between two sources of legitimacy, the divine favour in the form of progeny. The reign of
presumption that the choice must fall on whoever Constans II (641–668) brought another new depar-
was best suited to preserve the common good, ture, as, spurning the imposition of joint rule, the
and the argument in favour of the claims of the emperor brutally sidelined his brother Theodosios
ruling house. Essentially, provided that nothing to reign alone.
got in the way of the latter tendency, the impe- The importance of family succession was
rial succession was arranged within the current more pronounced with the Isaurians (the Syr-
ruling dynasty. Public opinion saw this as a good ian Dynasty), as coins showing three generations
way of avoiding the civil wars that were wont to of emperors from this dynasty attest (Leo III,
accompany changes of ruler. Invariably, though, 717–741; Constantine V, 741–775; Leo IV, 775–780)
when one and the same family remained at the [9]. After this, being ‘born in the purple’ (Greek:
helm, tensions resulted, for at least two important porphyrogénnētos; i.e. born the child of a reign-
reasons. ing emperor) was invariably a trump card in the
The first was that, almost inevitably, dynastic quest of even a younger child to qualify as heir
succession meant that a relatively mediocre candi- to the throne, although it did not abolish the
date might ascend the throne at the very moment implicit principle of primogeniture [7]. Constan-
when – particularly in times of military crisis – tine VII (913–959), for instance, benefited in spite
the survival of the state demanded a choice in the of his illegitimacy from the obsession of his father,
interest of the common good. Notable instances of Leo VI, who insisted that he always be called Por-
this include Theodosios III, who resigned in favour phyrogennetos (which was already becoming a
of Leo (III) in 717, and Michael I (Rhangabe), who true title) in order to resist the usurpation of the
ceded the throne to Leo the Armenian, strategos Lakapenoi and secure the throne. Dynasties by
of the Anatolian theme and the future Leo V, in now were beginning to retain power for longer.
813. Another instance was Michael VII Doukas, The Macedonian Dynasty lasted for almost two
1.4. emperor, elite and subjects 126

centuries before dying out from natural causes empresses Pulcheria and Eudoxia both exerted
in 1056. The people of Constantinople displayed considerable influence, as sister and wife respec-
a burning devotion to Empress Zoë (1042) in par- tively to Theosodius II (408–450), despite holding
ticular, who was descended from five successive no formal position of authority.
generations of emperors [18]. The choice of wife for the heir apparent, or
The extinction of the Macedonian Dynasty of husband for an imperial princess, was not left
gave rise to a political crisis that caused almost to chance. The precise matrimonial policy, how-
half a century of instability and civil war and ever, varied over the course of history. Until the
shook the empire to its foundations, as the flood- 11th century, emperors almost without exception
gates opened to foreign invasion and punish- married daughters of aristocrats, who were often
ing famines that even assailed the capital itself. selected on the basis of the influence of their fami-
From now on, assuring the succession within the lies, although for two centuries a beauty contest
ruling house came to be seen as essential to the allowed the prospective groom to peruse a wider
preservation of the common good. The same ten- selection of ladies of the high nobility. It has been
dency also took hold in many other monarchies suggested that this element of chance may have
of Christian Europe. It was for this reason that the been detrimental to the interests of dynastic con-
dynasty founded by Isaac Komnenos (1057–1059) tinuity [7]. Some emperors, like Basil I, the Mace-
and consolidated by his nephew → Alexios I Kom- donian (867–886), fearing that families linked to
nenos (2.5.; 1081–1118), which nurtured close ties the throne by marriage might accumulate power
with the Doukai, brought notable stability: despite or even cause trouble, preferred to consign their
even the turmoil that followed the fall of Constan- daughters to nunneries.
tinople into the hands of the Latins in 1204, all A fundamental shift in imperial diplomacy
subsequent changes in the succession took place came in the 11th century, as the marriage of impe-
within the various lines of the widely ramified rial princesses to foreigners ceased to raise eye-
Komnenos clan, namely the Angeloi, Laskarides, brows at the Byzantine court. The first such cases,
and Palaiologoi. those of Maria, granddaughter of Romanos Lakape-
The practice of dynastic succession became nos, who married Peter of Bulgaria, and especially
so entrenched under the Palaiologoi that even an Anna Porphyrogenneta, the sister of Basil II, were
emperor like Andronikos II (1282–1328), who over still considered objectionable. Anna was given in
the course of his long and mediocre reign presided marriage to Vladimir of Kiev, from whom Basil
over the loss of all Asia Minor, remained unchal- hoped to gain reinforcements to deal with the
lenged on the throne, although he was belatedly uprisings ongoing in Asia Minor. Subsequently,
compelled to abdicate. emperors turned increasingly to matrimonial alli-
ances with other Christian states from the → Cau-
A.3. The imperial succession and casus (15.4.) to the Latin world as they sought to
women secure the empire. The imperial family, formerly
Women certainly had a role to play in the a class unto itself, thus increasingly became one
exercise of power. They were not excluded from ruling family among many, and by the time of the
the succession, and two – Irene (797–802) and Palaiologoi its prestige had diminished to such a
Theodora III (1155–1156) three and a half centuries degree that it had to be content with marriages to
later – were empresses regnant with full powers → Balkan (15.3.) princes and princesses of no more
[11]. Even so, a woman on the imperial throne than local rank.
was felt to be an anomaly, and neither of these
two reigns lasted long. A woman was considered B. The aristocracy around the
competent to conduct the business of govern- emperor
ment as the mother of a minor emperor, but she
was expected to make way for him and resign as B.1. The aristocracy, a loosely defined group
regent once he came of age. Yet, although this rule B.2. Strata within the aristocracy
was established, history shows that regencies were B.3. The high aristocracy
always inherently vulnerable when it came to the B.4. Mobility at the heart of the aristocracy
transfer of power.
Whereas Theodora II, widow of Theophi- B.1. The aristocracy, a loosely
los (829–842), successfully handed power to defined group
Michael III (842–867), thanks to her brother, Zoë The basileus ruled over what for a long time
Karbonopsina, the widow of Leo VI, was unable to was an immense empire. The fact that he did so
prevent the usurpation of Romanos Lakapenos at was due entirely neither to his divine legitimacy
the expense of her son Constantine VII, who for nor to his command of Constantinople – although
years (until 945) found himself limited to the sta- this was certainly indispensable, as ‘Kekaumenos’,
tus of a mere co-emperor. Be that as it may, the author of the Logos nouthetetikos (‘Oration of
127 1.4. emperor, elite and subjects

Admonition to an Emperor’), a kind of 11th-cen- Argyroi, Skleroi, Melissenoi, Maleïnoi, Phokades

tury prince’s mirror, pointed out. The sovereign and Doukai extended their lands in Cappadocia
also needed intermediaries, both in the capital and Paphlagonia into impressive domains. Within
and in the provinces. His physical presence was them, they enjoyed great prestige and influence
an important means of securing his subjects’ loy- over the entire population and this afforded them
alty, as Kekaumenos well knew when he advised protection against enemies – and sometimes the
the emperor not to hole himself up in his palace. imperial government.
The emperor’s support came first and foremost A crucial means of acquiring this kind of quasi-
from his family, then from relatives by marriage – monarchical authority over one’s neighbours was
whom as matchmaker he could personally select – the concept of prostasia (‘leadership’; ‘superin-
and finally influential provincial families. Although tendence’; holding public office). This status as
the ruling class was no longer legally defined patrimonial protector was perhaps even more
like the senatorial class of the Early Byzantine important for the less illustrious noble clans of the
period, the Byzantines still knew perfectly well provinces, who had virtually no access to imperial
that, as subjects of the basileus, they were not gifts but, in turn, were also less exposed to politi-
all equal. Among themselves they thus identified cal vicissitudes and turbulence. The land register
mega dynamenoi, ‘those of great power’, and an of Thebes, for instance, attests to their stability
elite of logades, ‘the select’ – they were distin- over several generations. During the last century
guished not merely by the importance of the lead- of the empire’s existence, the aristocracy lost more
ing military and civilian roles they performed. Nor and more of this foundation of land ownership.
did they underestimate the importance of euge- Most new members of the elite, like the Notaras
neia (‘good birth’), which suggested not only moral family, had made their fortunes in commerce, and
qualities, but also noble lineage. Naturally, they those members of the old aristocracy who still
also saw that the leading positions in government maintained their status, like the Gudelai, also now
frequently went to members of the same families. relied on trade for their wealth. In all cases, serving
All these considerations converged in the concept the emperor brought the greatest social prestige of
of an archon, which began in the 12th century to all, although these venerable circles no doubt also
take on a social connotation that clearly signalled took care to maintain well-funded bank accounts
the distinction between a powerful elite, recog- in Italy, so as to ensure their survival even if Con-
nized by the emperor, and the rest of the popula- stantinople fell.
tion [4].
B.3. The high aristocracy
B.2. Strata within the aristocracy The members of the high aristocracy, who
The term ‘aristocracy’, although inadequate to never numbered more than a few dozen families
describe this dominant class, is nevertheless the at any one time, maintained very close contacts
best term available, as it combines the hallmarks with the emperors, regularly appearing at → court
of hereditary nobility and career success. The (1.3.) or sending representatives there. This also
term ‘nobility’, which is often used instead [10], gave them opportunities to present their children
places too much weight on the aspect of birth and there and thus to aid their career prospects [13].
imputes a notion of hereditary nobility that has no The emperors readily turned to the same families
basis in legal texts except in the earliest phase of again and again when making appointments to
Byzantine history, when the title of vir clarissimus high offices, because the members of these fami-
was still inherited in the senatorial aristocracy, lies could gain experience beginning when they
although its financial independence was guaran- were children at their parent’s knee. Above all,
teed by the ownership of vast tracts of land. too, such families called the tune with the autoch-
In fact we cannot identify any essential crite- thonous population, and so were able to function
rion for the Byzantine aristocracy. High birth was as intermediaries, conveying the emperor’s orders.
one factor, and probably the most important: the Conflicts sometimes broke out between this
names that appear in the sources, especially on high aristocracy and the emperor, and these occa-
seals, permit us to list the leading families, reveal- sionally even led to attempted military coups (e.g.
ing that by far the majority of dignitaries belonged against → Basil II (2.4.; 975–1025)). Even if such a
to one of them. Their stability was self-evident. coup failed, however, these clans did not vanish
Most of the wealth of these noble clans came from history without trace, for the total and final
from their ownership of estates, which tended to confiscation of estates was highly unusual (to
be passed down from generation to generation prove the rule, the aforementioned Basil II, who
despite egalitarian division of inheritances, for bad become a draconian authoritarian by the end
which dowries generally provided compensation. of his reign, indeed extinguished the influence of
These roots in the soil came particularly into play the Phokades and Maleïnoi). Usually, the losers in
during the Middle Byzantine period, when the a political conflict simply withdrew to their estates
1.4. emperor, elite and subjects 128

and waited for a new uprising to turn matters to elite. But whenever the survival of the empire was
their advantage again, or for a change of emperor at stake, as during the crises of the 7th and 8th
to quench the sovereign’s ire. centuries and towards the end of the 11th, it was
This flexible resilience in swallowing defeats valiant and successful soldiers whose chances of
explains the survival of a number of illustrious rapid ennoblement were the healthiest [4]; [6].
clans through centuries of fluctuating fortunes.
The Melissenoi without doubt left all others in C. The role of precedence
the shade: a relative by marriage of Constantine V
already bore this name in the 8th century, and one C.1. A hierarchical society
Melissenos Apokaukos was still among the trusted C.2. Evolution of ranks
house guests of Manuel II Palaiologos in the early C.3. The sale of ranks
15th century. The careers of other families can also C.4. From meritocracy to bonds of kinship
frequently be traced across several centuries. The
Palaiologoi and Kantakouzenoi, for instance, first C.1. A hierarchical society
appeared at court under the Komnenoi, and they The whole of Byzantine society was focused
were still very much at the heart of events when on the emperor (→ 1.1. The idea of empire and
the empire fell in 1453 – an event, incidentally, emperor; → 1.2. The concept of the emperor), God’s
that by no means spelled their extinction. elect. This hierarchy was structured according to a
principle of distinction that was reflected in ranks
B.4. Mobility at the heart of the and offices. These in turn adhered to an earthly
aristocracy hierarchy that was inviolable in theory (being a
The aristocracy, however, was not a defined or reflection of the heavenly hierarchy) but volatile
static group, and its permeability fluctuated over in practice (→ 3.7. Key social structures C.). The
time. The best way to gain access to it tended to official hierarchy determined access to the senate,
be to make a glorious career in the military. Trac- for example, through bestowal of the title illus-
ing back the evolution of the great families of the trios in the Early Byzantine period, and later pro-
empire, a distant ancestor is almost always found tospatharios, as well as the amount of the rhogai
triumphing over enemies by acts of heroism that (‘stipends’) associated with these titles. The higher
contemporary reporters or later chroniclers found and highest ranks and offices gave substantial
worthy of retelling. This was the case, certainly, for incomes to those who held them. In the Relatio
the clans of Asia Minor discussed above. Success de legatione Constantinopolitana, after witness-
in war also offered the prospect of considerable ing such a disbursal of rhogai in 949/50, the Latin
rewards from the elite, and especially from the emissary at the court of Constantine VII (913–959),
basileus. Liutprand of Cremona, reported in astonishment
Relations between the aristocracy and the that the domestikos ton scholon, the commander-
empire, however, were double-edged. Anyone in-chief of the army, needed help to drag out the
succeeding in his career could attain great wealth, bags of gold coins (at least 40 pounds or 2,880
like the historians Michael Psellos or Michael nomismata) and ceremonial silk robes that had
Attaleiates in the 11th century. But wealth alone been personally presented to him by the emperor.
was not enough to earn recognition as a member Ranks (Greek, axía, ‘dignity’) were granted for
of the aristocracy. Even the best-heeled merchants life upon the presentation of an official document
were never considered worthy of being admitted by the emperor (axia dia brabeiou, ‘rank by way
to this distinguished circle, unless they bought the of diploma’), whereupon the honorand had to dis-
relevant ranks or married into a family already pense appropriate benefits to the other dignitaries.
recognized as aristocratic. Measuring the extent ‘Offices’, for which the same word was used, were
of this phenomenon is difficult given that it con- bestowed by order of the emperor (axia dia logou,
cerned families of second rank, which the sources ‘rank by way of the word’). The lifelong nature of
tend to disregard. It undoubtedly, however, played a rank was a factor of the utmost importance, for
some role at Constantinople. it meant that each generation of a family had to
The permeability of this vaguely defined aris- earn its rank anew from the emperor.
tocracy and its relations with the imperial family Concern for the hierarchy and its observance
varied over the centuries, particularly in response led to the production of taktika – akin to official
to the military situation in which the empire found registers of ranks for devising seating arrange-
itself at the time. Whenever it basked in the con- ments in the presence of the emperor – by a
fidence (sometimes the illusion) that its strength specialist in etiquette, the atriklines. The most
was restored to that of Late Antiquity or the High complete taktikon, the Kleterologion of Philotheos,
Middle Ages of the 11th century, administrative was written in the reign of Leo VI in 899 and is
and rhetorical or literary (i.e. intellectual) qualities preserved in the later compilation De Ceremoniis.
often sufficed to gain one access to the aristocratic Coordinating the double hierarchy of ranks by
129 1.4. emperor, elite and subjects

award and ranks by office made composing such afford them, particularly after the 9th century.
lists a delicate task, they had to be regularly revis- Bestowing ranks like that of protospatharios or
ited. In the event that there were multiple holders other senior ranks enabled emperors to reward
of the same rank, such as that of patricius/patrikios men who did not come from the higher echelons
(long an emblem of the highest prestige), a precise of the administration, but rather were elite mer-
order of precedence had to be observed: patrikioi chants, bankers or perhaps even specialist makers
who also held an office ranked above those who of highly valued luxury artisanal goods. The tradi-
had none, and eunuchs above ‘the bearded’ tionally privileged found the sudden admission of
(barbatoi). These documented provisions served such people to the senate to be such a scandalous
to guarantee an orderly hierarchy [2]. convulsion that they railed against the ‘demagogy’
of the all too generous emperors Constantine IX
C.2. Evolution of ranks Monomachos (1042–1055) and Constantine X
The value of titles, however, fluctuated, as their Doukas (1059–1067), whose main aim was merely
value steadily depreciated or sometimes, as in the to restore relations with the people of Constan-
second half of the 11th century, surged as dignitar- tinople (and thereby, of course, to replenish the
ies sought advancement within the hierarchy; the imperial coffers).
weakest emperors, in particular, yielded to their Capital invested in this way would be expected
desire by magnifying the titulature of a rank. This to earn interest at a rate of 6 or 7% in respect
sometimes led to the creation of additional dis- of the payout of annual rhogai, not taking into
tinctions. The proliferation of spatharioi (‘sword- account the gain in prestige associated with the
bearers’) in the 8th century, and of proedroi rank purchased. Yet the sovereign also stood to
(‘presidents’) in the 11th for instance prompted profit, for the injected capital devolved to the state
the invention of protospatharioi and protoproedroi on the death of the dignitary [14].
(‘first sword-bearers’ and ‘first presidents’) respec-
tively [5]. C.4. From meritocracy to bonds of
The eunuchs (→ 1.3. The Byzantine court E.), kinship
powerful aides to the emperor, had a hierarchy Three phases are discernible in the history of
of their own, but could also share some ranks the evolution of this hierarchy, for – pace the offi-
with ‘bearded’ men. The distinction between cial discourse – it was not a system set in stone.
ranks reserved for the bearded and those open to The first phase, partially documented in the Noti-
eunuchs (e.g. proedros and vestarches/keeper of tia Dignitatum, which describes the administra-
the imperial wardrobe), blurred ever more over tive structure of the early 5th century [2], was still
the course of the 11th century, although posi- built around the senatorial ranks (i.e. the ranks
tions involving service in the imperial wardrobe, conferred by the senate) [8]. These (e.g. apo hypa-
such as the praepositus sacri cubiculi, undoubt- ton and apo eparchon) were already in decline
edly remained the exclusive preserve of eunuchs. between the 7th and 9th centuries, and they ulti-
The decline of the eunuchs thus was all the more mately disappeared, superseded by the ranks con-
unobtrusive as there were fewer and fewer of ferred by the emperor. This transformation reflects
them to aspire to dignities after the 11th century. the growing focus of the elites on the person of
Under the Palaiologoi, they disappeared from the the emperor [16]. Later, beginning very slowly in
scene altogether. the 10th century and gaining momentum in the
Precedence among the ladies of the court second half of the 11th, the value of the old ranks
depended on the titles held by their husbands. declined and new ranks emerged taking their
Very few of them were granted the highly illus- place [6]. The number of ranks grew so excessively
trious rank of zoste patrikia, ‘girdled patricia’ (i.e. during this second phase (7th–11th cents.) that the
patrician’s wife), seemingly the only titular dignity entire system entered a crisis around 1080, when
available to women in their own right, before it it became simply impossible to dispense all their
fell into disuse in the 11th century. Women eligible rhogai.
for this honour belonged either to the empress’s → Alexios I Komnenos (2.5., 1081–1118) duly
entourage or to the imperial family (especially reformed the unworkable hierarchy of ranks. For-
mothers-in-law of the basileus), and they took pre- merly venerable titles like magistros and proedros
cedence over all other patriciae, who were entitled were now granted (if at all) only to provincial
to use this title merely in their capacity as wives notables and soon fell entirely into disuse. Instead,
of patricii. the sovereign sought to restore the prestige of the
imperial retinue by creating new titles – centred,
C.3. The sale of ranks moreover, on the Greek term sebastós (equiva-
Despite restrictions imposed by emperors lent to Latin augustus), hitherto an attribute of
including Leo VI (886–912), most imperial ranks the imperial dignity itself. The title sebaste had
were also available for sale to whoever could first been bestowed as a gratuity to the emperor’s
1.4. emperor, elite and subjects 130

undisputed mistress, such as Maria Skleraina, such ranks implied, as far as the basileis bestow-
favourite of Constantine IX, who received it when ing them were concerned, recognition of imperial
he ascended the throne in 1042. Sebastos, which authority on the part of the recipient. This did
then appeared in the reign of Michael VII Doukas not, however, make the latter a subject (doulos) of
(1071–1078), thereafter corresponded to the high- the basileus in the strict sense, or at least he nei-
est level of rank, and – another innovation – was ther felt like one nor saw himself as one. Beyond
increasingly reserved for members of the imperial doubt, the act that equated to affiliation with the
Komnenos family, until in the reign of Manuel I empire to a far greater extent was conversion to
(1143–1180) it became the rule that only a Komne- Christianity. Yet even disregarding the fact that
nos (by birth or by marriage) could hold it. This many inhabitants of the empire remained pagans,
was not entirely unprecedented: the very highest Manicheans, Jews, Muslims or whatever else, by
ranks, such as kaisar or nobellissimos, had been no means all Christians, even those who owed
exclusively reserved for the imperial family even allegiance to the Patriarchate of Constantinople,
before 1050. Sebastos subsequently spawned com- recognized the supremacy of the emperor. The
pounds like sebastokrator as a title for the brother payment of → taxes (1.5.) to the agents of the basi-
of the reigning emperor. Despotes, another rank leus, however, constituted undeniable proof of
derived from an imperial title, then evolved during affiliation with the empire.
the reign of Manuel I. It was granted to the son-in- The influx of traders from the Latin West fol-
law of an emperor who, if a male heir was lacking, lowing the signing of the treaty with Venice in 1182
would be regarded as the heir presumptive. introduced a new category of inhabitants. These
The Komnenoi thus imposed a familial system might reside in the empire for short or long peri-
on the hierarchy of ranks, which were measured ods, but they recognized imperial authority only
not by any function associated with them, but in part on the basis of specific agreements with
rather by the proximity of one’s blood relation- their home governments (generally city-states).
ship to the sovereign. No taktikon is preserved Nevertheless, these foreigners were obliged to
from the 12th century, but the surviving lists (by place themselves at the emperor’s disposal if war
name) of dignitaries assembled at synods in Con- broke out. A trend in the opposite direction later
stantinople attest to a system of precedence based emerged under the Palaiologoi, as subjects of the
wholly and solely on kinship. From these, it is pos- basileus strove to attain citizenship in Italian cit-
sible to deduce the order of precedence by birth: ies, especially Vence, but also Genoa, and in many
elder brothers ranked above younger, and the rela- cases sought to transfer their capital there for
tive seniority of nephews depended on the ages of safekeeping. These precautions were not in vain:
their fathers or mothers [15]. Towards the end of before and after 1453, wealthy Byzantines in large
the 12th century, as in the century before, a new numbers succeeded in taking refuge on Venetian
debasement of imperial titles was due, echoing the Crete or even in finding permanent homes in
recently accelerated decline in the value of gold exile, primarily in Italy [12].
coins under the Angeloi. In the end, even ‘grocers’
became sebastoi. Bibliography
The Nicaean interlude (the era of the Empire of
Nicaea and the Latin Empire following the Fourth Sources
Crusade’s capture of Constantinople, 1204–1261) [1] Les listes de préséance byzantines des IXe et Xe
shattered this tradition, not least because of the siècles (Le monde byzantin 4), edited by N. Oiko-
loss of the capital and its imperial palaces, which nomides, 1972 [2] La Notitia dignitatum. Nueva
had provided the requisite justification for this edición crítica y comentario histórico (Nueva Roma
25), edited by C. Neira Faleira, 2005 [3] Pseudo-
kind of focus on hierarchy. The eventual return Kodinos, Traité des offices (Le monde byzantin 1),
to Constantinople did not bring about its restora- edited by J. Verpeaux, 1966.
tion in a real sense. In the diminished empire of
the Palaiologoi, the agglomeration of offices and Secondary literature
ranks continued to accelerate, and kinship issues [4] M. Angold (ed.), The Byzantine Aristocracy,
had to be taken into account alongside the old IX to XIII Centuries (BAR International Series 221),
offices and titles in apportioning them, as the 14th- 1984 [5] J.-C. Cheynet, Dévaluation des dignités
century ‘Book of Offices’ (De officialibus Palatii et dévaluation monétaire dans la seconde moitié du
Constantinopolitani et officiis magnae ecclesiae) of XIe siècle, in: Byz 53, 1983, 453–477 (reprinted in: J.-C.
Pseudo-Kodinos reveals [3]. Cheynet, The Byzantine Aristocracy and its Military
Function, 2006, VI) [6] J.-C. Cheynet, The Byz-
antine Aristocracy and its Military Function, 2006
D. Subjects of the emperor [7] G. Dagron, Nés dans la pourpre, in: TM 12, 1994,
The system of honorific titles also spread 105–142 (reprinted in: G. Dagron: Idées byzantines
beyond the frontiers of the Byzantine Empire and (Bilans de recherche 8), vol. 2, 2012, VI, 445–486)
proved its worth in neighbouring states. Accepting [8] R. Delmaire, Les institutions du Bas-Empire
131 1.5. public finances and taxation

romain de Constantin à Justinien. Les institutions an agent of the praetorian prefect (vicarius). The
civiles et palatines, 1995 [9] P. Grierson, Cata- dioceses were subdivided into provinces ruled by
logue of the Byzantine Coins in the Dumbarton governors. The lowest administrative unit was the
Oaks Collection and in the Whittemore Collection, city (Latin civitas/Greek polis) with its attendant
vols. 2–3, 1968–1973 [10] R. Guilland, Recherches
sur les institutions byzantines (BBA 35), 1967 [11] J.
territory (territorium). It was here that the tax
Herrin, Women in Purple. Rulers in Medieval Byz- yield was defined and locally collected.
antium, 2001 [12] D. Jacoby, Les Vénitiens naturali- Many different kinds of tax were imposed. The
sés dans l’Empire byzantin. Un aspect de l’expansion most important to be raised regularly was the land
de Venise en Romanie du XIIIe siècle au milieu du tax. It was generally collected in monetary form,
XVe siècle, in: TM 8, 1981, 217–235 [13] A. P. Kazh- but sometimes also in kind as grain or other food-
dan / M. McCormick, The Social World of the stuffs, which would then be distributed through a
Byzantine Court, in: H. Maguire (ed.), Byzan- gigantic network of state depots. Access to these
tine Court Culture from 829 to 1204, 1997, 167–197 depots was afforded to the army and civil admin-
[14] P. Lemerle, ‘Roga’ et rente d’État aux Xe–XIe siè-
istrators, much of whose income was paid out
cles, in: REB 25, 1967, 77–100 (reprinted in: P. Lemerle,
Le monde de Byzance. Histoire et institutions, in the form of such rations (annonae). Although
1978, XV) [15] P. Magdalino, The Empire of Man- these payments might also be converted to cash,
uel I Komnenos, 1143–1180, 1993 [16] M. Nicha- the government always reserved the right to raise
nian, La distinction à Byzance. Société de cour et taxes in kind, especially where they were needed
hiérarchie des dignités à Constantinople (VIe–IXe for military purposes.
siècle), in: C. Zuckerman (ed.), Constructing the On the diocesan and especially provincial lev-
Seventh Century (TM 17), 2013, 579–636 [17] N. els, the prefectures were also responsible for the
Oikonomidès, L’évolution de l’organisation admin- public post (cursus publicus/dromos), state weap-
istrative de l’Empire byzantin au XIe siècle (1025–1118), ons manufacture and provincial infrastructure.
in: TM 6, 1976, 125–152 [18] S. Tougher, Imperial
Families. The Case of the Macedonians (867–1056),
Special taxes were imposed on the entire popu-
in: L. Brubaker / S. Tougher (eds.), Approaches lace or on specific groups as needed for the main-
to the Byzantine Family (Birmingham Byzantine and tenance of roads, bridges and grain stores and
Ottoman Studies 14), 2013, 303–326. for recruiting technical expertise (see below, D.)
[11vol. 1, 366–454]; [2539–50]; [13162–169].
Jean-Claude Cheynet The other financial authorities (sacrae lar-
gitiones and res privata) had evolved out of ear-
1.5. Public finances and taxation lier institutions of the Roman Empire, and their
duties were more circumscribed. The responsibili-
A. Introduction: the late Roman system ties of the sacrae largitiones included mined metal
B. Developments after the 6th century ingots, coinage, government clothing workshops
C. End of the Middle Byzantine system and the disbursal of military donativa (regular and
D. Fixing and collecting taxes extraordinary allowances payable in cash, e.g. to
E. General trends in fiscal policy mark the emperor’s birthday or accession). Each
F. Revenue and expenditure diocese had local branches of the sacrae largitio-
nes, and its representatives in the towns and prov-
A. Introduction: the late Roman inces managed the incomes of imperial estates
system (after the mid-5th century) and other revenue
The main task of the late antique and Byz- streams, e.g. from payments in lieu of military ser-
antine administrative apparatus was to set, col- vice or of providing horses for the army.
lect and allocate all forms of taxes, to ensure the The res privata, headed by a comes, was essen-
proper function of the state. The annual volume of tially responsible for managing lease revenues
taxes fluctuated with the external political situa- from imperial estates, and other payments aris-
tion and internal needs. Three authorities oversaw ing from confiscations, private bequests or gov-
public finances in the 6th century: the praetorian ernment exaleimma provisions (i.e. dealing with
prefecture, the ‘sacred largesses’ (sacrae largitio- abandoned land). The spectrum of responsibili-
nes) and the ‘private domain’ (res privata). ties was thus just as complex as that of the sacrae
Of these, the most important institution was the largitiones, and it was divided among a number
praetorian prefecture. It set, collected and distrib- of departments, each with its own remit. Dur-
uted the land tax. → Justinian’s (2.3.) campaigns of ing the 6th century, responsibilities were divided
reconquest (ca. 530–550) led to the establishment into the administration of income for government
of four such prefectures responsible for the Oriens purposes, on the one hand, and for the imperial
(the ‘East’), Illyria, Italy and Africa respectively. household on the other, for which a new author-
Each of these prefectures was in turn divided ity established: the patrimonium [11]; [10395–420];
into dioceses (Latin dioeceses), each headed by [1170–181, 193–203].
1.5. public finances and taxation 132

B. Developments after the independently under their own managers. Even

6th century the public post, which had been subordinated to
Further changes were made to the largitiones the magister officiorum as head of all state authori-
and res privata over the course of the 6th century. ties, gained independence under its own logothete.
The estates managed by the res privata were orga- Other departments formerly part of the impe-
nized into five independent sections (including the rial household (including the sacrum cubiculum/
original res privata), competence over which var- eusebestaton koiton, the ‘imperial bedchamber’)
ied according to the type of property and expendi- were repurposed as special treasuries and store-
ture level. In the case of the largitiones, the original houses for particular government needs, while
administrative duties of the dioceses were increas- the ‘bedchamber’ itself gradually acquired its
ingly performed on the level of the praetorian pre- own independent, personal, imperial treasury
fectures, a development that accelerated further in for household expenditure. Finally, provincial
the 7th century. Herakleios centralized the minting finances and the coordination of military and fis-
of coins in the late 620s, closing all mints except cal measures fell within the purview of the proto-
those at Ravenna, Carthage, Alexandria and Con- notarios, a position that first emerged in the early
stantinople. The sacrae largitiones lost its status as 9th century and that was answerable to the cen-
an independent authority between 620 and 640. tral financial authority of the sakellion [418–20, 36–114];
During the same period, the praetorian prefec- [10424–429, 619–662]; [8180–207].
ture of Oriens was decentralized (that of Illyria
had already been lost as the Balkans largely C. End of the Middle Byzantine
slipped from the empire’s control); all subordinate system
authorities in it became independent units led These structures remained in place with only
by financial officials (logothetai). Each logothetes minor changes until the late 11th century, when it
operated as a chief official and in turn answered became increasingly common for a single official
directly to the sakellarios and thus ultimately to to take overall responsibility for setting and col-
the emperor himself. The political changes of the lecting taxes. This official, the praktor (originally a
7th century, which inflicted gigantic territorial low-ranking case officer), effectively became a tax
losses and financial crisis on the empire, also led farmer in the 12th century. Together with another
to a structural change in the fiscal organization. tax appraiser (the apographeus), he was responsi-
A new group of provincial tax officials (dioiketai) ble for preparing detailed registers of taxable land.
was now made responsible for collecting taxes. These registers were compiled in a praktikon, an
Tax yield was calculated and verified by epoptai account of the taxes owed to each fiscal authority
und exisotai (responsible for estimating and col- or group and of the financial obligations of tenants
lecting taxes respectively), who in turn were under to landowners.
the directorial authority of the genikon logothesion Following a catastrophic period of inflation
(general tax office), the direct successor to the and debasement in the 1060s, → Alexios I Kom-
central financial office of the former praetorian nenos (2.5.) reformed the financial administration
prefecture of Oriens. by implementing a series of measures at the cen-
Changing conditions are betrayed in the role tre and in the provinces, beginning in the 1090s
of the sakellarios, the senior official supervising and continuing into the first decade of the 12th
the finances of the imperial household. His close century. The central authorities acquired new
collaboration with the emperor and his household department heads: the logothetes of the sekreta
proves that a process of centralization was under- (‘departments’), responsible for overall manage-
way as the emperor took a far more active role, ment, the megas logariastes, overseeing the tax
reflecting the critical financial and political posi- administration, and the megas logariastes of
tion of the empire in the years after 640. the imperial domains, who was also responsible
Historical sources begin to give clear descrip- for associated institutions (including charitable
tions of the new financial structures in the mid- foundations).
9th century. A logothete of the central financial All land taxes were now set anew, and the coin-
authority (genikon logothesion) was responsible age system was redesigned. Larger quantities of
for the land tax and associated expenditure. In low-denomination coins were issued to satisfy ris-
the same way, an authority responsible for mili- ing demand for precious-metal coins in business
tary finance (stratiotikon logothesion) managed and everyday life [20]; [996–102, 105–114]; [2285–121, 143–145];
recruitment, recruit muster rolls and soldiers’ pay, [241019–1026].
while another authority, the idikon (a special logo- Profound changes came in resource manage-
thesion), oversaw the financial management of ment over the course of the 12th century with
the armaments system, the imperial factories and the expansion of the pronoia (literally ‘provision’,
a plethora of related fields. The various authorities ‘care’), whereby the government conferred on
formerly belonging to the res privata now acted individuals the right to collect revenues within a
133 1.5. public finances and taxation

certain tax district. This right could also apply to concerned into production, it was also liable to
the yields of particular imperial estates and their cover the shortfall that had arisen from the relief.
lessees, together with a share – or the entirety – of Meanwhile, cities were also losing their role as the
lease revenues and taxes due. Grants of this kind principal agents of tax collection, as the job was
were made for a variety of reasons, but most fre- largely passed on to provincial imperial officials
quently the pronoia was offered as a reward for and village communities [1289 ff., 95–100, 186 ff.]; [2224–41,
military service. This was a fateful innovation: for 46–66]; [16279 ff.].

the first time, tax revenues were now being alien- After the 7th century, annual taxes were no
ated (albeit for limited periods), marking another longer set as a total sum derived from the needs
step on the road from absolute to decentralized of the state budget, but instead were based on the
state power. The issuance of pronoia licences was producers’ actual ability to pay. This demanded
initially limited to members of the extended fam- precise record-keeping and proof of ownership,
ily of the Komnenos Dynasty, although Manuel I as a result of which the Byzantine Empire devel-
(1143–1180) was already somewhat freer in award- oped one of the most advanced systems of land
ing them. registration and tax assessment of the Middle Ages
Licences began to be issued on a larger scale and one of the most advanced bureaucracies for
after 1204, following the conquest of the Byzan- managing it. The abolition of the link between
tine Empire by the forces of the Fourth Crusade land and poll taxes also fits this picture. In place
under Frankish and Venetian command, which of the joint capitatio-iugatio assessment, the land
heralded the introduction of western feudal tax (kanon) was now treated as a separate item,
structures to many spheres of Byzantine life. This while the kapnikon (‘hearth tax’) was introduced
indisputable influence on Byzantine systems may for every household to replace the capitation tax.
have catalysed the spread of the pronoia across These changes do not seem to have taken place
a broader spectrum. Grants were now made in overnight – no imperial law specifies the hows or
large numbers, not only to individuals, but also to whens – but they were certainly in place by the
groups (albeit sometimes offering only very small mid-9th century, and probably had been for some
returns), although the emperor always reserved time.
the right to withdraw them. It was very rare for In addition to the ordinary taxation of land, a
the pronoia to become a truly hereditary privilege gamut of extraordinary taxes and service obliga-
[22153–224]; [17]; [12359–373]. tions was also introduced, including obligations
to billet soldiers and officials, to maintain roads,
D. Fixing and collecting taxes bridges and fortifications and to supply or manu-
Maximizing tax revenue was a fundamental facture a broad spectrum of essential goods like
principle of the late Roman and Byzantine finan- charcoal and firewood. This process continued
cial system. Until the mid-7th century, this was uninterrupted through the Middle and Late Byz-
done by tying land – assessed by area, fertility and antine periods, and the original Latin terms were
cultivated product – to the labour force accord- generally replaced with Greek or Hellenistic ones.
ing to a formula that served as the basis for what Certain types of land, however, were spared many
was known as the capitatio-iugatio system. Land of these taxes, especially land belonging to or
that was not used for arable farming or grazing inhabited by soldiers (→ 6.6. Soldiers and gener-
was not directly taxed. Land that was listed in the als) and employees of the official post service. In
tax register but not worked was assigned to neigh- both cases, the rationale for the exemptions was
bouring landowners in the calculation process by the traditional privilege for service along with the
means of a procedure known as adiectio sterilium fact that to some extent these groups relied on
(‘addition of the unproductive land’). The tax bur- their property to fulfil their duties [9102–111]; [2276 ff.];
den was recalculated at intervals, in theory every [8173–207]; [2].
five years, then every fifteen years, but in practice An important and comparatively radical fis-
far less regularly. cal innovation that was intended to support and
A number of changes came in the 7th and 8th supply the provincial army more efficiently was
centuries. Each tax district was now expected to introduced in the reign of Nikephoros I (802–811).
collect a tax yield that was determined in advance. Provinces where army units were stationed now
It had to be paid by the entire body of taxpayers, acquired more formal structures of financial
who were liable as a group for any deficit. Each administration headed by a protonotarios. This
tax district – effectively the local community – official supervised tax collection and worked with
also bore collective responsibility for paying taxes military representatives to ensure that the troops
on land that belonged to its territory but for what- were properly supplied and maintained. This was
ever reason was not tilled. Tax relief could be now achieved by means of direct contributions
sought and granted for hardship cases like this, from each financial district (i.e. every village from
but if the community subsequently took the land which soldiers were recruited or conscripted).
1.5. public finances and taxation 134

Local taxpayers now had to pay a sum to help tled peasantry. Social divisions were thus becom-
maintain and equip the soldiers in their tax dis- ing more and more pronounced, having begun
trict. As was already the case in the civil sphere, to grow in the Middle Byzantine period with the
they were also now liable as a group for any failure emergence of an → elite (1.4.) that developed little
to pay. by little into a hereditary noblesse de robe.
Military provinces of this kind later became Towards the end of the 9th century, the system
known as themata (‘themes’), a term that refers to of shared community responsibility for unworked
the ‘placing’ (Greek: thesis) of soldiers at a location agricultural land had changed insofar as it some-
or of the financial deposits for their maintenance. times was not necessary to pay tax on such land
From now on, local authorities and taxpayers (which was called klasma), but rather it could be
rather than central government assumed the removed from the financial district and managed
entire burden of maintaining the provincial armies separately, or else be subject to special tax reliefs
(→ 6.2. Society and war A.). In a further develop- (sympatheia). These measures appear to have been
ment of these measures during the 10th century, designed to achieve the closest possible control
the land ownership of registered soldiers was for- over taxable land resources and doubtless formed
mally associated with the obligation of military part of the abovementioned changes in regard
service, but even as this change took effect, that to land ownership and military service. During
obligation was in the process of being replaced by the same period, however, the imperial govern-
the alternative of financial contributions, which ment also sought to secure its fiscal foundations
the state then used to recruit and maintain a pro- and compete with powerful elites. It therefore
fessional army of mercenaries from within the began to transform taxable land into public land,
empire and abroad [3744–755]; [820–41]. with the result that in many respects, it now was
impossible to distinguish income from govern-
E. General trends in fiscal policy ment leases, where the state was the landowner,
The Byzantine state thus relied on a combina- from tax revenues.
tion of monetizable requisitions and service obli- The elaborate interplay between these changes
gations to carry out particular tasks. Obligations and the new form of military service for landown-
were imposed on certain communities for the ing soldiers (and the possibility of substituting a
upkeep of post stations, for instance, in much the financial payment for that service) and the assig-
same way as for military service [7]. Although nation of the right to collect taxes through the pro-
the regular land tax and associated hearth tax con- noia system shows the complexity of the processes
stituted the basis of the taxation system even after through which the court attempted maintain con-
the 7th and 8th centuries, complications arose trol over its financial foundations. Although the
from the proliferation of additional and occasional development of the pronoia created a new way
charges. Apart from the aforementioned irregular of redistributing resources, it also encouraged an
demands for payments in kind and services, tax overlap between ‘state’ land and ‘fiscal’ (i.e. pri-
officials continually added extra burdens to their vate) ownership [17].
demands. This was done in the form of fees for The government succeeded in achieving some
services rendered or claims for hospitality (which measure of effective control over its tax resources
could be converted into cash payments), and the by the end of the 12th century. By now, however,
system developed far-reaching ramifications. By the aristocracy that had already posed a challenge
the mid-11th century, these additional charges rep- to the state in the 10th century had grown even
resented a far greater percentage of public reve- more powerful. Members of this elite began occu-
nues than taxes calculated in the regular way. The pying the imperial throne in the late 11th century.
debasement of precious-metal coins as a result Their power depended largely on their ability to
of the corruption of the bureaucracy, however, sustain a system of family alliances within the
brought this system to the verge of collapse. group, for instance by marriage or the allocation
It was not until the early 12th century that of governorships. Particularly after the catastrophe
inflationary pressure and the complexity and of 1204, the delegation of imperial power became
ad hoc nature of the old system compelled Alexios the main instrument whereby the imperial gov-
I to introduce major reforms. The existing charges ernment and administration could mobilize
were reduced to a reasonable number, standard resources. Although central taxation – through the
rates were set and the bureaucracy was slimmed land tax and related duties – still constituted the
down. The wealthy and powerful classes, however, basis for public finance, trade also was beginning
were increasingly successful in obtaining exemp- to play a greater role as the territory of the Byzan-
tions for themselves and their land from many tine Empire dwindled. The dominance of the Ital-
tax obligations, meaning that the main burden of ian merchant fleets and navies, however, already
state demands now fell on the ever more embat- set limits to this [19].
135 1.5. public finances and taxation

The fact that commercial duties (kommerkion) to these expenditures, there was also the cost of
represented a more important source of revenue maintaining other government authorities at Con-
than the yields from land taxes in the last century stantinople and in the provinces [10181–201].
of the Byzantine Empire throws into sharp relief Contingents assembled for military campaigns
the intractability of the problem the emperors often also represented a heavy financial burden
faced in this final phase. Yet even while the empire for the state and hence the population. Conserva-
as a whole was in constant flux and its territories tive estimates suggest that the campaigns in Syria
shrank dramatically after the early 13th century, (910–911) and Crete (949) cost over 203,000 and
the basic functions of the administration, calcula- 127,000 nomismata respectively. Other expeditions
tion and collection of taxes remained intact until were even more costly. The campaign against the
the very end. This, without doubt, was one of the Normans in Sicily, for example, devoured 2,160,000
key factors underlying the empire’s longevity [18]. hyperpyra [10221–223]. The imperial court paid sub-
stantial amounts to foreign rulers in exchange for
F. Revenue and expenditure their support or neutrality, as coin hoard finds dat-
The lack of quantitative data hampers an ana- ing from the 7th and 8th centuries, unearthed in
lytical reconstruction of the empire’s tax revenues. the steppes and the regions north and northwest
An estimate for the Eastern Roman Empire in the of the Danube, attest [241016]; [14692 f.]; [5].
6th century, including the prefectures of North Investments were also made in the complex
Africa and Italy, puts the monetary value of all tax system of rhogai, state pensions graded accord-
proceeds at 5–6 million solidi, much of it coming ing to rank and title within the palace hierarchy.
from Egypt and the prefecture of the East (Oriens). According to a realistic assessment, expenditure
When the eastern provinces were lost in the mid- for the salaries of the sixty most senior impe-
7th century, income collapsed to 1.5 million solidi, rial officials at the court and in the provinces in
only slowly recovering to around or a little over the 10th century amounted to between 60,000
3 million by the mid-9th century [10157–173, with and 70,000 nomismata per annum. Around two
173–201]; [21936–946 with table 6]. Tax revenues may have or three times as much as this amount may also
reached around 60% of the 6th-century total by have been set aside for the rhogai of the holders of
the mid-12th century, but further territorial losses imperial ranks [241010 ff.]; [23202 f.]. Efforts were made
then saw them decline to less than 25% of this to regulate the sale of honorific titles in the early
sum by the mid-14th century. 10th century, but in the end it proved too costly.
These are rough estimates, to which addi- As the situation became unsustainable, rhogai
tional revenue in the form of payments in kind for honorific imperial titles were abolished in the
and services to the state should be added. On the reign of Alexios I [23207 f.].
whole, such calculations need to be treated with Few emperors managed to amass substantial
the utmost caution. They reflect only whatever monetary reserves: Theophilos is said to have left
can be deduced from a combination of inferences almost 7 million nomismata in 842, and → Basil II
from the analysis of coin dies and their rates of (2.4.; 976–1025) accumulated more than 14 mil-
manufacture, textual references and mathematical lion, most of it plunder from his campaigns in
models of economic indicators for preindustrial the east and Bulgaria, as well as confiscations and
financial systems. tribute payments from neighbouring protector-
Calculations of imperial expenditures har- ates [241016–1018]. State income remained more or
bour similar risks of error, although the military less in step with expenditure, which also included
and related costs swallowed up the lion’s share the enormous sums ploughed into equipping the
of annual revenue [10158 f., 168–172]; [241010–1016]. The military on campaign, maintaining the state cou-
court spent money on construction projects, on rier and transportation services and various other
generous payments to the military and on subsi- forms of support in kind already discussed. Finally,
dies to neighbouring and distant states. Military none of these calculations and estimates reflects
payments in particular were often substantial. the gross domestic product of the empire. Consid-
The wages for the Armenian theme (Armenia- erable quantities of tax revenue went to private
kon thema) in the early 9th century, for example, individuals and institutions like monasteries and
amounted to around 93,600 nomismata, and those the Church. The state’s income formed only part
for the Macedonian theme to 79,200 nomismata. of the entire wealth generated through agriculture,
At this period, there were at least twelve such mili- trade and industry. Moreover, the state sector of
tary provinces of differing sizes (the Armenian and the economy remained in many respects separate
Anatolian were especially large and costly), but from, albeit not independent of the economic
these sums are indicative. There were also units activities of society as a whole [10]; [21]; [14]; [24].
of highly paid professional and elite soldiers (tag- Maps: Maps 1–4, Map 6, Map 11; BNP Suppl. 3,
mata) that were maintained centrally. In addition 239, 251
1.5. public finances and taxation 136

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[2] W. Brandes, Finanzverwaltung in Krisenzeiten. tory of Byzantium. From the Seventh through the Fif-
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From the Seventh through the Fifteenth Century
2. State and politics
2.1. The Byzantine view of the state: the state and Empire was held in the states of Latin Europe is
the imperial monarchy reflected in frequent references to diplomatic
2.2. Portrait of an emperor: Constantine I traffic in both directions in contemporary Latin
2.3. Portrait of an emperor: Justinian I sources (on embassies see [55]; [60]).
2.4. Portrait of an emperor: Basil II There was, in fact, no break between Rome and
2.5. Portrait of an emperor: Alexios I Komnenos Byzantium. The Roman Empire resided at → Con-
2.6. Portrait of an emperor: Manuel II Palaiologos stantinople (8.10.) without interruption until the
conquest of the city by the crusaders in 1204, and
2.1. The Byzantine view of the state: the state then again from 1261 until the fall of the empire
and the imperial monarchy in 1453 [33]. Although he no longer ruled over the
entire Roman Empire as it had been, the emperor
A. On the Byzantine view of the state still controlled a substantial portion of it, even if
B. State and society that territory steadily shrank over time. The same
continuity is apparent in the institutions and espe-
A. On the Byzantine view of the cially the ceremonial of the imperial monarchy. Of
state course, ‘Rome’ here no longer meant the Repub-
lic or even the Principate of the 1st century, but
A.1. Byzantium as the continuation of the Roman rather the Empire of the 4th and 5th centuries, by
Empire which time the emperors had accepted Christian-
A.2. State and emperor ity and altered their rule accordingly. This form
of government evolved further during the Byzan-
A.1. Byzantium as the continuation tine period, and Byzantine society also changed
of the Roman Empire (→ 1. The idea of empire and emperor). A Roman
It is often claimed in the literature that Byzan- of the age of Augustus (31 bc–ad 14) or even Con-
tium was the successor state to the Roman Empire. stantine I (306–337) would undoubtedly have had
As far as the Byzantines were concerned, it was great difficulty finding his bearings in the Byzan-
nothing of the sort: Byzantium was Rome, the tine Empire of the late period (1204–1453), but so
Byzantines were Romans (Greek Rhōmaîoi), their too would a citizen of the Roman Republic trans-
ruler was the Roman emperor (basileùs Rhōmaíōn) planted to the reign of Constantine I. Continuity
and their state was the Roman Empire (basileía per se was nonetheless present.
Rhōmaíōn). The continued existence of Rome in
Italy had no bearing on this, although Rome was A.2. State and emperor
certainly the only city capable of competing to any Monarchy was the dominant form of govern-
extent with Constantinople, the ‘new Rome’ (néa ment in the Middle Ages, with only a few excep-
Rhṓmē). This view continued to define Byzantine tions, such as the Italian republics of Venice, Pisa
thought until the fall of the empire in 1453. Even and Genoa, which as small city-states were not
in the 14th century, by which time Byzantium and comparable with the larger territorial polities.
Constantinople were no more than shadows of The conditions in which monarchies operated,
their former splendour and grandeur, not a single however, differed widely, so that there was little
Byzantine would have acknowledged that their uniformity. The status of the Byzantine basileus or
claims no longer had any basis in reality, if that emperor, however, raised him (in his own estima-
was ever the case (on the consequences of the tion and in the opinion of his subjects) far above
transfer of the imperial capital to Constantinople the level of an ordinary medieval ruler. This too
see [26]; [42]; on the Byzantine view of Constanti- was a Roman legacy: the princeps had enjoyed
nople in particular, cf. still [30]). divine honours, initially after his death, and later
In some ways, this concept also determined the even during his lifetime. After the emperors con-
Byzantines’ behaviour towards other realms near verted to Christianity, it was of course no longer
and far, which they essentially did not see as their possible to consider the ruler equal to God. The
equals (→ 15. Byzantines and the outside world). difficulty was resolved by according the emperor
This can be seen, for instance, in the simple fact a unique status as the elect of God that elevated
that Byzantine sources before the 12th century him far above all other mortals.
rarely mention embassies to or from Byzantium, Even this ideological position was not a Byz-
whereas the high regard in which the Byzantine antine invention, but rather had its roots in the
2.1. the byzantine view of the state: the state and the imperial monarchy 138

Roman period. Evidence is already found in the empire might descend into domestic and foreign
New Testament, e.g. Christ’s famous instruction, chaos, as happened many times.
‘Render therefore unto Caesar the things which Although the emperor was not synonymous
are Caesar’s’ (Mt 22,21), or Paul’s letter to the with the empire, he did, as basileus, in a sense
Romans: ‘Let every person be subject to the gov- embody the basileia Rhomaion. Accordingly,
erning authorities; for there is no authority except he united the legislative, judicial and executive
from God, and those authorities that exist have branches in his own person – far more so than in
been instituted by God. Therefore whoever resists other monarchies. This was largely a consequence
authority resists what God has appointed’ (Rom of the imperial ideology outlined above, whereby
13:1–2). Doctors of the Church frequently empha- the emperor was viewed as standing above all
sized the great authority of the emperor. Even others. In theory at least, the emperor was liter-
Tertullian, writing in the 2nd century (i.e. when ally autonomous from the moment of his corona-
the Christians were still being persecuted), wrote, tion: chosen by God, he answered to none of his
‘Thus we honour the emperor insofar as it is per- subjects.
mitted to us and useful to him, as a man who is The logical conclusion of this was that an
second after God, who has received all that he has emperor was never bound by the prescriptions of
from God, and who is less only when measured his predecessors. Every emperor began anew, as it
against God. And this will be as he himself wishes were from zero. Nor was his selection dependent
it. For thus, as lesser only than the true God, is he on any dynastic or other rules: it was confirmed
greater than all others. And he is greater even than solely by his successful coronation in Constantino-
the gods themselves, they themselves being under ple. This was the theory. In practice, of course, its
his authority’ (Tertullian, Ad Scapulam 2, [2959]). force varied depending on the current occupant of
The Christian emperors consistently asserted the throne (on the relationship between emperor
this unique status. → Constantine I (2.2.), who and state, [14]; [15] remain seminal).
waited until the end of his life to be baptized, The emperor’s strong position was also a prod-
already exemplified this claim, having himself uct of social conditions. Although the Byzantines
declared as ‘equal to the Apostles’ (isapostolos) were familiar with the inheritance of private
or even ‘equal to Christ’ (isochristos; cf. [43]). In assets, the association between family property,
this view, the Byzantine emperor was superior not military resources and judicial elements that was
only to other people, but also to the ecclesiastical commonplace in the Germanic kingdoms did not
hierarchy. Although the Church constantly dis- develop in Byzantium – if at all – until the last two
puted this, it also acknowledged the special role centuries of its history, as the decay of the empire
of the emperor, as can be seen, for instance, in made it possible for independent sub-kingdoms of
a remark by Patriarch Polyeuktos (10th century) this kind to emerge. These peculiarities also meant
to the effect that the imperial coronation, like that Byzantium had no persistent shadow regimes
anointment at baptism, wiped away all sins com- like those that occurred in the Frankish Empire,
mitted before it ([2vol. 3, 44]; cf. [53136]). Polyeuktos for instance, when in the late 7th and early 8th
here was defending himself against the accusation centuries the Merovingians occupied the throne,
that in crowning the usurper John I Tzimiskes, but real power lay with the Carolingians (until
he had crowned a murderer, given that John had they finally won the throne as well, in 751). Such
killed his predecessor Nikephoros II Phokas with a position was impossible in Byzantium, not least
his own hands. In his defence, Polyeuktos cited because every successful usurpation created new
a relevant passage from the acts of the Synod of conditions, often including the redistribution (or
Ancyra of 358. even overturning) of social and political balances
In principle, the emperor’s divinely privileged of power in the empire and especially at Constan-
status made any uprising against him and his rule tinople (on the problem of usurpation, cf. [52]).
a grave sin, because such acts constituted a revolt The emperor determined the immediate des-
against the will of God. This imperial ideology tiny of the empire to such a degree that his indi-
can thus also be seen as a strategy to safeguard vidual ‘signature’ was far more prominent than one
the state. In practice, however, its influence was might expect in a ‘normal’ monarchy. This chapter
neutral; as the example of Polyeuktos in particular will therefore also present, by way of example,
shows, even a successful usurpation followed by portraits of a number of emperors who reigned at
a coronation must necessarily reflect the will of important turning points of the empire’s history in
God. Ultimately, the only question was whether an order to shed more light on the disparity between
emperor could impose his authority while on the the literal implications of ‘personal rule’ and de
throne and keep competing social forces in check. facto dependency on prevailing conditions (cf. the
If he could, he could expect a long reign. If not, the emperor portraits below).
139 2.1. the byzantine view of the state: the state and the imperial monarchy

B. State and society but was soon overthrown (on Aspar see [10vol. 2,
164–169];
[25]).
B.1. Emperor and aristocracy: Constantinople Although belonging to the nobility made it eas-
and the provinces ier to enter public service and certainly improved
B.2. Church and state career prospects, on no account did it guarantee
B.3. Foreign policy success. There was also the constant threat of los-
B.4. State and Christian mission ing one’s property and status as a result of one of
B.5. Arch-enemies the many turns of the political or religious tide. It
was certainly crucial to opt for either a civil or a
B.1. Emperor and aristocracy: military career, for the two spheres were relatively
Constantinople and the provinces strictly segregated at this period.
While the aristocracy was closely involved with
B.1.1. The Early Byzantine period the → government (5.2.) of the empire, the middle
B.1.2. The Middle Byzantine period until the and lower classes had no particular role. For the
mid-9th century emperors, the main consideration was to keep
B.1.3. The Middle Byzantine period after the these sections of the population under control. At
mid-9th century Constantinople, this meant among other things
B.1.4. The Late Byzantine period distributing food and putting on spectacular
events in the Hippodrome. In the provinces, state
B.1.1. The Early Byzantine period control was probably most effective in the finan-
It is a truism that every state is ultimately a cial sphere, as the central government compelled
product of the society that inhabits and adapts it local dignitaries to contribute more to the admin-
to its own needs. This process, however, goes in istration and the maintenance of urban resources.
both directions, for once the state organization This group found itself in an economic plight as a
is established, its representatives in turn strive to result, especially in the difficult economic climate
influence and shape society to their own benefit. of the 6th century, and its status and finances
This means that some parts of society benefit more began to slide. The catastrophes of the 7th cen-
from the state, and identify more strongly with it, tury (see below, B.1.2.) led to their virtual disap-
than others. The main beneficiaries in medieval pearance, as far as can be gathered from the sparse
states tended to be the aristocracy, although this source materials [34]; [22].
term does not necessarily reflect a fully homoge- Even in the Early Byzantine period, Constan-
neous group (→ 1.4. Emperor, elite and subjects B.). tinople, being the capital city where the emperor
The structures and the interests that guided and patriarch resided, was already the secular and
the Byzantine aristocracy certainly varied over the spiritual centre of the empire, although its domi-
course of its history (on the aristocracy, [12] is still nance was not yet overwhelming. Economically
standard). During the Early Byzantine period, the speaking, Egypt was stronger, and metropolises
aristocracy consisted partly of the old senatorial like Alexandria and Antioch on the Orontes had
families that Constantine I had compelled to move their own considerable auras. At all events, the
from Rome to Constantinople, partly of high civil empire before the 7th century was certainly more
and military officials of the imperial administra- urban than it subsequently became. Although the
tion and partly of the senior clergy. The senato- economic situation was slowly deteriorating, there
rial nobility was hereditary, but the bureaucracy was nothing that foreshadowed the catastrophes
and clergy offered prospects of advancement to of the 7th century, which would lead to the gen-
newcomers. The military in particular was domi- eral collapse of the Early Byzantine political and
nated at times by non-Byzantines, such as the economic systems [22].
Goth Gainas (ca. 400) and the Alan Aspar (consul
in 434) in the East; and Stilicho, son of a Vandal B.1.2. The Middle Byzantine period
and regent of the Western Empire from 395 to 408. until the mid-9th century
For the emperor, choosing a wild card with no ties The structure of the state and → society (3.)
to established society offered a way of disrupt- changed fundamentally in the Middle Byzantine
ing established hierarchies, which improved his period, as a result not so much of domestic con-
chances of imposing his authority. Of course, there ditions as of foreign attacks. Even here, though,
also was a danger under a weak emperor that the person of the reigning emperor also played an
imperial control might be reduced, but such situa- important part and should not be underestimated.
tions rarely lasted for long. For example, although This is seen clearly in the example of Phokas (602–
Aspar dictated politics for several decades during 610). Not only was Phokas the first emperor since
the 5th century, his son and successor Ardabur Constantine I to come to the throne as a usurper,
was unable to continue his work after his death, but he had also done so by overthrowing and
2.1. the byzantine view of the state: the state and the imperial monarchy 140

killing the reigning emperor Maurice (582–602), lost its erstwhile economic basis. Aristocrats either
another act not seen for centuries. Furthermore, lost their lands entirely, or else the shortage of
he did not belong to the ruling elite, nor had he labour and general insecurity of the 7th and early
merged into it over the course of his career. He 8th centuries made it impossible for them to earn
really did come ‘from below’, making his leap to enough from them to sustain their old lifestyle. As
the throne as a junior officer in the Danube army. a result, the ruling class became increasingly con-
This meant that once emperor, he found it diffi- centrated at Constantinople, the only place in the
cult to adapt to the exigencies of protocol and to empire that offered a reasonable degree of security
conduct himself in a manner befitting the position (cf. the survey in [53117–122]).
of emperor. The aristocracy of the Early Byzantine period
Phokas thus seems to have disrupted the certainly did not disappear entirely, but it under-
tacit consensus between the state and the rul- went profound change. This process ultimately
ing class. Although the hostility of the sources reshaped society, which now became far more
is problematic (most rely on the propaganda of focused on the imperial court and state institu-
Phokas’ successor Herakleios (610–641), they still tions. Whereas a wealthy family before the 7th
give the impression that Phokas had considerable century could have existed at some distance from
difficulty imposing his authority as emperor, not political events, it would find it increasingly dif-
least outside the capital. By virtue of his office, he ficult to do so in the Middle Byzantine period.
embodied the apex of the social pyramid, but as a State institutions now effectively constituted the
person he was unable to live up to this function. In essential basis for private existence. Only a posi-
this respect, he damaged the consensus between tion in the civil or military administration offered
the state, which he as emperor represented, and any security. This is one reason why some fami-
the ruling class. Significantly, Herakleios, who lies appear to have stayed attached to the same
deposed Phokas by force, addressed this dissent by administrative responsibilities over generations,
deliberately celebrating the tradition of Maurice, although it is difficult to assess how widespread
whom Phokas had overthrown, and recalling the the phenomenon was; the lack of family names
old elites (on Phokas see [63]; general [34]). during this period makes it almost impossible to
The old order, however, could not be restored, create complete genealogical trees. One example
but this was mainly because of external events. of such a family is that of Theodoros Studites (The-
During Phokas’ reign, there had been unrest and odore the Studite), which was active in the civil
uprisings in Asia Minor, Syria, Egypt and North financial sector ([66]; general also [38]).
Africa, and in the first decade of Herakleios’ rule, While the lack of detailed sources leaves lit-
virtually the entire Balkan interior was lost to tle to be said about the history of careers in the
the Slavs and Avars (→ 15.3. The Balkans and the civil administration, it is safe to assume that the
Northeast). The Persians advanced as far as Egypt military administration still offered better career
in the 620s and also occupied parts of Asia Minor. prospects for social outsiders, as it had in the Early
No sooner had Herakleios defeated them (after Byzantine period. However, whereas the civil and
several years of war) and reclaimed the lost prov- military spheres had been kept strictly separate
inces than the Arab expansion began, leading by in earlier centuries, the demands of war increas-
the mid-7th century to the permanent loss of Syria, ingly required the military to assume the duties of
Palaestina and Egypt and bringing constant Arab the civil administration in the provinces, and with
incursions into Asia Minor that began around 650 them ever more competences, until at last the
and reached a crescendo with the Arab blockade civil provinces were effectively absorbed by the
of Constantinople between 674 and 678. These military administration. The military commander
attacks intensified again in the first quarter of (the strategos) became the provincial governor, to
the 8th century, culminating in the Siege of Con- whom civil officials in his province (excepting the
stantinople (717/18), which was broken only with judiciary, to some extent) were also answerable.
difficulty. This concentration of power was not without its
For the Byzantine state, this meant the collapse dangers as far as the emperor was concerned: if
of the existing provincial structure and effective just two or three of these themes (themata, the
financial ruin. The loss of Syria and Egypt robbed name for these provinces) were to join forces, it
the empire of its richest provinces, and revenue might suffice for a successful usurpation. The orig-
from the remaining territories shrank dramatically inal themes were therefore broken up in the 8th
as a result of the constant invasions (→ 1.5. Public and 9th centuries and divided into smaller enti-
finances and taxation B.; on financial develop- ties. Constantine V also introduced an elite mili-
ments in this period cf. [19]). The changes also had tary force based at Constantinople, the tagmata.
social consequences. As far as can be gleaned from Henceforth forming the core of the Byzantine
the problematic source material, the aristocracy, army, it consisted entirely of professional soldiers,
most of whose wealth came from land ownership, whereas the thematic armies had professionals
141 2.1. the byzantine view of the state: the state and the imperial monarchy

serving alongside reservists who normally worked in their direct, personal debt. This, however,
their lands and were only called up if necessary stoked the opposition of the established nobility
for campaigns or to repel external attacks (cf. [35]; and could in any case only ever be a temporary
[37]; [49]). solution. These homines novi were of course also
The end result of these administrative changes striving to establish themselves and their families,
was a new society with little in common with that so the problem constantly cycled back and began
of the Early Byzantine period. This was advanta- anew (→ 1.4. Emperor, elite and subjects B., C.).
geous for the emperor because the structure of By the same token, even the brutal anti-aristo-
this new society naturally had not yet consoli- cratic actions of an emperor like Basil II had no
dated and remained relatively open, making it more than a retarding effect. Under Basil’s suc-
heavily dependent on involvement in the state cessors, the nobility began to assert itself in the
administration and consequently focused on the provinces to such an extent that Katakalon Kekau-
emperor, giving him greater scope to control it. menos, a general and later author of the 11th cen-
The role of Constantinople amplified this effect, as tury, wrote a letter advising his son, a provincial
the city now became – far more so than before – official, not to oppose local magnates because he
the beating heart of an empire that could not exist would assuredly come off worse (Kekaumenos,
without it. Strategikon 95–100 [61]).
Although this transformation enhanced the The emperors’ ability to assert themselves in
status of the central administration in relation to the provinces declined dramatically in the 11th cen-
the provinces, it also ferried internal power strug- tury. This was all the more significant given that
gles directly into the centre, so that the imperial the economic importance of the capital, where
government was not necessarily any more stable they drew most of their support, was also declin-
during this period. The comparatively high num- ing. Where the empire had formerly been unthink-
ber of successful usurpations between the late 7th able without Constantinople, the provinces were
and mid-9th centuries reinforces the point [52]. now making up ground, and this further weakened
the emperors’ position. Large estate owners now
B.1.3. The Middle Byzantine period coerced smaller-scale landowners who continued
after the mid-9th century to operate into ever greater dependency, which
Conditions began to stabilize in the 9th cen- had a knock-on effect on the fighting strength of
tury, and some families succeeded in amassing the thematic armies in the provinces. As a result,
large estates in the provinces. It appears that these and as a countermeasure to the growing power of
families belonged primarily to the military sector, the nobility, the emperors now resumed recruit-
but this finding may be a function of our available ing mercenaries on a large scale, which was expen-
sources, which tend to focus on spectacular events sive and limited their freedom of action in foreign
rather than mundane administrative matters. affairs (on conditions in the provinces, see [41];
Families like the Doukai, Kourkouai, Skleroi and [61]; on 11th-century history, [44] is still seminal;
Phokai dominated senior army posts in the 10th on the usurpations, cf. [23]).
century and provided two emperors in Nikepho- Although Byzantium seemed strong and
ros II Phokas and John I Tzimiskes. Two lengthy impregnable in the mid-11th century, its resources
civil wars were needed in the reign of → Basil II were exhausted. They collapsed completely when
(2.4.; 976–1025) before the emperor could secure a new power arose and advanced into imperial ter-
his position against the established strength of ritory, the Seljuk Turks. Internal divisions between
these families. Scholars sometimes claim that Basil the central administration and nobility hampered
opposed the nobility as a whole, but this is not the empire’s ability to defend itself, and existing
true. Rather, Basil’s aim was to break the power of state structures fell apart after its catastrophic
the established families by promoting new fami- defeat at Seljuk hands in the Battle of Manzikert
lies on whose support he could rely (on Basil II, in 1071. The Seljuks went on to capture almost all
see [11II/1, 537–551, #20838]). Asia Minor in short order. At almost exactly the
Most of the noble families that played leading same time, the Normans of Southern Italy were
roles in the 11th and 12th centuries began their invading the western Balkan provinces from the
ascents during the reign of Basil II. Reliance on west, and raids by the nomadic Pechenegs were
the nobility remained the perennial – and insol- devastating the northeast.
uble – problem for every emperor. The adminis- If the empire was to avoid downfall, fundamen-
trative and military services the nobility provided tal reforms were needed, and → Alexios I Komne-
were indispensable, yet those very services offered nos (2.5.), who came to the throne as a usurper
nobles the scope to accumulate wealth and influ- (which by now had become virtually the norm),
ence, thus in a sense for becoming rivals to the started such a process in 1081. The Komnenoi at
emperor. Some emperors tried to offset this by this period were among the leading families of
appointing outsiders who thereby became bound the empire, and, in contrast to previous usurpers,
2.1. the byzantine view of the state: the state and the imperial monarchy 142

Alexios had prepared for his seizure of power by Whether this tendency could have been reversed
reaching accommodations with other dominant under a strong emperor is a moot point, for the
clans. By doing so, he introduced cooperation process of collapse became irrevocable in 1204,
between the state and the nobility, replacing the with the Sack of Constantinople by the troops of
rivalry that had hitherto dominated the relation- the Fourth Crusade (1204) and the establishment
ship. In simple terms, this meant that the lead- of the Latin Empire [18]; [45].
ing families gained a say in the exercise of power,
either by marrying into the imperial family, B.1.4. The Late Byzantine period
acquiring positions in the state administration, or After the Fourth Crusade, four major and com-
securing far-reaching autonomy in the provinces peting powers formed in what had been Byzantine
(on Alexios see [59]; [57]). In a sense, Byzantium territory. The Latin Empire, concentrated mostly
feudalized itself during this period, as its elites around Constantinople, initially seemed to be the
divided up power among themselves. The state strongest, but it lost its expansionist momentum
withdrew from the provinces and for the most after a heavy defeat at the hands of the Bulgars in
part confined its sphere of interest to revenue, 1205. Trebizond in the east managed to preserve
which it obtained by leasing the collection of local its independence, but it was too remote to inter-
taxes to private individuals (→ 1.5. Public finances vene seriously in the conflicts in the west. The
and taxation). Despotate of Epirus controlled parts of the Euro-
The emperors’ direct sphere of influence was pean imperial territories but was also defeated by
confined to imperial domains and of course to the Bulgars. The Empire of Nicaea was thus ulti-
Constantinople and its environs. Because this mately the victor by default among the four, and
region was still the strongest in economic terms, it recaptured Constantinople in 1261. Even so, the
revenues continued to flow in abundance under restored empire remained no more than a regional
the Komnenos emperors, particularly as long- power and would never again regain the strength
distance trade picked up considerably in the it had had before 1204 [67]. The Palaiologoi estab-
12th century (→ 10.20. Markets and fairs, trade lished themselves as the imperial dynasty, but
routes). Constantinople was one of the hubs of they lost the ability to exercise power outside
this trade, not least because it controlled access to Constantinople as imperial territory became ever
the Black Sea. Necessary military resources were more fragmented, especially following the civil
obtained by recruiting foreign mercenaries. By wars of the mid-14th century. The empire theoreti-
now, the emperors no longer ruled exclusively by cally still encompassed large territories, especially
virtue of the authority of their position, but also in the Balkans, but they were far apart and oper-
in their capacity as head of the first family of the ated more or less independently, and they did not
empire, the imperial dynasty. This system worked always recognize the emperor in the capital as their
relatively well under the first three Komnenoi, and head of state. In effect, the emperors in the last
Byzantium continued to function as an important century before the Fall of Constantinople in 1453
economic and political power. The edifice relied, did no more than manoeuvre among stronger for-
however, on having a strong personality at its eign powers – the Serbs and Bulgars in the Balkans
apex. When Manuel I Komnenos died in 1180, his and the Ottomans initially in Asia Minor. In the
son Alexios II, at just ten years of age, was clearly mid-14th century, the Ottomans began expanding
not up to the task. Conflict duly broke out within into the Balkans too, subjugating the other powers
the Komnenos family, and the ability of the cen- there and leaving the Byzantine state as little more
tral government to exercise authority was under- than a ghost haunting Constantinople (see [64]).
mined in spectacular fashion [45]; [56]. Consistent Byzantine government policy, by this
This was a disaster precisely because of the period, was a thing of the past.
greater provincial autonomy that had developed
as a result of the Komnenian system of govern- B.2. Church and state
ment (and that long-distance trade, which also
benefited the provinces, further enhanced). A B.2.1. Emperors and patriarchs
challenger to the ruling emperor now no longer B.2.2. Orthodoxy and heterodoxy
needed to march on Constantinople to win the B.2.3. Conflict, compromise and mutual
throne. Instead, he could simply stay in his prov- dependence
ince and rule there more or less as he liked – a
practical impossibility before. The cohesion of the B.2.1. Emperors and patriarchs
empire was dissolving, and it began to break apart. Scholars often used to describe the Byzantine
In the Balkans, Bulgaria and Serbia regained inde- form of government as caesaropapist, that is, one
pendence, never to return to Byzantine control. in which the secular power was also in charge
Semi-independent realms became established of the Church or at least exercised a very strong
elsewhere in the remaining imperial territories. influence over it, making the two spheres tightly
143 2.1. the byzantine view of the state: the state and the imperial monarchy

interwoven. Although this view no longer prevails, as divine (divus) even during their lifetimes. Natu-
it was not without merit. The connection between rally, the Christian emperors could not claim such
Church and state in Byzantium was extremely a status, but they instead came to be seen as spe-
close. This was partly a function of the simple cially chosen. The first Christian emperors claimed
fact that the emperor and the patriarch resided as such status without any limitation: Constantine
immediate neighbours in Constantinople, which I felt that he was also lord over the Church and
enabled the emperor to put pressure on the patri- convened synods on his own authority. His son
arch relatively easily with all the means at his dis- Constantius (337–361) declared that the emperor’s
posal, including military force (see [32]). will was also a basis for ecclesiastical legislation:
This imbalanced relationship was also apparent ‘Whatever I will should be accepted as canon’
when a new emperor or patriarch was nominated. (Athan. Hist. Ar. [3chapter 32, 732C]; on the relation-
The patriarch played a somewhat peripheral role ship between ecclesiastical and secular legisla-
in the coronation of a new emperor. When an tion see [17]). The rulings of synods and councils
emperor nominated his own successor, the patri- (→ 4.2. Canon law) had no legal force until they
arch merely spoke some accompanying prayers were signed by the emperor, who also had the
and blessed the participants, but the actual coro- last word when it came to making ecclesiastical
nation was done by the incumbent emperor. Only appointments [58].
when a coronation took place with no predeces-
sor available – as was generally the case with B.2.2. Orthodoxy and heterodoxy
usurpers – did the patriarch perform the corona- Some emperors felt entitled and able to write
tion, effectively as a stand-in, thus legitimating it their own theological treatises and to impose their
([4824–26]; on the proceedings of the coronation, cf. own beliefs by force. As long as they did this in
[47]). Conversely, the emperor played a key role agreement with the ‘orthodox’ majority in the
in the elevation of a new patriarch, as a report Church, they could expect support, as when Con-
from the 10th-century Book of Ceremonies attests. stantine I moved against the Donatists, or when
According to this account, when a patriarch died the emperors of the 4th and 5th centuries opposed
in office, the metropolitans presented the emperor the Arians and those of the 6th and 7th centuries
with a list of three names, but the emperor was opposed the monophysites (→ 7.1. Doctrinal history
not required to adhere to it. Once the emperor had A., B.). Here too, however, the emperors quickly
made his decision, ‘all gather […] in the imperial came up against the limits of their power, because
palace. The emperor declares, “The grace of God coercive measures of this kind only proved suc-
and my authority founded upon it propose this cessful against relatively small groups, like the
most pious man as patriarch.” To this all assent. Donatists in the 4th century or the Paulicians in
The candidate is ceremonially brought into the the 9th (→ 7.3. Sanctity, piety and deviance E.).
patriarchal palace, and on the following day, the Government action achieved little against major
(three) most senior metropolitans consecrate him heresies like Arianism or monophysitism. Equally
as patriarch’ (Const. Porph. De cerem. 2,14 f. [5vol. 1, ineffective were the initiatives launched by indi-
565–567]; cf. [5372]). vidual emperors, such as the Henotikon of Zeno,
This account may be based only on a single the monotheletic compromise of Herakleios and
special instance that De Ceremoniis – as it often especially the Typos of Constans II (on the first
does – portrays as a regular practice. Even so, it two cf. → 7.1. Doctrinal history B.2.), which vainly
attests to the dominance of the emperor, who had attempted to ban all discussion ([17]; on monothe-
the final say on who should ascend the patriarchal letism see also [71]).
throne. The situation was similar when conflict It was even more awkward when the emperor
broke out between the patriarch and the emperor. himself initiated a break with orthodoxy, as Leo
If such a conflict could not be resolved, the patri- III did (717–741) when he sought to mobilize the
arch would be deposed or forced to resign. It was Church in opposition to icons in the Eikonoma-
out of the question that this might happen to an chia. Although most bishops adopted fairly neu-
emperor. Such a fate befell even exceedingly pow- tral positions or at least dared no open protest, the
erful patriarchs, such as Photios in the 9th cen- emperors were ultimately unable to enforce their
tury or Michael Keroularios in the 11th (in general, position despite exerting sometimes intense pres-
see [16]). sure (on Leo III see [11I/2, 662–667, #4242]). Some emper-
The superior position of the emperor arose ors also became active as theologians, like Manuel
not only from de facto power relations, but also I Komnenos (1143–1180), although he too failed to
from the legacy of the Roman period (see above, win acceptance for his views, and if a report by
A.2.). Under the Roman Empire, the princeps was Niketas Choniates is to be believed, he was forced
simultaneously high priest in his capacity as pon- to recant at the end of his life (Chronike diegesis
tifex maximus. When he died, he joined the ranks 219,94–220,9, 221,50 f. [4]; cf. also [56286–292]).
of the gods, and later emperors began to be seen
2.1. the byzantine view of the state: the state and the imperial monarchy 144

Material interventions also met with resis- tion in which bishops held positions in the state
tance, as when Herakleios in the 7th century or administration, for instance, such as prevailed at
→ Alexios I Komnenos (2.5.) in the 11th tried to the time in the Holy Roman Empire, would have
requisition church treasures to alleviate crises of been unthinkable in Byzantium. The case when
public finance. Although the Church ultimately Patriarch Nicholas I Mystikos acted as a kind of
had to accede, it extracted promises from both president of the council of regency for the minor
emperors to return the treasures at a later date or Constantine VII following the death of Leo VI in
to compensate it in some other way [16]; [56267 f.]. 912 was virtually unique in the history of the patri-
The question of the unification of the Ortho- archate of Constantinople, and even Nicholas was
dox Church and the Latin Church proceeded in able to hold this position for only a relatively short
a similar vein during the last centuries of Byzan- time [11II/5, 78–89, #25885].
tine history. The Orthodox Church entertained A patriarch heading the imperial government
theological objections to the idea and particularly was as inconceivable as having a bishop govern
rejected the primacy of the pope. The emperors a province, let alone take active part in warfare.
favoured a church union for political reasons and, Across the millennium of Byzantine history, there
on a personal level, some even converted. Even so, were always occasional instances of clerics who
they could not enforce their wish, even in a now- were active in the military. But they were very
shrunken Byzantine Empire. few in number, and their participation in warfare
was generally severely punished. The 10th-century
B.2.3. Conflict, compromise and cleric Themel, for example, took up arms against
mutual dependence Muslims who had entered his church and forced
Surprisingly, although senior churchmen did them to flee. He was promptly dismissed. The
not unconditionally accept the theological author- notion that he then converted to Islam and began
ity of the emperor, they generally avoided openly conducting raids in Byzantine territory himself
opposing it. This may have been partly because probably derives from rhetorical hyperbole on the
patriarchs often came from the emperor’s politi- part of the chronicler John Skylitzes, who consid-
cal circle and accordingly had to exercise more ered such a career more or less the logical con-
political discretion. Criticism often came instead clusion of an action unworthy of a member of the
from monks or ordinary bishops, who were less clergy [11II/6, 278, #27584]; [13].
entangled in the imperial government than the On the whole, it can be said that although
patriarchs. If a patriarch committed to criticiz- Church and state in Byzantium were closely asso-
ing the government, he had to resign himself to ciated, the Byzantine Church pursued a life of
being ousted, although this in turn invariably led its own independent of the state and sometimes
to tensions within the Byzantine Church, often against the state’s interests. This was true less so of
culminating in full-scale schism that could only senior clergymen like metropolitans or archbish-
be healed with difficulty. ops, let alone the patriarchs, who were all politi-
Otherwise, criticism frequently focused on cians and could not easily extricate themselves
the emperor’s moral failings. This type of criti- from the dictates of the state. It was, however, all
cism began in the 4th century, for example with the more true of the lesser ranks who were not
Ambrose of Milan’s famous protest against Theo- as exposed to state intervention. This was where
dosius I, who had proceeded illegitimately with the emperors came up against the limits of their
violence against the population of Thessalonica. power, and this is where ‘caesaropapism’ is an
Probably the best-known example would be the even less fitting term than it would be, say, in rela-
‘Tetragamy Crisis’ of the early 10th century, trig- tion to Latin Europe of the same period, where the
gered by the fourth marriage of Leo VI (→ 4.2. clergy was more deeply involved in state adminis-
Canon law A.) in his effort to sire a legitimate heir. tration and where members of the church hierar-
Although Leo finally had his way, it cost him con- chy often even held high offices of state.
siderable effort and a great deal of prestige [11II/4,
25–43, #24311]. B.3. Foreign policy
Here as in many other instances, the close ties
between church and state in Byzantium becomes B.3.1. Politics and ideology
apparent. Although the Church was usually the B.3.2. Diplomacy
weaker party in a direct confrontation, it was B.3.3. ‘Two Emperors Problem’
strong enough for emperors to prefer compromise
when conflict arose. In other ways, though, church B.3.1. Politics and ideology
and state were in some ways more clearly distinct As stated elsewhere, the ‘Byzantines’ saw
than in the ‘Latin’ states of the Middle Ages. The themselves as Romans and their state, through-
Byzantine Church saw itself as an alternative out its existence, as the Roman Empire – basileia
to the secular organization of the state. A situa- Rhomaion (see above, A.1.). In Antiquity, however,
145 2.1. the byzantine view of the state: the state and the imperial monarchy

Rome had been tantamount to the consumma- The degree to which this attitude derived from
tion of the idea of the state. To its inhabitants, tradition is shown very clearly in a passage of the
it encompassed practically the entirety of the 10th-century De administrando imperio (‘On the
civilized world – the oikoumene. It was known, of administration of the empire’) by Constantine
course, that other states existed, but this was of no VII, in which the emperor outlines the rules of
consequence to Romans’ sense of their own value. conduct for the situation in which a foreign ruler
If any other state could be called close to equiva- sought the hand of a Byzantine princess in mar-
lent, it was only the Persian Empire, but that was riage. According to Constantine, such a marriage
too different to undermine Roman self-confi- was in principle impossible. The only exception he
dence. In Late Antiquity, this feeling was further allowed was for the Franks – ostensibly because
reinforced by Rome’s unique role in the Christian Constantine I himself had been a native of their
religion. The Roman Empire was now officially the region (Const. Porph. DAI 13,71; 13,73 [6]). In fact,
last empire of all. It would be succeeded only by though, the exception had more to do with two
Apocalypse and the Last Judgment. marriages in Constantine VII’s own family that had
This conviction was the origin of the Byzan- to be justified in this way: Anna, a daughter of Leo
tines’ claim (as Romans) that their empire was VI, had wed Louis the Blind, the king of Provence,
superior to all others, and that the emperor, as it and Romanos II, Constantine’s own son, had been
were embodying that empire, rightfully claimed married to Bertha, daughter of Hugh of Italy, while
precedence over all other rulers. still a child (on the people involved: [11II/1, 252–254,
This self-conception was already in place when #20430; II/4, 250–252, #24756; II/1, 699–701, #21156; II/5, 594–602, #26834]).

the Byzantine Empire came into being, and the In practice, then, the principle could be ignored
Byzantines upheld it unconditionally until the with impunity if it seemed opportune to do so, as
Fall of Constantinople in 1453. In this context, it was the case in the marriage of Maria, daughter
is sufficient to quote the letter written probably of Romanos I Lakapenos and hence sister-in-law
in 1395/96 by Antonios IV, the patriarch of Con- of Constantine VII, to the Bulgar Tsar Petǎr in 928
stantinople, in reply to Grand Prince Vasily I of [11II/4, 341–343, #24919; II/5, 355–359, #26409]. Their claim to
Moscow, who had declared, ‘We have a Church supremacy in no way hampered the Byzantines’
but no emperor’. Vasily here was referring to the pursuit of political realism.
fact that Byzantium had now become a tributary
of the Ottoman Turks. Yet even now, the old claim B.3.2. Diplomacy
still held its full force in Constantinople, as the There was a clear conception in Byzantium
patriarch’s reply makes clear: ‘It is not possible of the relative status of the emperor and other
for Christians to have a Church [ekklesia] but not potentates. This is demonstrated in a ‘list of
an empire [basileia]. For Church and empire have forms of address’ contained in the 10th-century
a great unity [henosis] and community, and it is De ceremoniis. It lists the terms that were to be
not possible for them to be separated from one used in addressing various rulers in diplomatic
another […] and our emperor is not like other correspondence (Const. Porph. De cerim. 2,48
kings or local potentates, because the emper- [5vol. 1, 686–692]). The list contains a number of contra-
ors have supported and established the Church dictions that suggest it was a compilation prepared
across the entire globe since the beginning’ from copies of imperial missives that happened to
([1vol. 2, 191 f.]; cf. also [58215]; on emperor and Church: be lying around, which no one apparently took the
→ 1. Idea of empire and emperor and → 7. Church trouble to reconcile – a common failing in compi-
and religion). lations of this period. Nevertheless, the list gives
This basic conviction gave rise to a feeling of an interesting insight into Byzantine protocol in
superiority that informed Byzantine dealings with diplomatic relations with other powers.
other peoples and empires. For instance, the Byz- At the top of the list is the pope in Rome, who
antine emperors on principle did not sign treaties is addressed as ‘spiritual father’. Three immedi-
with foreign powers, but rather ‘dispensed assur- ate Byzantine neighbours are ‘spiritual children’:
ances of favour’ – although over time this increas- Greater Armenia and Alania in the → Caucasus
ingly became a pure fiction unrelated to the actual (15.4.), and Bulgaria in the → Balkans (15.3.). Sax-
content of the agreement concerned. The suprem- ony, Bavaria, Germany and France are ‘spiritual
acy of the emperor was also made very clear in brothers’, i.e. approximately equal in rank. Non-
the ceremonial surrounding personal audiences. Christian rulers could not, of course, be referred
If the other party refused to accept it, there would to as ‘spiritual’ kin, but the prince of India and
be no audience, or at least it would be designed emir of Egypt are still listed as ‘friends’. Listed next
in such a way that the Byzantines could persuade are a number of other powers whose rulers do
themselves that the requisite precedence would not receive a special title, and whom Byzantium
be demonstrated. probably saw as client states. These are arranged
2.1. the byzantine view of the state: the state and the imperial monarchy 146

in rough geographical groups. The first comprise ish bishop, as Liutprand was (Liutprand, Relatio
three minor Caucasian kingdoms: Armenia, Iberia de legatione Constantinopolitana 19 f., 186,10–21
and Abasgia, followed by several regional Italian [9]). Direct kinship by marriage here counted for
states: Rome, Venice, Sardinia, Capua, Salerno, more than the ‘spiritual’ kinship evoked in De
Naples, Amalfi and Gaeta, and finally three realms ceremoniis.
of the wider Balkan region: Moravia, Serbia and Other means were also used to improve other
Croatia. A second group contained non-Christian powers’ acceptance of the Byzantine claim. A
realms of the Balkans and Eastern Europe: Hungary favourite method was to bestow honorific titles
and the Kievan Rus’, and those of the Khazars and that were associated with gifts, and sometimes
Pechenegs (→ 15.3. Balkans and Northeast); and, in even with annual stipends. ‘Lesser’ regents and
the Islamic sphere, the Emir of Kairouan (North semi-independent rulers in particular tended to
Africa), the Arab Caliph (probably of Baghdad) be integrated into the Byzantine hierarchy in this
and the Lord of Arabia Felix (southern Arabia). way, with the result that the empire sometimes
The list is clearly not a systematic survey of appeared wreathed in client states that secured
contacts, but a compilation of one or more snap- the Byzantine sphere of influence. The emperor
shots of diplomatic practice. The absence of a at Constantinople could also bask in the sense of
particular ruler (e.g. the Emir/Caliph of Cordoba, being their lord, even if his real scope of influence
whose diplomatic correspondence with Byzan- was far narrower than appearances might suggest
tium in this period is well-known) does not imply (on this policy, cf. e.g. [68]).
a lack of contact with Byzantium or that the Byz-
antine ‘protocol department’ had not determined B.3.3. ‘Two Emperors Problem’
that ruler’s place in the hierarchy. Another area where Byzantium is seen to
Scholars since Franz Dölger (1940) have called have pursued an ideological policy is in the so-
this list of forms of address the ‘family of kings’. called ‘Two Emperors Problem’. This term, coined
Although the terms used (‘father’, ‘child’, ‘brother’, by Werner Ohnsorge (1947; Zweikaiserproblem),
‘friend’) suggest a familial structure, it should be suggests an ideological confrontation between
obvious that this was at most an idealized view of the emperor at Constantinople and the West-
a family, and moreover one that worked only from ern empire that began with Charlemagne in 800,
a Byzantine perspective. The other parties will which also claimed to be the continuation of the
not have seen things the same way ([27]; contra Roman imperial tradition. As the letter of Patri-
now [20]). arch Antonios IV makes clear (see above, B.3.1.),
Despite its systematic flaws, the list neverthe- there could only be one emperor in theory, and
less gives some indication of how the Byzantines the logical conclusion of this was that the two
viewed other powers in their relationship to Con- holders of the title must go to war. Scholars have
stantinople. Rank here depended on how impor- for some time discussed the possibility that the
tant a particular potentate was to Byzantium Byzantine Empress Irene, who reigned from 798
and probably also on the potential of his realm. to 802, may have offered Charlemagne the title
Beyond all doubt, the apex of the entire concep- of ‘Western Roman emperor’, drawing on the tra-
tual pyramid was occupied by the Byzantine basi- dition of Late Antiquity. It seems unlikely, how-
leus, even if he sometimes deigned to apostrophize ever, that Charlemagne would have been satisfied
another ruler as ‘brother’. The entire construction with such a solution. At all events, any such plans
shows, on the one hand, that even in the 10th cen- expired when the pope crowned Charlemagne
tury, Byzantium still clung to the fiction that the emperor at Rome (cf. the survey in [51174–186]; most
‘Roman emperor’ resident at Constantinople out- recently from a medievalist perspective [31]).
ranked all other rulers, regardless of the political Geopolitical conditions at the time in any case
realities of the empire and its neighbours. ruled out a military solution to the question. Nego-
On the other hand, though, this ranking was a tiations thus ensued, and the Byzantine emperor
theoretical construct with no practical relevance, Nikephoros I ultimately recognized Charlemagne
and in the course of diplomatic relations it could as emperor, but henceforth placed greater empha-
simply be ignored. Liutprand of Cremona, for sis on being addressed as ‘Roman’ emperor him-
example, who stayed at Constantinople in 968 as self. According to Byzantine thinking, this had
an emissary of Emperor Otto I, complained bit- the effect of relegating Charlemagne’s ‘empire’
terly that the Bulgarian emissary was given a better to a lesser status. Naturally, the Franks and later
place at a banquet than himself, even though he Germans saw the matter differently, and, over the
was the ambassador of the Holy Roman Emperor – centuries that followed, there would be constant
a ‘brother’ of the Byzantine Emperor. He was told quarrels as the two emperors claimed precedence
that the Bulgar tsar, having married a Byzantine over each other, or at least equal status. Scholars
princess, naturally had precedence over a Frank- formerly contended that the ‘Two Emperors Prob-
147 2.1. the byzantine view of the state: the state and the imperial monarchy

lem’ had a considerable influence on relations B.5. Arch-enemies

between the two empires, but there is no basis for This general pragmatism of Byzantine poli-
this view in political reality. The necessity of join- tics is explained by the empire’s position, sur-
ing forces against common enemies, e.g. the Arabs rounded by often powerful enemies. Ideological
and later the Normans in Southern Italy, generally issues could only ever play a subordinate role in
weighed more heavily. Arguments over prece- day-to-day politics (see above, B.3.3.). Even so,
dence invariably became heated when the two scholarly and non-specialist accounts alike have
sides were pursuing different contemporary politi- often assumed ideological motivations behind
cal goals and were opposed to each other anyway. Byzantine policies towards neighbouring realms,
In such circumstances, denying the title became a reflected among other things in the frequent cast-
diplomatic weapon, and an ideal way for one side ing of certain states or peoples – notably the Per-
to express its indignation toward the other at no sians, Bulgarians, Arabs, ‘Latins’ and Turks – as the
additional financial or even military cost. During ‘arch-enemies’ of Byzantium (→ 15. Byzantines and
periods of collaboration, the ‘Two Emperors Prob- the outside world). The concept of an arch-enemy,
lem’ was simply swept under the carpet. It always however, is a 19th-century invention derived from
remained present, but beyond occasional diplo- an interpretation of the relationship between Ger-
matic needling, it was never a subject of discus- many and France in the 18th and 19th centuries.
sion (survey in [46]; [51187–192]). It does not fit Byzantine relations with any of the
On the whole, Byzantine politics was prag- powers cited. Political interests and convictions,
matic. Idealistic claims were certainly made, but however, were of course sometimes at odds.
they were never allowed to detract from a prac- There was frequent warfare between Byzan-
tical intent to respond to the realities of current tium and the Persian Empire, but the two powers
events. also shared common interests, e.g. in regard to the
nomadic tribes north of the Caucasus, and their
B.4. State and Christian mission relations were generally based on mutual respect
Throughout its history, Byzantium shared bor- [39]. Despite their temporary strength between
ders with non-Christian empires and kingdoms the 8th century and the early 10th, the Bulgars
(→ 15. The Byzantines and the world beyond). It were really only a third-order power. The threat
might be expected, therefore, that the Byzantines they posed resulted more from the fact that Byz-
were constantly making efforts to Christianize antium was simultaneously under attack from the
the peoples living around them. In fact, however, Arabs in the east. Significantly, conflict with them
they did so surprisingly rarely. There was some was ended by the marriage of Tsar Petǎr [11II/5, 355–
missionary activity in the reign of Justinian in the 359, #26409] and the Byzantine princess Maria [11II/4,

first half of the 6th century [28], and there were 341–343, #24919] (in general cf. [2469, 72]).

frequent theological engagements with Islam and Although the Arab attacks of the 7th–9th cen-
Judaism, but missionary activity sponsored by the turies were at least partly religious in motivation,
state did not commence until the 9th century, they did not represent the whole story of relations
when Byzantium, to some extent in competition with Byzantium, which also included long phases
with the ongoing efforts of the popes in the ‘first of peace. The emir of Egypt ranked as a ‘friend’ of
Rome’, converted the peoples of the Balkans to the emperor (see above, B.3.2.), and the North Afri-
Christianity. This mission is synonymous with can Idrisids, who also appeared in the address list
the names of the ‘Slavic Apostles’, (Saints) Cyril as neighbours of the empire, maintained political
(Kyrillos, born Constantine) [11I/2, 561–566, #3927] and relations with Constantinople, even if there was
Methodius (Methodios) [11I/3, 230–233, #4975; II/4, 420–425, almost constant w148ar between them on Sicily in
#25062, each with further reading]. The conversion of the Rus’ the 9th and 10th centuries. To speak of the Byzan-
in the late 10th century was not planned (although tines and Muslims as irreconcilably opposed ‘arch-
missionaries are known to have been operating enemies’ would be a great exaggeration [50].
in the region), but arose in a context of civil war Latin Europe is also frequently portrayed as an
that compelled Basil II to ally with Grand Prince arch-enemy of Byzantium, particularly during the
Vladimir of Kiev (in general on this cf. [65]; [11II/6, era of the crusades. Even here, though, distinc-
694–700, #28433]). Although the Christianization of tions must be drawn. The general antipathy of the
this region vastly expanded the sphere of influ- Byzantine populace towards the Latins is indis-
ence of the Byzantine Church, providing some putable. The Byzantine government, however, did
compensation for the later decline in the power not allow itself to be swayed much by this hostil-
of the empire, it would be a great exaggeration to ity and frequently sought alliances with Western
describe this as a coherent missionary programme powers, especially in the 14th and 15th centuries
deliberately pursued by the state. as the Turkish threat became ever more urgent
([70]; [69] still seminal here). Relations with the
2.1. the byzantine view of the state: the state and the imperial monarchy 148

Turks were actually quite amicable, although this losophische-Historische Klasse 1966/6), 1966 [15]
was partly dictated by the imbalance of power. It H.-G. Beck, Res publica Romana. Vom Staatsdenken
may be enough in this regard to quote the famous der Byzantiner (Sitzungsberichte der Bayerischen
remark by the Byzantine dignitary Loukas Notaras, Akademie der Wissenschaften. Philosophische-
Historische Klasse 1970/2), 1970 [16] H.-G. Beck,
made on the eve of the Turkish conquest of the Geschichte der orthodoxen Kirche im byzantinischen
Byzantine capital in 1453, Notaras declared that he Reich (Die Kirche in ihrer Geschichte), 1980 [17]
would rather ‘see the turban of the Turk reigning H.-G. Beck, Nomos, Kanon und Staatsräson in Byz-
in the city than the Latin [Emperor’s] headpiece anz (Sitzungsberichte der Österreichischen Akademie
[kaluptra Latinike]’. Though the statement may be der Wissenschaften. Philosophische-Historische
invented or rhetorical exaggeration (on the part of Klasse 384), 1981 [18] C. M. Brand, Byzantium Con-
the chronicler Doukas), it still belies the existence fronts the West, 1180–1204, 1968 [19] W. Brandes,
of any ‘arch-enmity’ between the Byzantines and Finanzverwaltung in Krisenzeiten. Untersuchungen
the Turks (Doukas, Istoria Turco-Bizantină 329 [5]; zur byzantinischen Administration im 6.–9. Jahrhun-
dert. (Forschungen zur byzantinischen Rechtsge-
on the remark, most recently [54]). Byzantine poli-
schichte 25), 2002 [20] W. Brandes, Die ‘Familie
tics may often seem cryptic and oddly skittish, but der Könige’ im Mittelalter. Ein Diskussionsbeitrag zur
at root it followed pragmatic principles. If it had Kritik eines vermeintlichen Erkenntnismodells, in:
not, the empire could hardly have survived from Rechtsgeschichte/Legal History 21, 2013, 262–
the 4th century to the 15th. 284 [21] A. Cameron (ed.), States, Resources,
Maps and plans: Maps 3–8, Maps 14–18; Plans Armies (The Byzantine and Islamic Near East 3. Stud-
1–2; BNP Suppl. 3, 239, 241, 243, 251 ies in Late Antiquity and Early Islam 1), 1995 [22] A.
Cameron, The Mediterranean World in Late Antiq-
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Einführung in die byzantinische Geschichte (Urban the prefecture of Illyricum (on the lack of reli-
Taschenbücher 216), 2007 [54] R.-J. Lilie, Reality able information prior to 305, cf. [1459]). He was
and Invention. Reflections on Byzantine Historiogra- the eldest son of Constantius I (Flavius Valerius
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Constantius) and Flavia Iulia Helena, a woman of
Les ambassades byzantines en Occident. Depuis la
fondation des États barbares jusqu’aux Croisades low birth. While Constantius was ruling as Caesar
(407–1096), 1980 [56] P. Magdalino, The Empire in Gaul, beginning in 293, the young Constantine
of Manuel I Komnenos, 1143–1180, 1993 [57] E. Mal- spent some years at the court of Diocletian and
amut, Alexis Ier Comnène, 2007 [58] A. Michel, Galerius at Nicomedia and Antioch on the Oron-
Die Kaisermacht in der Ostkirche, 1959 (partially tes, where he probably took part in campaigning
reprinted in: H. Hunger (ed.), Das byzantinische as tribunus primii ordinis (‘tribune of the first rank’;
Herrscherbild (Wege der Forschung 341), 1975, 206– Lactant. De mort. pers. 18; Anon. Vales. 2 f.). In
234) [59] M. Mullet / D. Smythe (eds.), Alexios 305, he joined his father, who had by now become
I Komnenos (Papers of the Second Belfast Interna- Augustus, in Gaul, but he did not become his
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Diplomatische Gesandtschaften zwischen Ost- und
Caesar. That position went instead to Maximinus
Westkaisern 756–1002 (Geist und Werk der Zeiten 92), Daia, in line with the order of tetrarchic succes-
1999 [61] L. Neville, Authority in Byzantine Pro- sion. However, when Constantius died at Ebora-
vincial Society, 950–1100, 2009 [62] W. Ohnsorge, cum (York), Britannia, in 306, it was Constantine
2.2. portrait of an emperor: constantine i 150

whom the army there acclaimed as emperor. Gale- dominant especially after 324, although this may
rius, the Augustus in the East, offered qualified be a product of the Christian bias of the sources
recognition of the legality of this usurpation by (esp. Eusebius). Eusebius also records a letter to
giving Constantine the title of Caesar, under the the eastern provinces in which Constantine repre-
new western Augustus Severus (Lactant. De mort. sents himself as an agent or servant of the Chris-
pers. 25,1–5) [914–16]. tian god (Euseb. VC 2,55,1).
There were various accords over the years that Constantine promoted the further centraliza-
followed between Constantine and Maximian, tion of imperial power. In 324, he had Byzantium
Diocletian’s former co-emperor, who had emerged expanded into his main imperial residence of
from retirement after his son Maxentius had had Constantinople, which he ceremonially occupied
himself acclaimed as Augustus at Rome in 306. In in 330 (Consularia Constantinopolitana s. a. 330).
307, Constantine sought to cement his own posi- How far his intention was for Constantinople to
tion by marrying Maximian’s daughter Fausta replace Rome is a matter for debate, but the new
(Lactant. De mort. pers. 27,1). However, Constan- city was certainly meant to show off his victorious
tine broke with Maximian and, after forcing him supremacy and greatness, and the founding of a
to commit suicide in 310, increasingly began to new dynasty. Constantinople became the control
claim legitimacy instead on the basis of fictitious centre of the reunited Roman Empire, and Con-
descent from emperor Claudius Gothicus (cf. Pan. stantine also assembled the leading comites, the
Lat. 7(6),2,1 f.). Constantine defeated Maxentius at new imperial ‘companions’, divided into three
the Battle of the Milvian Bridge and seized power categories of rank [18]. There is no definitive evi-
over the entire Western Empire. After lengthy hos- dence that a second senate was founded at Con-
tilities probably provoked by Constantine himself, stantinople in the reign of Constantine.
his rise to sole rule over the whole empire came
to fruition in 324 following his victory over Licin- B. Emperor and Church
ius, the Augustus in the East, in a sea battle off After the Battle of the Milvian Bridge, Con-
Chrysopolis. stantine took an increasingly active interest in
the Church and its internal conflicts. First, he and
A.2. Consolidation of power and Licinius agreed in 313 (Edict of Milan, Lactant. De
style of government mort. pers. 48,2–12; Euseb. HE 10,5,2–14) to grant
Constantine moved to cement his power by Christians the usual religious rights and to elimi-
strengthening the dynastic principle, making his nate the economic consequences of earlier sanc-
eldest sons Crispus and Constantine (II) Caesars tions. Called as a judge to arbitrate on the Donatist
in 317. Constantius II was then given the same controversy in North Africa, Constantine sum-
honour to mark the founding of Constantino- moned the western bishops to a council at Arles to
ple in 324. However, Crispus, who was probably expedite an agreement (cf. → 7.1. Doctrinal history
showing rather too much initiative, was murdered A.). In 325, he then intervened in the composition
at his father’s behest shortly before Constantine’s of the Nicene Creed at the Council of Nicaea. His
ceremonial festival visit to Rome in 326, and Con- Christological proposal was accepted by the bish-
stantine’s wife Fausta soon suffered the same fate. ops of the entire empire gathered there – anyone
Later sources insinuated an adulterous relation- who objected might face exile (e.g. Athanasius; on
ship between the two, but the motive appears to Constantine’s attitude to the Church and bishops
have been political [16]. Constantine named his cf. [6]; [8]).
youngest son Constans (333) and his nephew Dal- Constantine began sponsoring church building
matius (335) Caesars, making a total of four. His on a large scale in 312, particularly at Rome, but
nephew Hannibalianus, meanwhile, supported also in the Holy Land. He also accorded the same
him as rex in Armenia [15]. It is conceivable privileges to the clergy as were held by the tradi-
that Constantine made succession arrangements tional priesthoods and affirmed the right of the
here [5]. Church to manumit slaves and receive bequests
The main foundation of Constantine’s reign (Cod. Just. 1,13,1; Cod. Theod. 4,7,1 = Cod. Just.
was his military success, which he attributed to 1,13,2; Cod. Theod. 16,2,4). The extra-ecclesiastical
the support and will of a higher power (on his judicial authority of bishops was also extended in
triumphal political ideology, cf. [21]). At first, that his reign (on audientia episcopalis, cf. → 4.4. Courts
power was Apollo or Sol Invictus (on Sol, cf. [20]), and justice B.1.; [11156–161]), while he imposed restric-
but Christian connotations began to surface in tions on the use of blood sacrifices and forbade
312 (the vision at the Milvian Bridge, Lactant. De soothsaying and nocturnal sacrifices (Cod. Theod.
mort. pers. 4,4; 4,5 f.; Euseb. VC 1,28,1–32,3; cf. [19]; 9,16,1–3). There is no evidence that he embarked
reflected as instinctu divinitatis/‘at divine instiga- on an active anti-pagan policy, for instance by
tion’ on the Arch of Constantine erected by order organizing the destruction of temples (Euseb. VC
of the senate, [1IV 1139] = [2694]; cf. [13]), and became 3,52–56). Such destruction seems still to have been
151 2.2. portrait of an emperor: constantine i

local in nature and motivated by specific factors mander in the defence of the frontiers of the Roman
(e.g. temple prostitution). Constantine also con- Empire virtually every season; his first campaign
tinued to hold the title of pontifex maximus and was set forth from Trier against the Alemanni and
permitted the establishment of a ruler cult with Franks along the Rhine, which he had secured
a priesthood and games at Hispellum ([2705, 6632]; with forts (Cologne/Deutz; Pan. Lat. 7(6),14,1 f.). He
cf. [4140 f.]). repelled Gothic and Sarmatian attacks along the
southern Danube in the years following 316 and
C. Domestic and foreign policy enjoyed a major triumph there in 332 (Anon.Vales.
Constantine reunited the empire in 324. He 31). In the East, conflict with the Sasanid Empire
then built on the reforms of Diocletian to central- began to loom in 335, but this time Constantine’s
ize the administration and the business of govern- son, the Caesar Constantius II, took command in
ment. First, he had the military authority of the his father’s place. In 336, the year after lavish cel-
(three to five) praetorian prefects transferred to ebrations to mark the thirtieth anniversary of his
two generals, the magister equitum (‘master of reign, Constantine fell ill near Nicomedia on his
horse’) and the magister militum (‘master of the way to the front. He received baptism and died
soldiers’); the praetorian prefects became senior (Euseb. VC 4,62–64; Eutr. 10,8,2 f.).
administrative officials who, along with the urban
prefect, were now empowered to pass judgment in D. Conclusion
the emperor’s stead. These changes effectively sep- In 337, as Constantine’s body was laid to rest
arated the civil and operational military adminis- in his Christian mausoleum at Constantinople
tration. He also further expanded the court, for accompanied by his son Constantius II, soldiers
instance creating the office of magister officiorum and members of the ruling elite, Rome in the west
(‘master of offices’, cf. [12]). He also followed his mourned its emperor, who, after taking the throne
predecessors in regard to the military, stepping up at Eboracum, had restored the Roman Empire to
the separation of a mobile field army (the comi- its former extent and power (Euseb. VC 4,65,1–71,2;
tatenses) composed of small units (vexillationes) on the mausoleum, see [17]). Constantine’s reli-
from the stationary frontier troops (the ripenses; gious policy is more difficult to assess. He publicly
Cod. Theod. 7,20,4). recognized the Christian god as his patron and
A coinage reform enabled Constantine to issue gave financial support to his cult and the Chris-
a relatively stable gold coin, the solidus. This also tian Church, but, in legal terms, he was deified
made it easier to collect new taxes on traders (the by his successors after his death, wholly in line
collatio lustralis; Greek: chrysargyron) and land with tradition (diuus, cf. [9]; apotheosis coins, cf.
ownership (the follis), which had to be paid in Euseb. VC 4,73). Over the thirty-one years of his
gold and silver coin (Zos. 2,38). Constantine also reign, Constantine set in motion many reforms
made efforts to improve access to justice, and that permanently shaped the face of the Roman
was an energetic legislator (→ 4.3. Legislation B.). state under his successors and contributed to the
In only a very few cases can Christian thought be emergence of ‘Byzantine’ culture. These included
identified as grounds for new regulations. Con- support for Christianity, the foundation of Con-
stantine’s reforms of inheritance and matrimonial stantinople and the revival of the dynastic prin-
law, for instance, were primarily to the benefit of ciple of monarchy.
the mostly pagan Roman senatorial class (cf. [7];
[10149–155]). Bibliography
Contemporary sources do not support the
widespread theory that an increasingly Christian Sources
Constantine turned away from the mostly pagan [1] CIL [2] ILS.
Roman senate. On the contrary: the emperor made
efforts to marry members of his family into lead- Secondary literature
ing senatorial families [3vol. 1, 316 (Eutropia 2)]; [3vol. 1, 226 [3] PLRE [4] A. Cameron, The Last Pagans of
(Iulius Constantius 7)]. His appointments policy after 312 Rome, 2011 [5] H. Chantraine, Die Nachfolgeord-
also shows that he actively promoted the involve- nung Constantins des Großen, 1992 [6] H. Drake,
ment of Roman senators in the upper echelons Constantine and the Bishops. The Politics of Intoler-
of the administration by creating new senatorial ance, 2000 [7] J. Evans Grubbs, Law and Family
in Late Antiquity. Emperor Constantine’s Marriage
governorships in Italy, Africa and Greece. Pagan
Legislation, 1995 [8] K. M. Girardet, Der Kaiser
Roman senators were thus governing provinces in und sein Gott. Das Christentum im Denken und in der
Constantine’s name until the emperor’s death [3vol. Religionspolitik Konstantins des Großen, 2010 [9]
1, 747 (Proculus 11)].
T. Grünewald, Constantinus Maximus Augustus.
From the moment of his acclamation in 306, Herrschaftspropaganda in der zeitgenössischen Über-
Constantine was actively involved as army com- lieferung, 1990 [10] J. Harries, Imperial Rome ad
2.3. portrait of an emperor: justinian i 152

284 to 363. The New Empire, 2012 [11] C. Hum- Justin made Justinian Augustus on April 1, 527,
fress, Orthodoxy and the Courts in Late Antiquity, shortly before his death.
2007 [12] C. M. Kelly, Emperors, Government
and Bureaucracy, in: A. Cameron / P. Garnsey A.2. Consolidation of power
(eds.), The Cambridge Ancient History, vol. 13: The
Late Empire, a.d. 337–425, 1998, 138–183 [13] N.
There was no immediate threat to Justinian
Lenski, Evoking the Pagan Past. Instinctu Divinita- following his accession, but there were certainly
tis and Constantine’s Capture of Rome, in: Journal of various clouds on the horizon. Aristocratic circles,
Late Antiquity 1/2, 2008, 204–257 [14] N. Lenski, for instance, were sceptical of the new emperor,
The Reign of Constantine, in: N. Lenski (ed.), The whom they saw as an upstart handing out offices
Cambridge Companion to the Age of Constantine, to men of humble origins (e.g. Tribonian, John of
2008, 59–90 [15] K. Mosig-Walburg, Hannibal- Cappadocia). A lack of communication with the
lianus rex, in: Mill 2, 2005, 229–254 [16] H. A. Pohl- populace also led to unrest, culminating in the
sander, Crispus. Brilliant Career and Tragic End, in: Nika Revolt of 532 (Ioh. Mal. 18,71; Theoph. AM
Historia 33, 1984, 79–106 [17] S. Rebenich, Vom
6024 [5]). Rioting by the circus factions and the
dreizehnten Gott zum dreizehnten Apostel? Der tote
Kaiser in der christlichen Spätantike, in: Zeitschrift sparing of the condemned ringleaders following a
für antikes Christentum 4, 2000, 300–324 [18] sign from God (the gallows broke) led to the dev-
R. Scharf, Comites und comitiva primi ordinis, astation and pillaging of much of Constantinople.
1994 [19] R. Van Dam, Remembering Constantine Justinian’s failure to communicate with the angry
at the Milvian Bridge, 2011 [20] M. Wallraff, mob or a deputation of senators allowed the situ-
Sonnenkönig der Spätantike. Die Religionspolitik ation to escalate. Perceived aristocratic opponents
Konstantins des Großen, 2013 [21] J. Wienand, of the emperor were lured out of hiding, and
Der Kaiser als Sieger. Metamorphosen triumphaler Hypatius, the nephew of the late emperor Anas-
Herrschaft unter Constantin I., 2012. tasius, was made anti-emperor. The revolt was
Muriel Moser
suppressed with much bloodshed, Hypatius was
executed, and Justinian had put the senatorial
aristocracy and the populace firmly in their place
2.3. Portrait of an emperor: Justinian I [8]. The emperor, however, would eventually face
other attacks on his authority, albeit not violent
A. The man ones, in what would become an era of catastro-
B. Emperor and Church phes (see below,  C.).
C. Domestic policy
D. Foreign policy A.3. Style of government
E. Conclusion Justinian drew his autocratic authority from
God (ek theou) and considered himself God’s rep-
A. The man resentative on earth, immediately responsible as
the ultimate arbiter of all matters, ecclesiastical
A.1. Background and accession and secular, pertaining to the empire, which he
A.2. Consolidation of power strove to govern (cf. Nov. 73pr., 81pr., 133pr.). His
A.3. Style of government personal sacralization and presentation as a holy
man were complemented by a new component, as
A.1. Background and accession he sought to assume the role of mediator seeking
The boy who would become Justinian I (Flavius God’s favour that was generally reserved for the
Petrus Sabbatius Iustinianus) was born in 481/82 saints (Paulus Silentiarius, Ekphrasis 40–54; Pro-
at Tauresium in the province of Dacia Mediterra- cop. Aed. 6–12 [3]) [9118–136, 608–632]. Justinian also
nea, in the prefecture of Illyricum (fundamental portrayed himself as a builder, as his prolific archi-
recent work [6], important contributions in [7] tectural patronage attests. To this day, the most
and [10]). The region was mainly Latin-speaking impressive example of this activity is the (former)
and the population predominantly peasant, so the Church of Hagia Sophia, built to replace the pre-
sources sometimes call Justinian ‘Thracian’ or ‘bar- ceding structure destroyed during the Nika Revolt.
barian’ (Ioh. Mal. 18,1 [2]; Procop. Arc. 14,2 [4]). His On the one hand, the person of the emperor
background no doubt also explains his turbulent wreathed in ceremonial became more remote
relationship with the elites of Constantinople (see from his subjects during the reign of Justinian. On
below, A.2.). His uncle was Justin I, and this was the other hand, Justinian appears to have been an
Justinian’s key to the imperial throne. He became emperor who was accessible to his people in ways
comes in 519, then magister equitum et peditum beyond proskynesis. This apparent contradiction
praesentalis. He held the consulship in 521 and illustrates the transitional nature of his reign as
became a patrician and nobilissimus before being Byzantine court ceremonial continued to develop
named as Caesar in 525. By this time, he had mar- (Procop. Arc. 13,1; 15,11 f.; 30,21–26).
ried Theodora, an actress and prostitute (Procop. Justinian died on November 14, 565.
Arc. 9,15 f.; on her political function [6288–293]).
153 2.3. portrait of an emperor: justinian i

B. Emperor and Church until the 16th century. Significantly, most of the
The way Justinian presented himself also Novels are no longer in Latin, like the earlier laws
informed his relationship with the Church and its of Justinian, but in Greek – marking a shift from
various components. While striving for symphonia, Latin to Byzantine Greek law [6167–205]. Justinian’s
concord between the Church and the empire, the systematizing intentions, however, ran up against
final arbiter on earth was, in his opinion, himself problems with enforcement in practice, including
(Nov. 6pr.). in the administration (cf. Lydus, Mag. [1]): it was
As a Chalcedonian, Justinian pursued integra- in these final years of his reign that unrest in the
tion with the miaphysites throughout his reign. empire was on the rise.
This a religious faction, particularly influential in Justinian’s reign saw a plethora of disasters
the southeast of the empire, believed that Christ that forced him to demonstrate his piety (pietas)
had only a divine nature. Following the restora- to the people, who interpreted these catastro-
tion of unity with the western papacy under Jus- phes as signs of the wrath of God (Ioh. Mal. 17,14;
tin I, Justinian sought to bring about unity in the 17,16). There were failed harvests, famines, earth-
East between the supporters and opponents of the quakes, floods and celestial phenomena. A new
Council of Chalcedon (451; on religious policy [12]). evil emerged in the 540s, however, that surpassed
He took harsh measures, however, against groups everything before it: a plague that spread across
he felt to be truly heretical, such as the Jews, Man- the whole empire. One strategy of coping with
ichaeans and Samaritans [692–106]. Justinian sought these disasters was process of ‘liturgification’: the
to extend Christianity even beyond the frontiers exaggerated ritualization of everyday life so as to
of the Roman Empire through missionary activity. placate God. New festivals were established (Mar-
The emperor instigated talks between the Chal- ian devotion) and supplicatory processions were
cedonians and miaphysites in 532, and chaired conducted, at which the emperor played the role
them himself. In 536, however, Chalcedonian of a barefoot penitent [9609–613].
monks and Pope Agapetus extracted a concession
that led to the anathematization of prominent D. Foreign policy
miaphysites at a synod. Justinian saw himself Justinian successfully recovered some territo-
in general as a theologian. He wrote creeds and ries of the Western Roman Empire, particularly
tried to solve conflicts himself, even in the teeth in Africa (war against the Vandals 533/34) and
of resistance from leading clerics. He dictated the Italy (wars against the Ostrogoths 535–540 and
agenda of the 5th Ecumenical Council at Constan- 541/42–552), but retaining them took enormous
tinople (553) and implemented its rulings on the effort. There were also wars with the Persians
integration of the miaphysites against the will of (525/26–531 and 540–561/62), and a number of
Pope Vigilius. His policy of unity, however, was a tribes invaded the empire. These wars on mul-
failure: in addition to Chalcedonian opposition, a tiple fronts exhausted Constantinople’s financial
miaphysite Syrian Church began to splinter off. and military resources (Procop. Goth./Pers./Vand.
[6126–141, 150–166, 215–229, 252–275]). The emperor no longer
C. Domestic policy led his armies in the field personally, but instead
Justinian embarked on a comprehensive codifi- ministered to them through prayer. A number of
cation of law with the aim of imposing order on all pretexts, such as uprisings by new rulers against
spheres (ecclesiastical and secular) of his empire client kings recognized by Justinian (Gelimer in
as legislator (→ 4. Legislation and legal practice). In Africa, Theodahad in Italy), led to the recuperatio
528, he ordered the preparation of the Codex that imperii (recovery of large parts of the former West-
would contain all laws passed since the reign of ern Empire), and Justinian’s reign marked another
Hadrian. Justinian also ordered the collation of the high water mark in the expansion of the Roman
writings of the jurists, the Digest (Latin, Digesta; Empire. However, future enemies were already
also known as the Pandects) and the composition gathering in the west and east (in particular, the
of an up-to-date legal textbook, the Institutes. The Franks, Lombards, Slavs, Avars, Arabs).
aim of Justinian’s selection of texts was to remove
all contradictions. His collections would contain E. Conclusion
all laws and regulations that would henceforth Justinian is the key figure at the turning point
be in force. Justinian presented himself as a ruler from the Latin Roman Empire to the Greek Byz-
who revived ancient Roman tradition (renovatio/ antine Empire. His long, eventful reign from
restauratio) while also innovating (innovatio), 527 to 565, which also gave the 6th century the
claiming universal power legitimated by God [11]. byname the ‘Age of Justinian’, was coloured by
The Novels (Novellae) contains the laws he passed the recuperatio imperii, but also and above all by
after 535 but was never sanctioned as a coherent Justinian’s comprehensive legal codification, expe-
collection by the emperor himself. The collection rience of catastrophe and ensuing liturgification,
known as the Corpus Juris Civilis was not compiled and intensive religious policy. This was a time of
2.4. portrait of an emperor: basil ii 154

change, and at the same time the culmination younger brother Constantine VIII and his mother.
of long development. Justinian saw himself as Following a brief civil war, real power fell into the
God’s representative on earth and, given his sacral hands of the general Nikephoros (II) Phokas, with
authority, as a holy man responsible for all con- Basil and his brother acting as co-emperors [3II/4,
cerns, spiritual and secular. Throughout his reign, 661 f., #25535]. There are suggestions that Nikephoros

he applied the same precepts in his quest to unify II tried to install his own brother Leo Phokas as
and bring order to his empire and faith. his successor and to depose and possibly castrate
Maps: Map 1, Map 11; BNP Suppl. 3, 237 Basil and his brother (Zon. 16,28 [2S. 516, Z. 1–8]; Yaḥyā
of Antioch [1p. 828 f. (PO 18,5); 8,25–28, p. 134 f. (Pirone)]).
Bibliography Nikephoros, however, was overthrown by
John (I) Tzimiskes in 969, probably with the
Sources connivance (and possibly even on the initia-
[1] John Lydus, On Powers, or the Magistracies of
the Roman State, ed. and trans. A. C. Bandy, 1983 [2] tive) of Theophano [3II/6, 528 with note 12, #28125]. The
John Malalas, Weltchronik, ed. I. Thurn and M. brothers remained co-emperors under John I,
Meier, 2009 [3] Procopius, Werke, ed. O. Veh, and their status in court ceremonial seems to
4 vols., 1966–1977 (in the volume On Buildings: the have risen. A few days after John’s death on
ecphrasis of Paul the Silentiary) [4] Procopius, January 10, 976, Basil and Constantine were pro-
Anekdota, ed. O. Veh, new ed. M. Meier and H. Lep- claimed emperors, and they reigned together
pin, 2005 [5] Theophanes Confessor, The until Basil’s death on December 15, 1025. Con-
Chronicle, ed. C. Mango and R. Scott, 1997. stantine, however, was merely a ceremonial pres-
ence as joint emperor and had no real power
Secondary literature [13]. Basil never married and had no children.
[6] H. Leppin, Justinian. Das christliche Experiment, Although Basil technically became senior
2011 [7] M. Maas (ed.), The Cambridge Compan-
ion to the Age of Justinian, 2005 [8] M. Meier,
emperor in 976, real power lay in the hands of his
Die Inszenierung einer Katastrophe. Justinian und uncle Basil Lakapenos, who conducted business on
der Nika-Aufstand, in: ZPE 142, 2003, 273–300 [9] his behalf [3II/1, 591–593, #20925]. Bardas Skleros revolted
M. Meier, Das andere Zeitalter Justinians. Kontin- against him in 976, and his rebellion was only put
genzerfahrung und Kontingenzbewältigung im down after three years of civil war [6]. Basil him-
6. Jahrhundert n. Chr., 22004 [10] M. Meier (ed.), self did not attempt to rule independently until
Justinian, 2011 [11] K. L. Noethlichs, Quid pos- the early 980s. He deposed his uncle, which led to
sit antiquitas in nostris legibus abrogare. Politische a new civil war in 986, this time against the gen-
Propaganda und praktische Politik bei Justinian I. im eral Bardas Phokas, who had helped to defeat the
Lichte der kaiserlichen Gesetzgebung und der antiken
first revolt by Bardas Skleros [7307 f.]. Phokas’ rebel-
Historiographie, in: Zeitschrift für antikes Christen-
tum 4, 2002, 116–132 [12] K.-H. Uthemann, Kai- lion lasted until 989, and Basil won only thanks
ser Justinian als Kirchenpolitiker und Theologe, in: to an alliance with Grand Prince Vladimir of Kiev,
Augustinianum 39/1, 1999, 5–83. who provided a contingent of battle-hardened
Varangians [4no. 771].
Alexandra Hasse-Ungeheuer
A.2. Consolidation of power and
2.4. Portrait of an emperor: Basil II style of government
The sources indicate that Basil found his lack of
A. The man autonomy in the first years of his reign (976–985)
B. Emperor and Church difficult to stomach, and that he protested against
C. Domestic policy it ([5]; cf. [3II/1, 537 f. with note 10, #20838]). After the dis-
D. Foreign policy missal of Basil Lakapenos, Basil ordered that no
E. Conclusion law would be valid unless it bore his signature
as a mark of assent [4no. 774]. Seeking to protect
A. The man himself against further attempts at usurpation, he
disempowered the established nobility and pro-
A.1. Years as co-emperor and ward moted new families in its stead. He concentrated
A.2. Consolidation of power and style power in his own hands and began to emulate his
of government two predecessors by leading his own army into
battle on important campaigns. On a personal
A.1. Years as co-emperor and ward level, he seems to have been quick-tempered and,
Basil was probably born in 958, the son of the particularly in his youth, to have reacted scath-
then co-emperor Romanos II (959–963) and his ingly, supposedly a contributory factor to the
wife Theophano. He was crowned co-emperor outbreak of the second civil war in 986 (John Sky-
by Patriarch Polyeuktos in Hagia Sophia on Eas- litzes, Synopsis Historion 338,32–44). There is no
ter Day (April 22) 960. After his father’s death in way of knowing, however, whether this account
963, he was acclaimed emperor together with his of his character – which is mostly based on the
155 2.4. portrait of an emperor: basil ii

description of his reign by the chronicler Michael civil war with Bardas Skleros (976–978), however,
Psellos – reflects reality in all respects (see below, distracted Byzantine forces to such a degree that
E.) [13]. the Bulgars regained their independence. Basil suf-
fered a crushing defeat at their hands on a cam-
B. Emperor and Church paign of 986, which triggered another attempted
In his dealings with the Church, as elsewhere, usurpation that was not put down until 989.
Basil cast himself as the master, subject to no During this period, the Bulgars further extended
one’s influence. Patriarch Antonios III Studites their gains, bringing much of the territory of the
was deposed or forced to retire in 978, but it is Byzantine Balkan provinces under their control.
unknown why, nor is it known whether Basil him- They even entered the Peloponnese in the 990s,
self or (still) Basil Lakapenos was responsible [3II/1, but were defeated on the homeward march. It was
285–287, #20499]. The patriarchate then lay vacant for only after 1001 that Basil intensified his efforts and
two years. There was another four-year vacancy embarked on a new campaign against the Bul-
following the death of Nicholas II Chrysoberges gar Empire, finally winning a decisive victory in
in 992. Despite the opposition of large landown- 1014. The last Bulgar ruler, Tsar Samuil, gave up in
ers, whom the Byzantine Church supported, Basil 1018 and surrendered to Basil, who was now able
reintroduced the allelengyon (mutual liability to restore his empire as far as the Danube fron-
of all taxpayers in a village community), which tier (→ 15.3. Balkans and the northeast C.2.) [14];
required wealthy landowners to make good any [15]. The alliance with the Kievan Rus’, as part of
taxes that poor peasants failed to pay [4no. 783]. He which Grand Prince Vladimir I and his people con-
also forbade charitable foundations that held land verted to Christianity, also safeguarded Byzantium
in village communities from seceding from those against future invasions from this direction [12].
communities, and he banned local bishops from In Syria, there were recurrent conflicts with the
appropriating such foundations [3II/1, 541 with note 22, Egyptian Fatimids, whose sphere of influence met
#20838]. After finally destroying Bulgar resistance that of Byzantium here [9]. The Fatimids launched
in 1018, Basil acknowledged the autocephaly of repeated assaults on Aleppo in particular, but the
the Bulgarian Orthodox Church, doubtless against local rulers fended them off with Byzantine help.
the wishes of the patriarch of Constantinople Basil himself led imperial armies to Syria in 995
[4no. 806 f.]. and 999, securing Byzantine interests there, until
the two sides came to a peaceful solution with a
C. Domestic policy treaty signed in 1101 (→ 15.6. The south) [4no. 788].
Basil at last gained the freedom to dictate Basil undertook several campaigns in Armenia
policy as he wished after Basil Lakapenos was and Georgia (→ 15.4. The Caucasus) after the turn
stripped of power in 985. After the end of the of the millennium, as a result of which Byzantine
second civil war in 989, he set out to curtail the rule in the region was expanded and consolidated.
influence of the great noble families that had Byzantine sovereignty was finally cemented here
played such a prominent part (particularly in the in 1025 [10].
military sphere) under his two predecessors. Some In Italy (→ 15.2. The West), Basil adopted a
of these families were stripped of their property, more defensive strategy, deploying only small mil-
and some of their leading members placed under itary forces. The situation was made easier when
house arrest or fobbed off with insignificant posts the Germans, who were expanding into Southern
(cf. e.g. [3II/3, 288–291, #21861]). Their place was taken by Italy, suffered a heavy defeat at the hands of the
new families, like the Komnenoi, who began their Arabs at Columna Regia in 982, then suffered fur-
rise in Basil’s reign and subsequently dominated ther problems in the wake of the death of Otto II in
the empire in the 11th and 12th centuries. Basil also 983. A sweeping privilege granted to Venice in 992
made attempts to prevent the expansion of the secured Basil Venetian maritime support, which
‘powerful’ in the provinces as they swallowed up would reap rewards, for instance, in 1004, when
small and medium-sized peasant lands. His suc- the Arabs laid siege to the Byzantine provincial
cess here, however, was only temporary, because capital of Bari, but were repelled with Venetian
he too ultimately relied on cooperation with the assistance [4no. 781]. An agreement was made with
nobility. the Holy Roman emperor Otto III, to be affirmed
by Otto’s marriage to a Byzantine princess, but the
D. Foreign policy plan came to nothing when he died in 1002 [8].
Byzantium at the beginning of Basil’s reign Unrest began to grow in Byzantine Southern Italy
was in outstanding shape. In the southeast, it after 1000, culminating in several major uprisings
had recovered Antioch and its hinterland. In the that required the dispatch of Byzantine troops
Balkans, the Bulgars had been subjugated, and an to the province. The rebels would not be finally
attempt by the Rus’ to establish themselves in the defeated until 1018 [3II/4, 400 f., #25033]. Shortly before
eastern Balkans had been thwarted. The savage his death, Basil made preparations for a campaign
2.5. portrait of an emperor: alexios i komnenos 156

to recapture Sicily, but it never happened. The for- 1914, 915–942 [6] A. Beihammer, Der harte Sturz
ward detachments sent to Sicily achieved nothing. des Bardas Skleros. Eine Fallstudie zu zwischensta-
atlicher Kommunikation und Konfliktführung in der
E. Conclusion byzantinisch-arabischen Diplomatie des 10. Jahrhun-
derts, in: RHM 45, 2003, 21–57 [7] J.-C. Cheynet,
Basil is generally regarded as one of the most Les Phocas, in: G. Dagron / H. Mihăescu (eds.),
successful Byzantine emperors. He finally defeated Le traité sur le guérilla de l’empereur Nicéphore
the Bulgars, expanded the empire eastwards and Phocas (963–969), 1986, 289–315 [8] E. Eickhoff,
stabilized the Arab frontier. Despite constant war- Kaiser Otto III. Die erste Jahrtausendwende und die
fare, Byzantine’s economic condition was excel- Entfaltung Europas, 22000 [9] W. Felix, Byzanz
lent, and Basil is said to have left the state coffers und die islamische Welt im früheren 11. Jahrhundert,
well filled. Personally speaking, he seems to have 1981 [10] C. Holmes, ‘How the East Was Won’ in
been rather unprepossessing. It must not be for- the Reign of Basil II, in: A. Eastmond (ed.), Eastern
gotten that power vacuums in the Near East and Approaches to Byzantium (Papers from the Thirty-
Third Spring Symposium of Byzantine Studies, Uni-
the Balkans during this period made his victories
versity of Warwick, Coventry 1999), 2001, 41–56 [11]
easier to win, without which they might not have C. J. Holmes, Basil II and the Governance of Empire
been won at all. Domestically, the emperor man- (976–1025), 2005 [12] J. Korpela, Prince, Saint
aged to impose his authority on the nobility, but and Apostle. Prince Vladimir Svjatolavič of Kiev, his
he could only slow its expansion in the provinces Posthumous Life, and the Religious Legitimization
at the expense of small and medium-sized land- of the Russian Great Power, 2001 [13] R.-J. Lilie,
owners, not stop it. The provincial nobility pre- Fiktive Realität. Basileios II. und Konstantin VIII.
vailed relatively soon after his death. in der ‘Chronographia’ des Michael Psellos, in: M.
There is no doubt that the generally positive Grünbart (ed.), Theatron. Rhetorische Kultur in
image of Basil in the sources, which most schol- Spätantike und Mittelalter (Millennium-Studien 13),
2007, 211–222 [14] P. Stephenson, The Legend of
ars formerly echoed, derives from the deliberate Basil the Bulgar-Slayer, 2003 [15] P. M. Strässle,
portrayal of Basil as an ideal emperor in the most Krieg und Kriegführung in Byzanz. Die Kriege Kaiser
important of them, the Chronographia of Michael Basileios’ II. gegen die Bulgaren (976–1019), 2006.
Psellos (second half of 11th century). By holding
Basil up in this way Psellos could direct veiled Ralph-Johannes Lilie
criticism at the emperors of his own day, whom
he blamed for the decline of the power of the Byz- 2.5. Portrait of an emperor: Alexios I Komnenos
antine state in the 11th century [13]. Nonetheless,
it must be acknowledged that Basil can only have A. The man
been impressive as a person, imposing his will in B. Emperor and Church
the face of great resistance as he did and leaving C. Domestic policy
the empire safe and secure, both domestically and D. Foreign policy
internationally. E. Conclusion
Maps: Maps 4–5, Map 9; BNP Suppl. 3, 245
A. The man
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reprint 1957) 699–834; PO 23,3 (1932) 345–520 =
A.1. Background and accession
Histoire de Yaḥyā ibn Sa‘īd d’Antioche, edited by The exact date of Alexios I’s birth is uncertain.
I. Kratchkovsky, translation and commentary by F. Scholars suggest dates between 1048 and 1057. His
Micheau and G. Troupeau, in: PO 47,4 (no. 212) (1997) parents, John Komnenos, a brother of Emperor
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earlier in the century. Indeed, Alexios began his
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[3] PmbZ [4] Regesten der Kaiserurkunden des
Oströmischen Reiches von 565–1453, edited by F. Döl-
He then continued it under Nikephoros III Bota-
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by F. Dölger, reedited by A. E. Müller with A. Beiham- Alexios paved the way for this usurpation by
mer, 22003 [5] H. F. Amedroz, An Embassy from allying himself with leading Byzantine noble
Baghdad to the Emperor Basil II, in: Journal of the families, primarily from the military aristocracy,
Royal Asiatic Society of Great Britain and Ireland 46, particularly the Doukai. He acknowledged Con-
157 2.5. portrait of an emperor: alexios i komnenos

stantine Doukas, son of Michael VII and Empress other, he packed the most important posts with
Maria, as his successor and betrothed him to his members of the noble families that were his allies
eldest daughter, Anna Komnene. Maria had mar- and, in some cases, his kin. New titles and offices
ried Nikephoros III for reasons of legitimacy after replaced or augmented old ones. He implemented
Michael’s fall, but she supported Alexios in order a coinage reform in the 1090s [6619–621]. He suc-
to secure the succession for her son. Alexios, who ceeded in integrate the nobility more extensively
at this period was serving as domestikos (military into the government while simultaneously sepa-
commander-in-chief) of the West, rebelled in Feb- rating them from the rest of the population. For
ruary 1081. He took Constantinople on April 1, 1081, example, he issued an order to the effect that sen-
which was a Holy Thursday, and was crowned ators whose conduct was not in keeping with the
emperor on April 4 ([6610–626]; on the participants dignity of their status should lose their privileges
see also [7]; on the usurpation see [11]). [3no. 1091]. This measure was primarily directed
against former members of the middle classes,
A.2. Consolidating and defining such as merchants, who had been admitted to the
imperial authority senate, but who continued to practise their old
As a usurper, it was vital for Alexios to build professions.
his legitimacy. He did this by means of his links It could be argued that Byzantine society was
with the Doukas dynasty (see above,  A.1.). Only less open under Alexios than it had been during
when his son John (II) Komnenos was born did the decades preceding his reign. On the whole, the
he dissolve the betrothal of his daughter Anna provinces were beginning to extricate themselves
to Constantine. He then deposed the latter and gradually from the overweening influence of Con-
made John his co-emperor [1333–45]. He married stantinople, doubtless in part because the aug-
his daughters to Byzantine nobles, brought them mented role of the nobility was detrimental to the
and their families to the imperial → court (1.3.) influence of central administration in the prov-
and rewarded them by granting them court titles inces. Nevertheless, Alexios succeeded in improv-
and offices, until his critics complained that he ing the economic state of the empire, thanks in
was effectively treating the empire as his own no small measure to the steady increase in long-
family property (Zon. 18,29 [1766]). This consensus- distance trade. Economically speaking, Byzantium
minded policy, however, was entirely in keeping was on a firm footing by the end of his reign.
with Alexios’ character. Contemporary sources
describe him as friendly and measured in personal D. Foreign policy
dealings, but also as opaque and devious (Zon. Byzantium in 1081 seemed on the brink of col-
18,29 [1766 f.]; Niketas Choniates, Historia 7,63–69). lapse. Except for a narrow strip of coast, the whole
of Asia Minor was under Seljuk control [20]. The
B. Emperor and Church western → Balkans (15.3.) were under attack from
On the one hand, Alexios pursued the interests the Normans led by Robert Guiscard, and the east-
of the state in his dealings with the Church, req- ern Balkans were bearing the brunt of raids by the
uisitioning ecclesiastical assets to relieve financial nomadic Pechenegs. The ruling class of Byzantium
difficulties. Although the patriarch perforce went was split into numerous factions, some of which
along with this, other senior clerics opposed it, even sympathized with external aggressors (e.g.
and Alexios was forced to promise to compen- the Gabrades of Asia Minor with the Seljuk) [10];
sate the Church in due course [3no. 1085]. He also [9]. State finances were in such a desperate state
had the procedure approved at a synod in 1094. that Alexios had to lay hands on church treasures
On the other hand, he supported the Church in to secure funds for essential expenditure.
its actions against heretics. For instance, the phi- Faced with this crisis, Alexios began by aban-
losopher John Italos was convicted of heresy in doning Asia Minor and transferring the troops
1082, and the leader of the Bogumils, Basil the stationed there to Europe, where he deployed
Physician, was publicly burned at the stake in 1111. them against the Normans. Since there was no
The emperor’s control over the Church, however, longer a combat-ready Byzantine fleet, he signed
was not complete. In 1117, Eustratios of Nicaea, a a treaty with Venice in 1082, granting the republic
pupil of John Italos’, was convicted of heresy at wide-ranging customs exemptions in a number of
the synod and deposed as archbishop of Nicaea, Byzantine ports as well as establishing Venetian
despite the objections of both Alexios and Patri- quarters at Dyrrhachium and Constantinople.
arch John IX Agapetos. Alexios appears to have Further details and provisions were added to this
accepted the synod’s verdict [4]; [6614–619]. privilege in 1084 [3nos. 1081, 1109]. The Normans none-
theless succeeded in taking Dyrrhachium and pen-
C. Domestic policy etrating deeper into the interior. However, internal
Alexios’ domestic policies were contradictory. unrest in Southern Italy, to which Byzantium lent
On the one hand, he tried to increase the cen- support, forced Robert Guiscard to leave his army,
tralization of provincial administration; on the entrusting it to his son Bohemond, and return
2.5. portrait of an emperor: alexios i komnenos 158

home. Alexios pushed back Bohemond’s forces. Byzantium to the point where it once again was
When Robert Guiscard died in 1085, the Norman the leading power of the eastern Mediterranean.
threat was averted for the time being. Alexios also The confrontation with the crusaders, however,
made progress against the Pechenegs, defeating permanently damaged the image of the empire
them in a great battle in 1091. By the early 1090s, in the West, and the permanent loss of much of
Byzantium had regained control over its Balkan Asia Minor shifted its centre of gravity to the Bal-
provinces [5]; [12]. kans, which made it vulnerable to attacks from
However, Constantinople lacked the resources this direction. In general, although the Byzantine
to deal with an attack by the Seljuks in Asia Minor. Empire was still impressive in terms of size and
Alexios therefore turned to Pope Urban II in Rome, strength, it was much less stable, both internally
as he sought help from the West. His plan was to and externally, than it had been in the early
recruit paid mercenaries and put them under Byz- 11th century (in general [5]; [16]; [18]).
antine command. The appeal made no impression Maps: Map 6, Map 11, Map 17; BNP Suppl. 3, 249
until the pope linked the program of assisting the
Eastern Church, which was being worn down by Bibliography
the Muslims, with a call to go to Jerusalem to
free the Holy Land from the infidel [8]; [15]. This Sources
appeal, however, unleashed a torrent that neither [1] J. Zonaras, Epitome historiarum libri XIII–XVIII,
edited by T. Büttner-Wobst, 1897.
the pope nor Byzantium could control. The First
Crusade (1096–1099) was dominated by princes Secondary literature
and their retinues from southern France, Flanders [2] Emperor Alexios I Komnenos, in: Prosopography
and Lorraine, along with Normans from South- of the Byzantine World (PBW) (db.pbw.kcl.ac.uk/
ern Italy under the command of Byzantium’s old pbw2011/entity/person/106238) [3] Regesten der
enemy, Bohemond [14]; [19]. These crusaders had Kaiserurkunden des Oströmischen Reiches von 565–
no interest in helping Byzantium. On the con- 1453, Tl. 2: Regesten von 1025–1204, edited by F. Döl-
trary, their aim was to conquer Jerusalem and the ger, re-edited by P. Wirth, 21995 [4] M. Angold,
Holy Land – which Byzantium itself claimed – for Church and Society in Byzantium under the Com-
neni, 1081–1261, 1995 [5] M. Angold, The Byzan-
themselves.
tine Empire. A Political History, 1025–1204, 21997 [6]
Because the crusaders relied on Byzantine sup- M. Angold, Belle époque or Crisis (1025–1118), in: J.
port, Alexios was able to pressure them into prom- Shepard (ed.), The Cambridge History of the Byzan-
ising to hand over any conquests to him and into tine Empire, c. 500–1492, 2008, 583–626 [7] K. Bar-
swearing oaths of allegiance. He was not strong zos, Η Γενεαλογία των Κομνηνών, 2 vols., 1984 [8]
enough, however, to enforce these promises A. Becker, Papst Urban II., 2 vols., 1964–1988 [9]
later, when the crusaders established indepen- A. Beihammer, Politische Praxis, Ideologie und
dent kingdoms in Syria and Palaestina [15]; [17]. Herrschaftsbildung in der Frühphase der türkischen
Long years of conflict followed, especially over Expansion in Kleinasien, 2013 [10] A. A. M. Bryer,
Antioch on the Orontes, which had been occu- A Byzantine Family. The Gabrades, c. 979–c. 1653, in:
University of Birmingham Historical Journal 12, 1970,
pied by Bohemond’s Normans. Bohemund even 164–187 [11] J.-C. Cheynet, Pouvoir et contesta-
launched another attack on Byzantium from Italy, tions à Byzance (963–1210), 1990 [12] F. Curta,
but it was defeated, and he was forced to swear Southeastern Europe in the Middle Ages, 500–1250,
another oath of allegiance to the emperor in 1108 2006 [13] R.-J. Lilie, Des Kaisers Macht und Ohn-
under the Treaty of Devol [3no. 1243]. This again had macht. Zum Zerfall der Zentralgewalt in Byzanz vor
no effect on the situation. Alexios prepared an dem vierten Kreuzzug, in: R.-J. Lilie / P. Speck,
attack on Antioch and in 1111 offered Pisa a major Varia, vol. 1 (Poikila Byzantina 4), 1984, 9–120 [14]
trading privilege in exchange for naval assistance, R.-J. Lilie, Der erste Kreuzzug in der Darstellung
which Venice was unwilling to provide [3no. 1255]. Anna Komnenes, in: A. Berger et al., Varia, vols. 2
(Poikila Byzantina 6), 1987, 49–148 [15] R.-J. Lilie,
The campaign, however, never happened. Alexios
Byzantium and the Crusader States, 1096–1204, 1993
became embroiled in battles with the Seljuks in [16] R.-J. Lilie, Byzanz. Das zweite Rom, 2003 [17]
Asia Minor and died in 1118. R.-J. Lilie, Byzanz und die Kreuzzüge, 2004 [18]
M. Mullett / D. C. Smythe (eds.), Alexios I Kom-
E. Conclusion nenos (Belfast Byzantine Texts and Translations 4),
Alexios came to the throne in a calamitous situ- 1996 [19] J. Shepard, When Greek Meets Greek.
ation, when Byzantium’s days seemed numbered. Alexius Comnenus and Bohemund in 1097–98, in:
The empire was internally divided, and its most BMGS 12, 1988, 185–277 [20] S. Vryonis, The
important provinces had been overrun by foreign Decline of Medieval Hellenism in Asia Minor and the
enemies and ravaged, or were under threat of it. Process of Islamization from the Eleventh to the Fif-
teenth Century, 1971.
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diplomacy and force. As a result, he strengthened
159 2.6. portrait of an emperor: manuel ii palaiologos

2.6. Portrait of an emperor: Manuel II This scheme came to nothing, but in 1366, Manuel
Palaiologos and his brother Michael indeed had to remain
behind at Buda for some months as hostages, fol-
A. The man lowing John V’s negotiations on the same issue at
B. Reign as emperor the Hungarian court.
C. Manuel’s spiritual interests in the light of his Before John V headed off to Italy for more
works negotiations in 1369, he gave Manuel, who like
D. Conclusion his brother Theodore had held the high honorific
title of despotes since 1355, → Thessalonica (8.11.)
A. The man as an apanage. It was from there that Manuel set
out to help his father in the winter of 1370, when
A.1. Background and family the Venetians detained the emperor as a debtor
A.2. Activities and offices prior to accession as when he tried to leave for Constantinople. Manuel
emperor exploited the collapse of Serbian rule in Macedo-
nia after the Battle of Maritsa (Chernomen) to
A.1. Background and family expand his domains. For instance, he took Serres
Born on June 27, 1350, at Constantinople, Man- late in 1371, whereupon John also formally trans-
uel [10#21513] was the second son from the marriage ferred authority of these regions to him. (In con-
of John V Palaiologos and Helena Kantakouzene, trast, Adrianople, conquered in 1369, became the
daughter of the anti-emperor John VI Kantak- Ottoman capital and remained so until 1453.) Fol-
ouzenos. He was the fifth of the nine emperors lowing the ill-fated rebellion of Andronikos (IV)
(including two anti-emperors) of the Palaiologos against his father, the latter crowned Manuel his
dynasty. His siblings were an elder brother (and co-emperor on September 25, 1373, but John had
anti-emperor) Andronikos (IV), younger brothers himself by now become the vassal of Murad I.
Michael and Theodore (despotes of Morea, Theo- Genoese and Ottoman help enabled Andronikos
dore I), and his sister Irene, who married the Otto- to launch a counter-coup in August 1376, and John,
man Halil of Bithynia. Manuel and his brother Theodore were incarcer-
Manuel’s marriage to Jelena Dragaš produced ated in the Prison of Anemas, within the city walls
eight sons – John (VIII), Constantine, Theodore of Constantinople. They were not released until
(despotes Theodore II), Andronikos, Constantine 1379, when John and Manuel recaptured Con-
(XI), Michael, Demetrios (despotes) and Thomas stantinople, this time with Ottoman and Venetian
(despotes) – and two daughters who died young. assistance.
He also had a daughter out of wedlock (called Overlooked in the subsequent rapprochement
either Zampia or Isabella). between John V and Andronikos, Manuel secretly
travelled back to Thessalonica late in 1382, and
A.2. Activities and offices prior to reigned independently there until 1387. The kai-
accession as emperor sar Alexios Angelos at Trikala recognized him
From the outset, Manuel’s life was dominated as suzerain, as did the Despot of Epirus, Thomas
by the fact that Ottoman Turkish expansion was Preljubović. The Turks, however, were steadily
steadily eating away at the territory of the Byz- encroaching on his domain. When Serres fell (Sep-
antine Empire (which was already permanently tember 9, 1383), they had Thessalonica directly in
weakened as a result of the Fourth Crusade), their sights, and the city duly surrendered some-
threatening its very existence. There were also time between late March and May 7, 1387. Escaping
internal dynastic conflicts and civil wars (1321– in time, Manuel first made his way via Lesbos and
1328, 1341–1347). Neighbouring states’ involvement Tenedos to the court of Murad I at Bursa, and from
(or invitation to involve themselves) in these con- there he went to Constantinople. John V, however,
flicts also had a negative impact on Byzantium. promptly sent him into exile again (probably as a
Dynastic power struggles broke out repeatedly result of disagreements over how to deal with the
during Manuel’s reign. Turks), to Lemnos, where he remained until late in
Faced with the Ottoman advance, Byzantium 1389. Returning to Constantinople yet again, Man-
had to seek allies among the Catholic powers of uel this time was able to assert his own author-
Europe and to plead for military aid. Such pleas ity and that of his father against his nephew, rival
were badly undermined, however, by the western and – from April to September 1390 – anti-emperor
parties’ almost invariable insistence that Byzan- John VII, the son of Andronikos IV.
tium must first, at all costs, agree to an ecclesiasti-
cal union. At just five years of age, Manuel thus B. Reign as emperor
almost found himself dispatched to the court of Manuel became supreme emperor on Febru-
Pope Innocent VI at Avignon as a living pledge ary 16, 1391, on the death of John V. In June of
guaranteeing his father’s promise of a church that year, he found himself compelled – having
union, made in an effort to secure military help. inherited his father’s obligations as vassal – to
2.6. portrait of an emperor: manuel ii palaiologos 160

accompany the new Ottoman Sultan Bayezid I George Gemistos Plethon to publish his proposals
(1389–1402) on a military campaign in Anatolia. It for reform. Manuel also suppressed a revolt of the
was during this eight-month interlude, probably Peloponnesian archontes in 1415.
late in 1391, that Manuel’s twenty-six Dialogues After elevating John VIII to co-emperor (in
with a Persian (meaning ‘Turk’, i.e. a Muslim theo- January 1421), Manuel retired from political life,
logian, Ottoman Turkish müderris) took place [6]. but he lived to see the resumption of war with the
According to the text version, these disputations Ottomans (as a result of Byzantine interference
were conducted in an atmosphere of mutual toler- in the succession to Süleyman) [21] and thus the
ance, but Manuel distorted the Islamic position to next Siege of Constantinople in 1422, the loss of
highlight the superiority of his own (a quotation Thessalonica to Venice (September 1423) following
from the seventh dialogue was the subject of the a new Turkish siege and the unfavourable peace
Regensburg Lecture given by Pope Benedict XVI on concluded with Murad II in 1424. Manuel died on
September 12, 2006) [42]; [17]; [37]. Back in Con- July 21, 1425, having been tonsured as a monk and
stantinople, Manuel was crowned emperor in the taken the name Matthew, like Manuel I Komne-
Hagia Sophia on February 11, 1392, the day after his nos. Like him, he was buried in the Monastery of
and Jelena Dragaš’ (belated) wedding. Christ Pantokrator in Constantinople. John VIII
The relentless advance of the Ottomans (Siege succeeded him.
of Constantinople beginning in 1394; victory over
the ‘crusader’ army at Nikopolis in 1396; invasion C. Manuel’s spiritual interests in the
of central Greece and the Morea/Peloponnese in light of his works
1397) forced Manuel once more to send embassies Manuel was highly educated in literature
to plead for help from the pope, Hungary and vari- and theology and conducted a lively intellectual
ous western courts. The response was lukewarm, exchange with members of the intellectual elite of
but Charles VI of France sent an auxiliary corps his day (including his mentor, Demetrios Kydones
of 1,200 men, commanded by Marshal Jean II le [41], Nicholas Kabasilas and the brothers Deme-
Maingre (Boucicaut). Manuel, accompanied by trios and Manuel Chrysoloras, among others), to
Boucicaut, now travelled to the West himself. He which their correspondence in particular attests.
set out on his culturally highly significant journey Besides sixty-two letters [1], Manuel also wrote
late in 1399 (after reconciling with his nephew many other works in various genres (some of
John VII, who acted as regent in his absence). It which have yet to be edited) [22]; [7], including
took him by way of Venice, Padua, Vicenza and the aforementioned Dialogues, a prince’s mirror,
Pavia to the court of the Visconti in Milan, then political orations, a funeral oration for his brother
on to Paris to meet Charles VI and to London to Theodore [4]; [28], a dialogue with his mother
Henry IV. It was only with Henry’s financial assis- about marriage [5], the Ekphrasis (‘description’)
tance that Manuel was able to return home in June of a tapestry in the Louvre [18]; [35], an ethopoeia
1403. By now, however, Bayezid had unexpectedly (characterization of a historical figure by imitating
been defeated by the Mongol Timur (Lenk) at their speech) of Timur, a supplicatory hymn to the
Ankara in 1402. The Ottomans now ceased to pose Virgin Mary pleading for liberation from enemies,
a direct threat to Byzantium until after the death a treatise On the Procession of the Holy Spirit [7]
of Mehmed I (1421). and, arguably, an oneirological treatise (author-
Manuel affirmed John VII’s treaty with Bayezid’s ship uncertain) [2].
successor Süleyman Çelebi. Among other things, Several portraits of Manuel survive in Byzan-
it provided for the return of Thessalonica, which tine book illumination, showing him either alone
Manuel now granted to John as a kind of apa- or with relatives. A particularly outstanding depic-
nage (October 1403). Manuel now again tried to tion of Manuel and his wife with their sons John,
forge contacts with the West over and above his Theodore and Andronikos appears in the Paris
alliance with Venice, but the embassy of Manuel Codex, Musée du Louvre MR 416 [Ivoires A 53],
Chrysoloras to France, England and Spain (1408– fol. 2 r, which Manuel Chrysoloras presented to the
1410) ultimately proved disappointing. Manuel Abbot of Saint-Denis as a gift from Manuel [20];
turned to the provinces instead. Late in 1407 or [23]; [27]; [18].
early in 1408, he transferred control of the Morea
to his son Theodore (II) following the death of his D. Conclusion
brother, Theodore I. When John VII died in Sep- As emperor, Manuel II did everything he
tember 1408, though, Manuel gave Thessalonica could to stem Ottoman expansion. His room for
to his son Andronikos. During another stay in manoeuvring, however, was limited by the weak-
the Morea between 1414 and March 1416, Manuel ness of his ‘empire’ and the pitiful rewards reaped
ordered the reinforcement of the Justinianic Hex- on the voyages he and his emissaries made seek-
amilion wall across the Isthmus of Corinth against ing help from the Catholic powers of Europe. The
the Ottomans, which provoked the philosopher only respite for the Byzantines came with the
161 2.6. portrait of an emperor: manuel ii palaiologos

defeat of the Ottomans by Timur’s Mongols in Power (1261–1557) (exhibition catalogue), 2004 [21]
1402, and it lasted only two decades. During that R. E. Gómez, Byzance face aux Ottomans. Exercice
time, Manuel succeeded in stabilizing Byzantine du pouvoir et contrôle du territoire sous les derni-
rule in and around Thessalonica and in the Morea. ers Paléologues (milieu XIVe–milieu XVe siècle),
2014 [22] A. Hohlweg, Manuel II. Palaiologos, in:
The real impact of this erudite emperor, however, W. Buchwald et al., Tusculum-Lexikon griechischer
was made in the sphere of culture. Here, he made und lateinischer Autoren des Altertums und des Mit-
his presence felt in the sheer breadth of his intel- telalters, 31982, 498–500 [23] G. Jostkleiwege,
lectual interests, as reflected in the diversity of his Zwischen ‘privater’ Netzwerkpflege und ‘öffentli-
writings, and in the formidable figure he cut on his cher’ Bündnispolitik. Außenpolitische Valenzen
tour of the West. des Geschenks am Hofe Karls VI. von Frankreich
Maps: Map 8, Map 18 (ca. 1400), in: M. Grünbart (ed.), Geschenke
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logue with a Muslim Muterizes. The Scholarly Back- bot / A. Cutler, Manuel II Palaiologos, in: ODB 2,
ground, in: Archiv für mittelalterliche Philosophie 1991, 1291–1292 [41] F. Tinnefeld, Die Briefe des
und Kultur 14, 2008, 264–304 [18] C. Dendrinos, Demetrios Kydones, 2010 [42] K.-P. Todt, Manuel
Manuel II in Paris (1400–1402). Theology, Diplomacy II Palaeologus, in: D. Thomas / A. Mallett (eds.),
and Politics, in: M. Hinterberger / C. Scha- Christian Muslim Relations. A Bibliographical History,
bel (eds.), Greeks, Latins and Intellectual History, vol. 5, 2013, 314–325.
1204–1500, 2011, 397–422 [19] I. Djurić, Sumrak
Vizantije. Vreme Jovana VIII Paleologa 1392–1448, Günter Prinzing
1989 [20] H. C. Evans (ed.), Byzantium. Faith and
3. People and society
3.1. Concepts of humanity and the world culations from which made their Year One 5509
3.2. Demographics: languages, ethnicities, bc, but who also used a taxation cycle of fifteen
migration years, the ‘indictions’, as the dating system for
3.3. Women, men and eunuchs their documents? Evidently, their perception of
3.4. Sexuality the progression of history was infused with Chris-
3.5. Stages of life: from childhood to death tian thought, while their experience of everyday
3.6. Family and household: social and economic reality was determined by the empire and its
aspects mechanisms of power and control.
3.7. Key social structures What is the significance of the fact that, out of
3.8. Stability through association 20,000 individuals identified from the Middle Byz-
3.9. Forms of instability: criminality, gangs, unrest antine period, some 1,200 were christened John
and uprisings (after John the Baptist) and almost 1,000 Theo-
3.10. Festivals, celebrations and rituals as dore (‘gift of God’)? After these, the most popu-
temporary stabilizing factors lar names (800) were Constantine, after the first
Christian emperor, and Leo (‘lion’), also the name
3.1. Concepts of humanity and the world of seven emperors [1I, Prolegomena, 5]. The same ubiq-
uity of Christianity combined with associations of
A. People and society imperial power is apparent here.
B. The sacred and the profane
C. Social status and hierarchy B. The sacred and the profane
Religious and secular elements in Byzantium
A. People and society were interwoven in complex and ever-changing
Concepts of humankind and society informed ways. The Byzantine concept of oikonomia is of
both the shape of Byzantine society and its self- particular interest here. In its ancient meaning,
image. This raises the question of what funda- this Greek word simply meant the ‘management
mental assumptions and values determined the of a household’ (hence the English word ‘econ-
contexts within which the women, men and chil- omy’ or the German Ökonomie, etc.). During the
dren of Byzantium lived their lives. It is difficult to Early Byzantine period, however, oikonomia in
collate information about individuals from across the sense of ‘divine providence’ became the basis
all social strata and regions of the empire, because for an entire theology of the Church Fathers. The
historical accounts usually focus their attention on divine manifested itself first in the creation of the
the higher social echelons and the imperial court cosmos and later in the incarnation of Christ as
at Constantinople. Moreover, literary practices the divine logos. In later centuries, Byzantine cler-
were also socially determined, dictating what kind ics interpreted oikonomia as God’s grace and dis-
of histories were written and influencing their pensation, which they elevated to a principle and
transmission to posterity. imitated whenever it was necessary to bend rules
Adopting a wide field of view allows some gen- for the greater good or for raisons d’état [2].
eral conclusions to be drawn. What does it say There also were parallels between the divine
about Byzantine society that 8  percent of the pop- and the human on a different level. The divinely
ulation performed military service, that between appointed emperor ruled as God’s earthly vice-
10 and 15 percent were associated in some way roy. Heaven was accordingly modelled on the
with → monastic institutions (7.5.) or that 10–20 Byzantine imperial court. The enthroned Christ,
percent were literate, most of them clerics [4]? surrounded by the heavenly host, bore a striking
These figures are, of course, only approximate, similarity to the emperor encircled by courtiers
and they fluctuated over the course of history, and servants in his audience hall (→ 1.3. The Byz-
but they reveal some generalities about the values antine court). Just as the kingdom of heaven found
that determined the structure of Byzantine soci- its physical reflection in the form of the emperor
ety. Great importance was attached to → culture and his empire, so too the cosmos created by God
(12.5.) and education. The empire’s chronic state was mirrored in microcosm in the human indi-
of war was important, but not overwhelmingly so. vidual [5]. This was emphatically affirmed by the
The Church played a crucial part in people’s lives, insistence that human beings had been created ‘in
not only conceptually, but also practically. Com- the image of God’ (Gn 1,26) – as Byzantine theo-
pared with other medieval societies, literacy rose logians lost no opportunity to stress in many dif-
to a rather high level, but it was largely confined ferent contexts. The best-known instance was the
to the clergy. debate that raged during the Eikonomachia, over
What was the self-image of people whose cal- whether it was possible at all to depict Christ in
endar was based on the biblical creation story, cal- human form (→ 7.1. Doctrinal history C.).
163 3.1. concepts of humanity and the world

The hidden presence of the divine in mate- as physician making the correct diagnosis and pre-
rial creation was felt to be self-evident and was scribing the right cure for the ailments of the state.
frequently the subject of edificatory tales. Partic- Less frequently, Byzantine society was seen as a
ularly noteworthy in this respect is the figure of body, the individual limbs and organs of which
the ‘holy fool’, a type of saint that became popular worked together in perfect harmony for the good
in the early 7th century. One such figure, Simeon of the whole. Such concepts were underpinned by
the Holy Fool, lived for three decades as a home- New Testament ideas of the Church as the body
less beggar in the city of Emesa, where his bizarre of Christ.
behaviour earned him the scorn of the populace, The self-image of Byzantium, as designed and
who failed to notice that he was capable of per- upheld by the mainly theological authors of the
forming great miracles as a protector and healer. surviving written sources, is that of a well-ordered,
The Byzantines believed that divine intervention harmonious political edifice in which everyone –
could ease problems of all kinds, from sudden including the emperor – had a predetermined role
poverty, heavy labourers’ hernias and female bar- under the eternal protection of God [3].
renness to political intrigues at court or the fate of Although people were very aware of their
imperial troops in battle. All misfortune, whether social status, there was no official way of making
personal or befalling the empire as a whole, was that status public, enforcing it or protecting it. No
regarded as God’s will and part of an unfathom- sumptuary laws prohibited certain people from
able plan for the salvation of humankind. Every wearing conspicuous clothing. No legal impedi-
one of the traumatic milestones of Byzantine his- ment prevented marriage across boundaries of
tory was seen in this way: the conquest of Jeru- social class. No official barriers blocked social
salem by the Persians in 614, the Arab invasions advancement. On the contrary – in the Middle
some decades later, the crusaders’ Sack of Con- Byzantine period in particular, legendary tales
stantinople in 1204, and the final fall of the city to portrayed the imperial household as deeply rooted
the Ottomans in 1453. in contemporary society. It was said that Emperor
Theophilos (829–842) went out into the city at
C. Social status and hierarchy night in disguise to learn of his people’s concerns.
Personal disasters and accidents elicited sym- He chose his future wife Theodora, daughter of a
pathy and lamentation. People looked for the provincial magnate, at a ‘bride show’ from an array
meaning behind their travails by finding com- of hopefuls. Their son Michael III (842–867) sur-
parable cases in the Bible. They invoked the Old rounded himself with a clique of athletic men, one
Testament figure of Job, who was often depicted of whom had come to the capital from the coun-
as a leper dressed in rags, sitting on a dung heap, tryside as a destitute youth intent on seeking his
a symbol of someone struck by sudden calamity. fortune. In due course, he murdered his former
Writers of the 12th century even elevated complain- imperial benefactor and ascended the throne as
ing about their impoverishment into an art form, Basil I (867–886). Basil’s grandson, Constantine VII
called ‘beggar poetry’ (Greek, ptōchorprodromiká; Porphyrogennetos (913–959), immortalized him in
→ 12.2. Literature F.8.). an ‘official’ biography.
If they were lucky, people with physical or The sections that follow offer a nuanced view
mental handicaps were looked after by their of Byzantine men and women whose names are
families. If not, they were left to their fate. Eccle- often unknown, but who have their own stories
siastical institutions offered limited support to that can be traced by careful reading of a broad
such people, whose disabilities were believed to spectrum of sources. Like virtually every aspect
be caused by demonic attacks. The civic rights of the Byzantine world, their views of themselves
of people with disabilities were akin to those of and their status in society were determined by the
women, slaves, heretics and Jews [8]: they could matrix of empire and Church.
not bring proceedings in court or appear as wit-
nesses, and they were excluded from appointment Bibliography
to the imperial administration and from military [1] PmbZ [2] C. Cupane, Appunti per uno studio
service. Fully entitled membership in society was dell’oikonomia ecclesiastica a Bisanzio, in: JÖB 38,
reserved exclusively for Orthodox men of a certain 1988, 53–73 [3] M. T. Fögen, Das politische Den-
social pedigree. ken der Byzantiner, in: I. Fetscher / H. Münkler
What were the concepts by which the Byzan- (eds.), Pipers Handbuch der politischen Ideen,
vol. 2, 1993, 41–85 [4] M. Jeffreys, Literacy, in:
tines understood the society in which they lived?
E. Jeffreys et al. (eds.), The Oxford Handbook of
Every social discourse was framed entirely by con- Byzantine Studies, 2008, 796–802 [5] A. Louth,
cepts of imperial authority. The vertical relation- Byzantine Theology, in: E. Jeffreys et al. (eds.),
ship between the ruler and his or her → subjects The Oxford Handbook of Byzantine Studies, 2008,
(1.4.) governed all. The most frequent metaphors 699–710 [6] C. Ludwig, Social Mobility in Byzan-
dated back to Classical Antiquity: the ship of state tium? Family Ties in the Middle Byzantine Period, in:
with the head of state as its pilot, or the emperor L. Brubaker / S. Tougher (eds.), Approaches to
3.2. demographics: languages, ethnicities, migration 164

the Byzantine Family, 2013, 233–245 [7] R. Mac- rectly, if at all, and will therefore not be discussed
rides, Nomos and kanon on Paper and in Court, in: here [22].
R. Morris (ed.), Church and People in Byzantium The invasions and migrations followed a range
(Spring Symposium of Byzantine Studies, Manches- of different patterns. Whereas the Vandals and
ter 1986), 1990, 61–86 (reprtined in: R. Macrides, Kin-
ship and Justice in Byzantium, 11th–15th Centuries,
Visigoths moved west to escape the pressure put
1999, 61–86) [8] M. Trenchard-Smith, Insanity, on them by the Huns and sought out lands for
Exculpation and Disempowerment in Byzantine Law, settlement there, the Huns were focused primarily
in: W. Turner (ed.), Madness in Medieval Law and on raiding and plundering, and had no interest in
Custom, 2010, 39–55. taking permanent possession of the regions they
passed through. The Romans adapted their policies
Claudia Rapp accordingly. Against the Huns, they deployed only
military force, interrupted if at all by brief periods
3.2. Demographics: languages, ethnicities, of peace guaranteed by tribute. Conversely, Rome
migration sought to settle Vandals and Visigoths within the
empire, treating them as foederati who assumed
A. The early Byzantine period (4th–6th centuries) military duties in the frontier zones of the Bal-
B. The middle Byzantine period (7th–12th kans in exchange for land, monetary payments or
centuries) payments in kind. For various reasons, this policy
C. The late Byzantine period (13th–15th centuries): went wrong, leading to the devastating Roman
the consequences of the Sack of Constantinople defeat at the hands of the Visigoths at the Battle
of 1204 and the fragmentation of the empire of Adrianople in 378, at which Emperor Valens
D. Conclusion himself fell. Luckily for the Eastern Empire, the
Visigoths then followed in the westward footsteps
A. The early Byzantine period of the Vandals, setting up their own kingdoms in
(4th–6th centuries) the territories of the Western Empire that at most
The concept of Byzantium invariably calls to recognized the emperor only formally as overlord.
mind a ‘Greek’ empire inhabited by Greeks, in The disintegrating Western Empire could do noth-
which the Greek language and culture were nur- ing to prevent this [11].
tured and preserved from Antiquity, thereby sur- In the east, the Balkans soon became the the-
viving into the modern world. This is certainly not atre of operations for new tribes, which the Byzan-
untrue, but it takes no account of the fact that tine emperors handled as clumsily as their western
throughout its existence, Byzantium was home to predecessors. Emperor Zeno pushed the Ostro-
many peoples speaking different languages and goths west in the 480s, and they established a de
upholding different cultural customs. This is par- facto independent kingdom in Italy. The emperors
ticularly true, of course, of the early period up to at Constantinople never recognized these king-
the 7th century, when the Eastern Roman Empire doms as independent, and after the fall of the
not only encompassed Greece and Asia Minor, but Western Empire when the Eastern Empire had the
was also present in Italy, the Balkans, Syria, Palaes- only Roman emperor, it laid claim to these terri-
tina, Egypt, North Africa and even Spain. Although tories. In the reign of → Justinian I (2.3.; 527–565),
some of these regions hosted Greek enclaves or, Constantinople reconquered Ostrogothic Italy and
like Southern Italy, had mixed populations, Greeks Vandal North Africa. In Spain, it also managed to
were a minority in most of them, even if Greek recapture at least the southeast, around the capi-
was the official common language of the Eastern tal, Cordoba. The multi-ethnic character of the
Empire, as Latin was in the West [3vol. 2, 1175 f.]; [46]. state thus reached a final high-water mark. This is
This situation was not static, but rather in con- also signalled by the enduring importance of Latin
stant flux. Although Asia Minor, the Near East and at → Constantinople (8.10.), not only in administra-
Egypt at this period were relatively unaffected tion and the army, but also at court, as instanced
by major population shifts, albeit not by inter- in Flavius Cresconius Corippus’ great panegyric to
nal unrest and attacks, in the → Balkans (15.3.) Justin II (565–578), Justinian’s successor (In lau-
and especially the Western Empire, the Roman dem Iustini Augusti minoris [2]; [24]).
Empire had to deal with recurrent invasions and Greek and Latin effectively functioned in the
the inward migration of foreign population groups Early Byzantine period as the twin ‘official lan-
both small and large. The Vandals and Visigoths guages’ of the empire, varying in intensity from
came in the 4th century, the Huns and Ostrogoths region to region. Some areas, such as Southern
in the 5th and the Slavs and Avars in the 6th – Italy and the Holy Land, were practically bilingual.
and these were only the groups that entered the Meanwhile, of course, the languages and dialects
Balkans from Eastern Europe and pushed west- of the local and regional populations continued
wards from there. The expansion of Western Ger- to exist across the whole empire. They are inad-
manic groups (Franks, Burgundians etc.) into Gaul equately attested in surviving sources, but must
affected the Eastern Empire/Byzantium only indi- have played a considerable role nonetheless, par-
165 3.2. demographics: languages, ethnicities, migration

ticularly in verbal communication (in general, cf. sions. North Africa was lost later in the century,
the survey in [30]; on monastic literature of the and in Italy, only the south was – with difficulty –
4th–6th centuries cf. [39]; a useful map in [3614 f.]). defended. By the mid-8th century, the empire
With the exception of Southern Italy and some effectively comprised only Asia Minor to the north
islands, the territories recaptured under Justin- and west of the Taurus and Antitaurus Mountains,
ian were lost again by the end of the 7th century. a few coastal regions of the Balkans, and – still –
Events in the Balkans, however, were more con- most of the Mediterranean islands.
sequential, as the Lombards and Avars challenged This of course had consequences for the demo-
Byzantine rule following the Ostrogoths’ migra- graphic composition of the population. It is gen-
tion to Italy. The Lombards also migrated to Italy erally assumed that the territorial losses led to
in 567, leaving the territory to the Avars, who greater homogeneity in the remaining territories
to some extent behaved as the Huns had in the of the empire as a kind of positive side-effect, but
5th century. The main problem here was that the from an ethnic perspective this was far from the
conflict with the Avars, especially when coupled whole truth. The Greek or Greek-speaking pro-
with the recrudescent war with the Persians in portion of the population must certainly have
the east, left the Byzantine frontier defence in increased, but the population was not homoge-
the Balkans so threadbare that it was impossible neous even now. Southern Italy still had a mixed
to prevent further tribal groups from entering. population of Greeks and Latins, and Lombards
Chief among these were the Slavs, who pressed were now added to the mix. In the Balkans, to
into the southern Balkans in numerous small judge by the few sources available, the Greeks
units and settled there. There is little sign in the seem to have withdrawn to coastal areas. Advanc-
sources of open hostilities. Rather, it seems that ing Slavic tribes, however, penetrated as far as the
the Slavs simply found suitable places to settle and Peloponnese, founding semi-independent polities
either forced the established population to flee or as they did so [20]. Besides Greeks, Asia Minor
pushed them into less fertile areas [29]. Although also still had its autochthonous population groups,
Byzantium managed to restore the frontier tem- but these are all but invisible in the sources.
porarily, it maintained control in the interior only
with great difficulty, if at all [20]. B.2. Armenians
While Byzantium lost the Balkan interior The Armenians, meanwhile, were becoming
slowly and most of Italy quickly, it maintained its increasingly important (→ 15.7. Minorities in the
authority in the East with relatively little difficulty, empire B.), particularly in the Byzantine mili-
although many regions suffered unrest, as ethnic tary [12]. Even some emperors were of Armenian
conflicts often disguised themselves as religious descent. Armenia proper was fought over by Byz-
disputes [26]. This occurred in Syria, where the antium and the Arabs just as it had been by Rome
Arab Ghassanids played an important part [41], and the Persians (→ 15.4. The Caucasus), and the
and in Egypt, where resentments continually sim- Armenians to some extent played both sides off
mered. The Jews in Palaestina were not persecuted, one another. Many of them fled the Arab advance
but they were tolerated rather than regarded as to Byzantium, settling there temporarily or perma-
normal subjects. Their problematic status is laid nently, but they were also capable of moving the
bare by a decree of Herakleios (610–641), ordering other way. Often, an Armenian who fell into dis-
them to leave Jerusalem and never to settle there favour at Constantinople simply switched to the
again ([5no. 197]; [37]; in general [42]). Arab side. Tačat (Greek Tatzates), for example, a
senior Armenian officer in the Byzantine army in
B. The middle Byzantine period the 780s, found himself at odds with the govern-
(7th–12th centuries) ment at Constantinople and defected to the Arabs,
which among other things forced the Byzantines
B.1. The impact of the Arab expansion on the to conclude a disadvantageous peace with the
population of the empire caliph [4I/4, 320 f. (#7241)]. Little wonder, then, if as the
B.2. Armenians sources suggest, the Armenians were extremely
B.3. Frontier regions in Asia Minor unpopular at Byzantium in this period. The schism
B.4. The Balkans between the Byzantine and Armenian Churches
B.5. The Seljuks and Latins cannot have helped [35]. The Armenian language
continued to play an important part in the prov-
B.1. The impact of the Arab expansion inces bordering on Armenia, not least because
on the population of the empire the Armenians celebrated the liturgy in their own
In the first half of the 7th century, Byzantium language rather than Greek. The same was true,
quickly lost Syria, Palaestina and Egypt, the entire albeit probably to a lesser extent, in Georgia [3vol.
Balkan interior and the last of its Spanish posses- 2, 1177]; [3023 f.].
3.2. demographics: languages, ethnicities, migration 166

B.3. Frontier regions in Asia Minor rule was constantly undermined by uprisings and
Another population shift (of which the sources unrest until the Bulgars regained independence in
tell us nothing) may have occurred as a result the 1180s. In the western Balkans, meanwhile, the
of the Arab expansion, as inhabitants of regions Croats and especially the Serbs were making their
conquered by the Arabs who did not wish to live presence felt. These groups would not come under
under Muslim rule emigrated to Asia Minor. Not Byzantine rule until the 10th or 11th centuries, and
all of them were necessarily Greek. There were that rule ended in the late 12th century [21].
also anti-Muslim Arab tribes, at least some of These are only the largest of the ethnic move-
whom moved into Byzantine territory and appar- ments that took place in the Balkans between the
ently settled there. Over time, a true hybrid popu- 7th and 12th centuries. Many other smaller groups
lation evolved in the frontier regions between also existed, on which the surviving information
Byzantium and the Caliphate, and this in turn is often incidental and fragmentary. It appears, for
attracted other outsiders, such as members of the example, that after the subjugation of the Pauli-
Paulician sect, who settled around Melitene and cians in Asia Minor in the 870s (see above, B.3.),
made forays from there into Byzantine Asia Minor some members of the sect settled in Thrace, where
until Basil I subjugated them in 873 (→ 7.3. Sanc- they are still mentioned in sources relating to the
tity, piety and deviance E.) [31]; [3vol. 3, 1606]; [35]. crusades. Arab merchants and trading posts are
The culture of this frontier population was by attested in Byzantine territory in the 10th cen-
no means exclusively Greek, but absorbed many tury. At Constantinople, the originally Scandina-
different influences, some of which were reflected vian Varangian mercenaries of the Imperial Guard
in literature. Digenis Akritas, for instance, the formed a cohesive, if small ethnic group (in gen-
eponymous hero of the most famous of the epic eral on these ‘foreigners’ cf. [33]; [38]). Some of the
Acritic Songs, had a Byzantine mother and an Byzantine population of Asia Minor probably also
Arab emir for a father [763–98]; [6]. There was more started fleeing to the Balkan provinces in the late
inward migration later, for instance by a large 11th century, as the Seljuk advance gathered pace.
group of Persians in the 9th century, although Here too, however, information is lacking.
nothing reliable is known about how long they
stayed ([4I/4, 656–659 (#8237)]; in general on the situ- B.5. The Seljuks and Latins
ation in this frontier region, see [23]; [34]). The Two more ethnic groups began to loom large
Jews should also not be forgotten in this context. in the 11th century. These were the Turks (Seljuk;
They were present in many cities of the empire, → 15.5. The east), who started invading Byzantine
although Byzantine sources mention them rela- Asia Minor in the mid-11th century, setting up
tively rarely (→ 15.7. Minorities in the empire C.; their own polities and either subjugating the local
cf. e.g. [16]; [17]; [18]; on the late period [9]). Byzantines or forcing them to flee to territories
still controlled by Constantinople (including the
B.4. The Balkans Balkans). Some Seljuks also entered Byzantine
The population of the → Balkans (15.3.) can also service themselves, so that the population and cul-
hardly be said to have been uniform. Although ture of Asia Minor were without doubt becoming a
the immigrant Slavic tribes eventually submitted hybrid of Greek, Armenian and Turkish. The afore-
to Byzantine rule, they never lost their own cul- mentioned epic of Digenis Akritas again illustrates
tures or languages entirely. The very fact that fol- this, appropriating and digesting elements of the
lowing the conversion of the Balkan peoples, the developments of this period [45]; [8].
liturgy was celebrated there not in Greek but in The second new group was the Latins (→ 15.7.
Old Church Slavonic [3vol. 1, 459, 461], shows that the Minorities in the empire A.) in general, first among
population was not entirely Hellenized. If Helleni- them being the Italian – especially Venetian – mer-
zation happened at all, it was probably confined chants. In addition to quarters at Dyrrhachium and
to the ruling elite, who were presumably at least Constantinople, they founded trading posts with
bilingual [3vol. 1, 459, 461; vol. 2, 1177]. imperial trading privileges in many Byzantine port
The main obstacle to recovering the Balkan cities, living there under their own rules and laws
interior, however, was not primarily the Slavs, and even with their own churches, which followed
who did not develop particularly belligerent poli- the Roman rite and were not under the control of
ties, but other peoples who entered the region at the Byzantine patriarchate [32]; [25]. In addition
this period. Chief among them were the Bulgars, to the Venetians, Pisan and Genoese merchants
who arrived towards the end of the 7th century settled in Byzantium in the 12th century, but their
and founded an empire of their own, which Byz- activities were concentrated primarily in Constan-
antium could not subjugate until the 10th/11th tinople. Apart from these, there of course were
centuries [1436–41]. Even then, however, Byzantine the many foreign mercenaries, but again these
167 3.2. demographics: languages, ethnicities, migration

were probably mostly stationed in and around the continuation of a process that had already been
capital. Particularly after the 10th century, the pro- evident in the Middle Byzantine period [15]; [10].
file of Constantinople was strikingly multicultural, Byzantium must certainly have been affected
but this roused the resentment of the indigenous by the ongoing migrations of the 14th century,
population, which surfaced especially in the late which by now involved the Albanians, Vlachs and
12th century, as central government control largely Athinganoi (‘Gypsies’; cf. [44]). Yet because its
collapsed ([13]; in general also [43]; most recently remaining provinces were simply too dispersed
[30]). and too small by this time for any overall strat-
egy to be perceptible, let alone possible, nothing
C. The late Byzantine period can be said about the extent or intensity of such
(13th–15th centuries): the effects. The population in this period also appears
consequences of the Sack of to have fallen so much on account of the Black
Constantinople of 1204 and the Death in the 1340s and the civil wars that the
fragmentation of the empire pressure on available cultivable land significantly
The Byzantine Empire was never again a coher- dropped; and, in any case, it was probably difficult
ent, united entity after the Fourth Crusade (1202– to find enough labour to work it. It is interesting
1204). → Constantinople (8.10.) itself was taken to note that the educated elite, faced with such a
by the crusaders, who also captured the former miserable turn of events, began to take refuge in
Byzantine heartlands. The Byzantines regrouped the past, producing a cultural and literary renais-
on the periphery, establishing their own polities sance that as it were masked the present. This
not only to oppose the Latins, but also to fight for renaissance did not, however, survive the demise
primacy among themselves. Ultimately, Nicaea of the empire. Significantly, the epicentre of this
won the fight, and Constantinople was recovered renaissance in the empire’s final years was located
in 1261. It seems likely that the population of the not so much in Constantinople as in the Despotate
capital at this period was not much greater than of Morea (→ Mistra (8.13.)) on the Peloponnese.
50,000 people, and it remained fairly static until Economic conditions there were better than in the
the Ottoman conquest in 1453 [3vol. 1, 511 f.]; [40]. isolated capital, but they were not good enough
Constant warfare, internal unrest and the lack for the despotate to survive as an independent
of a navy meant that Byzantium could now no lon- entity in the face of Ottoman pressure. Ordinary
ger sufficiently control long-distance trade routes, people, meanwhile, reacted to the situation by
making it unable to generate enough revenue. fleeing into the arms of the Orthodox Church,
Consequently, Byzantium remained reliant on its and until the end of the empire they vehemently
Italian presence even after recapturing Constanti- rejected any compromise with the Latins and the
nople in 1261, and particularly on that of the Gen- Roman Church.
oese and Venetian traders who maintained their
own quarters in the capital. All the provinces of D. Conclusion
Asia Minor were lost to the Ottoman Turks by the The superficial impression of Byzantium as
mid-14th century. In the Balkans, the Byzantines Greek is primarily a consequence of the bias of
faced the militarily superior Serbs, Bulgars and the sources. During the Middle Byzantine period,
(still) Latins, who had established realms there Greek became both the official administrative lan-
since 1204, mainly in Attica and on the Pelopon- guage of the empire and the language of the edu-
nese. It is reasonable to assume, therefore, that cated classes. As a result, literary works and the
Latin was still widespread in these regions along- (few) surviving administrative documents, records
side Greek. Old French was also spoken in the and so on are almost exclusively in Greek.
Latin princedoms, and the Italian dialects of the The people living in the empire, meanwhile,
Genoese and Venetians on the islands. belonged to a broad spectrum of ethnic groups
A common language naturally evolved out of that continued to use their own languages and
this amalgam of languages and dialects: the lingua dialects, at least among themselves. Several legal
Franca, which contained elements of all these lan- documents from Southern Italy for instance deal
guages and was understood everywhere [27]; [28]. with property transactions involving Armenian
In Byzantium itself, Greek of course continued to inhabitants of Bari. These documents clearly show
be spoken, but not Classical Greek, which by now that Armenian was spoken (if not necessarily
was known only to the educated classes. Rather, exclusively) within this group ([1nos. 3–5, pp. 8–19; no. 9,
a colloquial language had developed out of the p. 18; no. 11, pp. 21–24]; cf. [19491 f.]; [35]). This was in all

koine of Late Antiquity. Although it still shared probability the norm for closed groups of foreign-
the alphabet and many meanings with Classical ers who had settled in the empire, been resettled
Greek, it was diverging in other respects, forming within it or moved elsewhere of their own voli-
the basis of what would become Modern Greek. tion. However, because almost all the Byzantine
This, however, was nothing new, but merely the archives were destroyed or lost after the Ottoman
3.2. demographics: languages, ethnicities, migration 168

conquest of 1453, if not before, little trace remains Byzantine Administration and the Southern Slavs
of this ethnic – and hence cultural – diversity. The from the VIIth to the XIIth Centuries, 1976 [22]
real Byzantium may well have been far more eth- W. Goffart, Barbarians and Romans a.d. 418–584.
nically, linguistically and culturally diverse than The Techniques of Accommodation, 1980 [23]
J. F. Haldon / H. Kennedy, The Arab-Byzantine
the deficient body of sources today suggests (cf. Frontier in the Eighth and Ninth Centuries. Military
most recently [30], with comprehensive bibliogra- Organisation and Society in the Borderlands, in: ZRVI
phy of sources and literature). 19, 1980, 79–116 [24] H. Hofmann, Corippus, Fla-
Maps: Maps 2–8, Maps 14–19; BNP Suppl. 3, 234, vius Cresconius, in: BNP 3, 2003, 804–805 [25] D.
235, 237, 239, 241, 243 Jacoby, The Venetian Quarter of Constantinople
from 1082 to 1261. Topographical Considerations, in:
C. Sode / S. Takacs (eds.), Novum Millennium.
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F. V. Corippus, In laudem Iustini Augusti minoris in the Levant. Turkish Nautical Terms of Italian and
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Medieval and Modern Greek, 51981 [11] T. S. Burns, ienischen Kommunen Venedig, Pisa und Genua in der
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Chrétiens dans l’Orient du VIIe siècle, in: TM 11, 1981, rium Romanum (4.–6. Jahrhundert), 2001 [38] G.
17–273 [18] N. De Lange, Hebrews, Greeks or Prinzing, Vom Umgang der Byzantiner mit dem
Romans? Jewish Culture and Identity in Byzantium, Fremden, in: C. Lüth (ed.), Der Umgang mit dem
in: D. C. Smythe (ed.), Strangers to themselves. The Fremden in der Vormoderne, 1996, 117–143 [39] C.
Byzantine Outsider (Papers from the Thirty-Second Rapp, Hagiography and Monastic Literature between
Spring Symposium of Byzantine Studies, Brighton Greek East and Latin West in Late Antiquity, in: Cris-
1998), 2000, 105–118 [19] G. Dédéyan, Le stratège tianità d’Occidente e Cristianità d’Oriente (secoli
Symbatikios et la colonisation arménienne dans la VI–XI) (Spoleto 2003; Settimane di Studio della Fon-
thème de Longobardie, in: Ravenna da capitale impe- dazione Centro Italiano di Studi sull’Alto Medioevo
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gresso internazionale di studio sull’alto medioevo, tinopel. Geschichte und Archäologie, 2007 [41] I.
Ravenna 2004), 2005, 461–493 [20] H. Ditten, Eth- Shahîd, Byzantium and the Arabs, 4 vols. in 6 parts,
nische Verschiebungen zwischen der Balkanhalbin- 1984–2002 [42] A. Sharf, Jews and other Minori-
sel und Kleinasien vom Ende des 6. bis zur zweiten ties in Byzantium, 1995 [43] D. C. Smythe (ed.),
Hälfte des 9. Jahrhunderts (BBA 59), 1992 [21] J. Strangers to themselves. The Byzantine Outsider
Ferluga, Byzantium on the Balkans. Studies on the (Papers from the Thirty-Second Spring Symposium
169 3.3. women, men and eunuchs

of Byzantine Studies, Brighton 1998), 2000 [44] The second explanatory approach focused on
G. C. Soulis, The Gypsies in the Byzantine Empire difference. It postulated a fundamental – indeed
and the Balkans in the Late Middle Ages, in: DOP cosmic – opposition of masculinity and feminin-
15, 1961, 141–165 [45] S. Vryonis, The Decline of ity, the conflict between which produced life.
Medieval Hellenism in Asia Minor and the Process
of Islamization from the Eleventh to the Fifteenth
Men and women were believed to be the physi-
Century, 1971 [46] H. Zilliacus, Zum Kampf der cal manifestations of these universal principles
Weltsprachen im oströmischen Reich, 1935. and were regarded as wholly unrelated races. The
otherwise crucial argument concerning ‘heat’ was
Ralph-Johannes Lilie solved by asserting that women also produced
sperm [25]; [26]. Above and beyond physical real-
3.3. Women, men and eunuchs ity, then, it became possible to identify male and
female essences, which respectively influenced
A. Gender roles behaviour. In men, essential masculinity was
B. The Christian view found ‘not only in the reproductive organs, but
C. Social practice also in his strength and his gaze, his character and
his demeanour’, while the femininity of women
A. Gender roles manifested itself in ‘essential (or natural) weak-
Distinctions of sex and gender in Byzantium ness’ (Meletios, Creation of Man [5115, ll. 17–31]). In this
gave rise to a multi-layered reality. There may be discourse, eunuchs were not treated as a separate
some truth in the generalizations that the ‘pri- sex, but as people either with the soul of a man
vate’ sphere was the female domain, men had a or the body of a woman, depending on whether
monopoly on the ‘public’ sphere and eunuchs the author in question was sympathetic or hostile
embodied the logical conclusion of slavery, but to them.
real life in the empire was far more complex. Its
apparent coherence was the product of a Byzan- B. The Christian view
tine discourse that had its origins in the moral and Christianity appropriated both points of view
scientific theories of Late Antiquity, now given a on the basis of two passages from the biblical
new Christian interpretation. In the first place, creation story. Gn 1:27 suggests a human being
this discourse defined otherness, since these theo- combining male and female characteristics and
ries were chiefly concerned with femininity in its qualities, a kind of androgynous archetype, which
various manifestations. God then divides into two equal beings with dif-
Scientific discourse took a two-pronged ferent characteristics. In Gn 2:21–24, man and
approach to differentiating the two sexes. The first woman are of the same nature, an archetypal
approach proposed their fundamental unity. This human-being that is, in theory, male. Women
unity, however, was not conceived as equality, but and men are two separate ‘parts’ and their union
as a hierarchy. It was determined by the existence, restores the original condition.
degree and distribution of the vital heat stored in On a more abstract level, theological discourse
the human body. According to this theory, there transformed masculinity and femininity into spiri-
was only one sex, but it existed in differing degrees tual qualities: one embodied the energy and power
of perfection, distinguished as masculinity and of the spirit; the other, passivity and obedience to
femininity, whereby the latter was considered the logos (Didymus the Blind of Alexandria, In
deficient. In an ideal world, it was argued, nature Genesim 1,63,10; 4th cent. [3]). From this perspec-
would produce only men (Michael Psellos, Op. tive, men and women alike held a female position
16,106–109; 11th cent. [7]). in relation to God, seeking access to a spiritual
Physical difference existed only in the exter- masculinity symbolized by angels and embod-
nal shell. Even the sexual organs were believed ied by eunuchs, who, having left physical nature
to be the same, but external in men and internal behind, represented realities that transcended
(because of their lack of bodily heat) in women nature. On a less complex level, masculinity exem-
(Meletios, Creation of Man [5115, ll. 17–19]; [22]). The plified human qualities, while the feminine stood
presence of heat revealed itself in the appear- for inferiority, weakness and susceptibility to
ance of facial hair. As a sign of sexual maturity, sin [11].
the beard distinguished men from women, and it From a Christian perspective, then, gender
was also a mark of differentiation from beardless equality was an illusion. The sole legitimate venue
males, i.e. boys and eunuchs (→ 3.5. Stages of life). for the encounter of the genders, the family, was
Whereas boys would mature to perfection, how- a strictly hierarchical entity. The Church Fathers
ever, becoming men in full, eunuchs faced noth- saw the concept of authority in the family in the
ing but regression into complete effeminacy (Leo light of the principle that ‘the man is most suited
Medicus, Synopsis [446, 834]). to bear responsibility. The woman is always in
3.3. women, men and eunuchs 170

second place’ (Cyril of Alexandria, in: [1vol. 68, 1068C], enjoyed more privileges than destitute men (cf.
4th cent.). Female dominance led to a general e.g. the poetry collection Ptochoprodromos; → 12.2.
decline, for ‘the worst of all evils is the domestic Literature F.8.), while women without means had
war that female authority wages without cease’ more freedoms than surviving texts suggest. Aris-
(John Chrysostom, in: [1vol. 51, 231], 4th cent.). If men tocratic women were by no means invisible and
and women were equal, nothing would guaran- often had considerable power – even almost abso-
tee peace, for ‘we seek in vain for peace wherever lute power in the case of empresses [13]; [15]; [14];
equality reigns’ (Chrysostom, in: [1vol. 62, 141]). Peace [17]). The fact that husbands began taking their
in family and society alike requires a single, male wives’ family names in the 11th century attests to
authority [19]; [12]. Eunuchs, meanwhile, were the importance of female lineage [21]. Age and the
not recognized in Christian doctrine as fully male. legal stipulation of their share of the father’s estate
Even when they were associated with imperial gave women the means to fight for power and win
authority, they were regarded merely as the ser- it. In the case of ‘seductresses’ (→ 3.4. Sexuality), a
vants or appointees of their male superiors. dangerous presence in the male imagination, their
seizure of power was well-nigh total.
C. Social practice Despite the contempt in which they were held,
Social practice was dominated by the difficult eunuchs became an important component of the
position of women and by flagrant inequality. structure of supreme power in Byzantium (→ 1.3.
The law allowed women to administer their own The Byzantine court E.). In Late Antiquity, they
property and protected them against male abuse had been slaves or foreigners whose importance
and violence, but it also institutionalized male depended on their role as loyal servants of the
superiority in all spheres of social life, including emperor, but the eunuchs of the Middle Byzantine
bestowing greater freedom on men in the exercise period (especially between the 9th and 11th centu-
of → sexuality (3.4.) [9]. ries) were Byzantine natives who forged their own
Because women were officially excluded influential ‘families’ and exercised power as state
from political and ecclesiastical power, they suf- and church officials (often at the highest level, e.g.
fered disadvantage in many respects, especially as patriarch) [28]. Eunuchs then found themselves
in regard to economic opportunities, access to relegated to domestic servants again under the
higher education and freedom of movement. Palaiologos Dynasty, before finally declining again
Some spheres of economic activity, however, to the status of slaves under the Ottomans [23].
were exclusively reserved to them, particularly Regardless of the principles of male superiority
the manufacture of clothing [20], catering (Vita of and female inferiority, men, women and eunuchs
St. Theodore of Sykeon [2], 7th cent.) and mid- were constantly renegotiating their positions in
wifery; these were supplemented by the entertain- the power structures of the family and society at
ment business (Procopius, Anekdota [6], 6th cent.) large. The rigidity of Byzantine declarations in this
and agricultural labour in villages [18]. Their main area is deceptive. Such statements were merely a
task, however, was to keep house. Girls might way of rationalizing a reality that remained stub-
receive elementary education, but higher educa- bornly undisciplined.
tion was a privilege limited to a very small number
of women of the highest echelons of society, one Bibliography
notable example being Princess Anna Komnene
(first half of the 12th cent.). Sources
Participation in religious life offered women [1] PG [2] Vie de Théodore de Sykéôn, 2 vols., edited
the only pretext on which they could move freely, by A.-J. Festugière, 1970 [3] Didymus the Blind
in order to visit churches and even distant mon- (Didyme l’Aveugle), In Genesim (Sur la Genèse),
2 vols., edited by P. Nautin and L. Doutreleau, 1976–
asteries. They also often took a rather active part 1978 [4] A.-M. Ieraci Bio, Leone Medico, Synop-
in political uprisings by the populace of Constan- sis, in: Medici bizantini, edited by A. Garyza et al.,
tinople. Although women were victims of the 2006, 785–859 [5] Meletios, Περὶ τῆς τοῦ ἀνθρώπου
Byzantine social system and a patriarchal politi- κατασκευῆς, in: Anecdota Graeca e codd. manuscrip-
cal and religious ideology that considered them tis Bibliothecarum Oxoniensium, vol. 3, edited by J.
inferior, individual women who devoted their lives Cramer, 1985, 1–157 [6] Procopius, Opera omnia,
exclusively to Christ could often attain positions vol. 3: Historia quae dicitur arcana (Anecdota), edited
of spiritual power. Some women who remained by J. Haury / G. Wirth, 1963 [7] M. Psellos, Philo-
in society managed to pursue their interests and sophica minora, vol. 1, edited by J. M. Duffy, 1992.
accumulate their own gains. However, in exercis-
Secondary literature
ing power as mothers or honourable nuns, they [8] Bibliography on Gender in Byzantium (https://
were helping to perpetuate patriarchal norms. www.doaks.org/research/byzantine/resources/
Gender difference was influenced by a range of bibliography-on-gender-in-byzantium#c2=all&b_
economic and social pressures. Wealthy women start=0) [9] J. Beaucamp, Le statut de la femme
171 3.4. sexuality

à Byzance (4e–7e siècle), 2 vols., 1991–1992 [10] prostitution) to illegal (a range of practices includ-
G. Clark, Women in Late Antiquity, 1993 [11] C. ing homosexuality).
Galatariotou, Holy Women and Witches. Aspects Permitted sexuality was defined within the
of Byzantine Conception of Gender, in: BMGS 9, limits of marriage, serving a double purpose: pro-
1984–1985, 55–94 [12] L. Garland, The Life and
Ideology of Byzantine Women. A Further Note on
creation and self-control (John Chrysostom, in:
Conventions of Behaviour and Social Reality as [1vol. 51, 213]). Ancient medical and philosophical
Reflected in Eleventh and Twelfth Century Historical writings already discussed marital sexual inter-
Sources, in: Byz 58, 1988, 361–393 [13] L. Garland, course [8]. Christianity then took up many of the
Byzantine Empresses. Women and Power in Byzan- intellectual constructs of its pagan predecessors,
tium, 1999 [14] J. Herrin, Women in Purple. Rulers while always applying its own particular stamp
of Medieval Byzantium, 2011 [15] B. Hill, Imperial [6]. According to the dominant Christian theories,
Women in Byzantium 1025–1204, 1999 [16] L. James erotic attraction was introduced to human life by
(ed.), Women, Men and Eunuchs. Gender in Byzan- divine providence so that men and women could
tium, 1997 [17] L. James, The Role of Women, in:
tolerate each other (John Philoponos, De opificio
E. Jeffreys et al. (eds.), The Oxford Handbook of
Byzantine Studies, 2008, 643–651 [18] A. E. Laiou, mundi, 6th cent. [3272, ll. 5–14]). Eros and desire were
The Role of Women in Byzantine Society, in: JÖB not regarded as emotions, but irresistible mecha-
31/1, 1981, 198–204 [19] A. E. Laiou, Observations nisms of nature with three purposes: one natural
on the Life and Ideology of Byzantine Women, in: (procreation), one social (gender-based division of
BF 9, 1985, 59–102 [20] A. E. Laiou, The Festival of labour) and one moral (self-control). The Byzan-
‘Agathe’. Comments on the Life of Constantinopoli- tine Church Fathers balked at intervening in the
tan Women, in: N. A. Stratos (ed.), Byzance. Hom- lives of married couples beyond these stipulations,
mage à André N. Stratos, vol. 1, 1986, 111–122 [21] although some authors advocated limiting sexual-
A. E. Laiou, Mariage, amour et parenté à Byzance ity to the purpose of reproduction (e.g. Maximus
aux XIe–XIIIe siècles, 1992 [22] T. Laqueur, Mak-
ing Sex. Body and Gender from the Greeks to Freud,
Confessor, in: [1vol. 90, 989A–B]).
1990 [23] C. Messis, Les eunuques à Byzance, entre Some Christian authors sought to regulate the
réalité et imaginaire, 2014 [24] K. Ringrose, The frequency of sexual intercourse in marriage, warn-
Perfect Servant. Eunuchs and the Social Construction ing that constant postponement could weaken
of Gender in Byzantium, 2003 [25] A. Rousselle, desire and hence further defeat the true, repro-
Porneia. De la maîtrise du corps à la privation sensori- ductive purpose of sex (Clement of Alexandria,
elle, IIe–IVe siècles de l’ère chrétienne, 1983 [26] A. Paidagogos, 2,10,97,1). Throughout history, from
Rousselle, Corps féminin et hystérie. L’impossible Antiquity to the modern age, penetration was the
question du sperme féminin, in: A. Rousselle, La decisive sexual act, exemplifying sexuality per se
contamination spirituelle. Science, droit et religion
and affirming the sexual hierarchy. It was assumed
dans l’Antiquité, 1998, 25–68 [27] A.-M. Talbot,
Women and Religious Life in Byzantium, 2001 [28] that there was one active partner ‘burning with
S. Tougher, The Eunuch in Byzantine History and desire’ and one passive partner (i.e. a woman)
Society, 2008. longing to be penetrated or to reproduce.
If sexual activity was to retain its essence, it
Charis Messis had to be expressed in the form of an act either
of physical violence or of psychological seduction.
In contrast, Eros as an emotion belonged to the
3.4. Sexuality sphere of the unreal, fantastical or playful, e.g.
in Byzantine classical poetry and, from the 12th
A. Ancient tradition and Christian thought century, in the prose romance. Even in such lit-
B. Legal aspects erary representations, however, erotic attraction
C. Prostitution was not the product of an internal development,
but rather a symptom of an attack from outside
A. Ancient tradition and Christian that changed the victim’s consciousness (Michael
thought Psellos, De omnifaria doctrina, chapter 109 [4];
Many cultural factors clashed over sexuality in [5]). Eros was thus merely the most spectacular
Byzantium. Patterns of behaviour inherited from metaphor for the violence that structured the
Greco-Roman Antiquity came up against Christian social sphere.
education, social practices against moral concerns
and the discretion of the private sphere against B. Legal aspects
the necessity of public social controls. Across the Any extramarital sexual activity was potentially
spectrum of its possible manifestations, sexuality subject to state legislation and canon law, which
in Byzantium could range from permitted (in mar- defined permissible sexuality by banning other
riage), tolerated (if not morally, then legally, e.g. forms. Byzantine law was primarily interested in
establishing who, according to degree of relation,
3.4. sexuality 172

was and was not allowed to marry (→ 4.2. Canon Theodora in Procopius’ 6th-century Secret History,
law C.), and it occasionally also forbade extramari- in which prostitution was offered in public places
tal sexual relations (prostitution, adultery, incest). as a spectacle, to the Tournament of Whores of the
In so doing, it supported marital sexuality. It rec- poet Stephanos Sachlikes in the 14th century, pros-
ognized any unwarranted deprivation of sexual titutes tended mainly to attract attention if they
activity (e.g. male impotence) as possible grounds subsequently enjoyed stellar careers as empresses,
for divorce. Byzantine laws criminalized certain saints (esp. in Late Antiquity) or mothers of saints
forms of sexual violence (abduction, defloration) (e.g. of Theodore of Sykeon). Anonymous prosti-
and sexual acts against ‘nature’ (e.g. homosexual- tutes were usually only of interest as recipients
ity, bestiality [14]; [15]). Finally, people promoting of generous gifts from emperors or saints (male
and facilitating illegal sexual intercourse (e.g. pro- or female) intended to encourage them on a path
curers) were also punishable under the law. more pleasing to God (Theoph. Cont. 95,2–7).
Canon law – an eclectic collection of moral Female prostitution, then, was tolerated. Male
rules associated with ecclesiastical penalties prostitution faced the problem of the unequivo-
(epitimia) – covered some of the same points as cal prohibition of homosexual practices in secular
imperial law, as well as some others. Civil law for- and ecclesiastical law and of the social oppro-
bade some marriages on the grounds of degree brium they attracted. Although male sexuality in
of kinship, but ecclesiastical law – and especially Greco-Roman Antiquity has been boiled down
penitential rules - developed this point into a raft to pederasty and a strict rejection of ‘effeminacy’
of imaginative incest scenarios. It treated solitary (i.e. the male taking the passive sexual role) [20];
sexuality (masturbation) as a punishable offence [10]; [11], Christianity encouraged the rise of a new
and even dared a stolen glance into the marital anthropological type, the arsenokoites (‘[one who]
bedchamber to ban anal intercourse between hus- has relations with men’). This term from the New
band and wife. Testament (1 Cor 6,9) is much more frequent in
While civil and ecclesiastical law was con- Byzantine texts than sodomites (‘sodomite’), a
cerned with sexual acts and offences per se, a sub- medieval neologism based on the Old Testament
stantial corpus of penitential literature directed (for the West: [12]). The new type was the result
its attention towards the individual, exploring the of a shift of focus: in its approach to sexuality and
profile of the sinner (age, social status) and the cir- its reform discourse, Christian thought was more
cumstances of the crime (intoxication, temporary preoccupied with the party responsible for the
insanity, demonic influence). sin – the active man – and less with the supposed
victim.
C. Prostitution On closer examination, texts reveal two dis-
The word porneía in Byzantine texts refers tinct attitudes in the sexuality of the arsenokoites.
either to fornication or to prostitution. Pornē was One variant devoted himself to excesses of lust
the word for a woman who sought to seduce a and pleasure – sins going beyond satiation – and
man not out of ‘burning desire’ (which was consid- his desire made no distinction between males and
ered typically male), but rather out of sheer men- females. His sexuality pursued variety. The other
tal perversion in an attempt to steal his dominant type of arsenokoites was a slave to his own over-
role (e.g. the temptress figure in hagiography [9]; heated nature. He was a man who sinned, like
[13]), or for a woman conducting commercial sex- all others, because of a natural need. Blinded by
ual activity. The two variants merged in Mary of desire, the ‘hot’ male nature paid no attention to
Egypt, the prototype of the remorseful harlot. For- whether an act was in accordance with nature,
nication, defined as sexual intercourse between i.e. was with a woman. His only concern was the
a man and an unmarried woman, was a case for rapid satisfaction of an urgent need. The homo-
theologians as well as for the civil courts and led to sexual act was merely one surrogate as far as this
fines and corporal punishment. In the eyes of the type of arsenokoites is concerned. He is a man who
law, the defining element of a sexual act as forni- yields to sin – or, in another view, is perverted
cation (as distinct from adultery) was the marital by sin.
status of the woman, not that of the man (Ekloge, This change in attitudes to homosexual activi-
17,20–23 [1870–78]). ties was also reflected in civil law, beginning with
Porneia as sex for money was of no particular the Ekloge of the Isaurian emperors (→ 4.3. Legisla-
interest in either canon or imperial law. It was tion B.3.) [19]; [17]. The malakos (‘soft’; i.e. ‘passive
evidently tolerated. The Macedonian emperors weakling’) of Antiquity now became a suffering
maintained the regulation established by → Justin- subject, representative of the victim of sexual vio-
ian I (2.3.; 527–565; Cod. Just. 8,51,3; 11,41,7; Nov. 14) lence. From now on, the sexually responsible per-
[16]; [7]. References in other texts are rare. From petrator was the sexually active male, or, in legal
173 3.5. stages of life: from childhood to death

jargon, ‘the one who acts’. He would now come in 3.5. Stages of life: from childhood to death
for heavier punishment. The authoritarian Byzan-
tine system saw unrestrained masculinity as more A. The Byzantine view of the stages of life
suspect than decadent effeminacy. On the other B. Childhood
hand, the law completely ignored acts of female C. Adolescence
homosexuality, presumably because questions of D. Adulthood
penetration seemed not to arise. Lesbianism was E. Old age and senescence
only mentioned, if at all, in allusions by Chris-
tian moralists (the Phoberos Typikon, first half of A. The Byzantine view of the stages
12th cent. [281, l. 6 f.]). of life
Overall, sexual references in normative and As in other areas of life, mentality and the
descriptive Byzantine texts reflect a sexuality as intellectual world, Byzantine periodizations and
verbalized in discourse and metaphor. The real- descriptions of the stages of life betray the influ-
ity of sexuality as people lived it in Byzantium ence of Ancient Greek authors. Because several dif-
must remain obscure, caught between unspecified ferent systems were known, the number of stages,
actions and the silence of the participants. their names and distinguishing features vary in
the sources. Pythagoras divided human life into
four stages (corresponding to the four seasons:
Bibliography spring/childhood; summer/youth; autumn/matu-
rity; winter/old age), each lasting 20 years [1455, cap.
Sources 5]. Plato distinguished nine stages of life [1454], and
[1] PG [2] Typikon of John for the Monastery of
St. John the Forerunner of Phoberos, in: Noctes Petro-
Solon ten [2150, no. 23], each lasting seven years. The
politanae, edited by A. Papadopoulos-Kerameus, 1913, Byzantines, however, preferred the model of Hip-
1–88 [3] J. Philoponos, De opificio mundi, edited pocrates, who identified seven stages (infant, boy,
by W. Reichardt, 1987 [4] M. Psellos, De omni- adolescent, youth, man, elderly man, old man),
faria doctrina, edited by L. Westerink, 1948. most lasting seven years (Corpus Hippocraticum,
De hebdomadibus, 1–35).
Secondary literature Byzantine authors seldom described age in
[5] H. G. Beck, Byzantinisches Erotikon, 1984 [6] terms of years of life. More often, they referenced
P. Brown, The Body and Society. Men, Women and biological and intellectual characteristics and
Sexual Renunciation in Early Christianity, 1988 [7] activities associated with the status of the individ-
C. Dauphin, Bordels et filles de joie. La prostitu- ual in society and under the law. The description
tion en Palestine byzantine, in: ΕΥΨΥΧΙΑ. Festschrift
of beard growth and its changing coloration, for
H. Ahrweiler, 1998, 177–194 [8] M. Foucault,
Histoire de la sexualité, 3 vols., 1976–1984 [9] C. example, was one way of defining the stages of a
Galatariotou, Eros and Thanatos. A Byzantine man’s life.
Hermit’s Conception of Sexuality, in: BMGS 13, 1989,
95–137 [10] D. Halperin, One Hundred Years of B. Childhood
Homosexuality, 1990 [11] D. Halperin, How to Do Childhood was divided into two phases. The
the History of Homosexuality, 2002 [12] M. Jor- first (prote helikia, ex nepias helikias, nepiotes, ex
dan, The Invention of Sodomy in Christian Theology, apalon onychon) was in turn subdivided into two
1997 [13] A. Kazhdan, Byzantine Hagiography and developmental stages: infancy (brephike helikia;
Sex in the Fifth to the Twelfth Centuries, in: DOP 44, up to the age of two, approximately weaning age)
1990, 131–143 [14] A. E. Laiou, Mariage, amour et
parenté à Byzance aux XIe–XIIIe siècles, 1992 [15]
and young childhood (age 2–7). The second phase
A. E. Laiou, Sex, Consent, and Coercion in Byzan- (deutera helikia, deutera helikiosis, paidike helikia)
tium, in: A. E. Laiou (ed.), Consent and Coercion to began at seven and lasted until twelve for girls and
Sex and Marriage in Ancient and Medieval Societies, fourteen for boys. These ages differed by gender
1993, 109–221 [16] S. Leontsini, Die Prostitution because of girls’ earlier sexual maturity. The abil-
im frühen Byzanz, 1989 [17] K. Pitsakis, Η θέση ity to speak was regarded as the criterion for entry
των ομοφυλοφίλων στη βυζαντινή κοινωνία, in: C. A. into the second phase of childhood.
Maltezou (ed.), Πρακτικά Ημερίδας. Οι περιθωριακοί Children began to help their parents at work
στο Βυζάντιο, 1993, 171–269 [18] S. Troianos, O when they were seven, and according to the
‘Ποινάλιος’ του Εκλογαδίου, 1980 [19] S. Troianos,
sources they were also often sent to school.
Kirchliche und weltliche Rechtsquellen zur Homo-
sexualität in Byzanz, in: JÖB 39, 1989, 29–48 [20] School education enabled a child in the second
C. A. Williams, Roman Homosexuality. Ideologies phase to reach intellectual maturity, distinguish
of Masculinity in Classical Antiquity, 1999. between good and evil and even to make some
life decisions. In the Middle Byzantine period, for
Charis Messis
3.5. stages of life: from childhood to death 174

instance, entry to a monastery was legally permis- independence and personal responsibility. Entry
sible at the age of ten. There was no legal obstacle into adult life was associated with gender-specific
to betrothal on the basis of the father’s choice of initiation rituals, some of which were symbolic,
partner as from the age of seven. Children could e.g. trimming a chin beard for young men and
then give their consent to a planned marriage on pinning up the hair or veiling the head for young
reaching the age of maturity. Sexual maturity, i.e. women [414 f.].
the ability to have children, was also considered
the criterion marking the transition from child- E. Old age and senescence
hood to adolescence [328–36]. As with all stages of life, Byzantine authors
described the final phase and its biological and
C. Adolescence mental or intellectual changes chiefly in reference
Adolescence was the crucial phase of transi- to men. Physiological characteristics included
tion from childhood to adulthood, during which greying temples, greying or whitening hair or bald-
a person became materially, emotionally and ness, declining physical strength, susceptibility to
intellectually independent of one’s parents and illness and forgetfulness. Grey hair put an end to
gradually autonomous as an individual. Although the confusion and disorder of youth and raised
most Byzantine authors followed ancient systems hopes of the life hereafter. Because the individual
and divided (male) adolescence into two phases, had gathered much experience and was no longer
that of the meirakion (‘stripling’, 14–21 years) and burdened by everyday cares, he was in a position
neaniskos (‘young man’, 21–28) respectively, Anas- to distinguish between important and unimport-
tasios Sinaites (Viae Dux) in the 7th century and ant things and hence to focus on the salvation of
Michael Psellos (Theologica) in the 11th proposed his soul. During youth, a man was led by his pas-
dividing adolescence into several stages: pre- sions and preoccupied with his obligations. Old
adolescence (meirakiodes helikia) and pre-adoles- age gave him the opportunity to take stock, know
cents (meirakia), early adolescence (proephebos himself and attain virtue.
helikia) and early adolescents (protheboi), adoles- The onset of this final phase of life is difficult to
cence (ephebos helikia) and adolescents (hebontes) determine. Texts often contrast youth with old age
proper, and post-adolescence (metephebos helikia) as if one followed directly upon the other. Study of
and post-adolescents (metepheboi), although they written sources and archaeological material shows
did not specify ages [335 f.]; [415–20]. that the average life expectancy in Byzantium was
To some extent, this system anticipates the 50 years for men and 45 for women. People of both
classifications proposed by modern scholars of sexes thus seldom reached old age. Those who did
developmental psychology, sociology and peda- tended to be educated people, clerics, saints and
gogy to reflect gradual biological, intellectual and those of higher social rank, whose lives were mate-
social development. The onset of adolescence is rially better and hence healthier [9].
characterized by a variable range of biological
indicators that occur in conjunction with sexual Bibliography
maturity, i.e. puberty. Its end is also individual and
determined by a range of social characteristics, e.g. Sources
the attainment of a relatively autonomous life sit- [1] Anecdota graeca e codicibus regiis, vol. 2, edited by
uation. The individual reaches his or her physical J. F. Boissonade, 1830, esp. 454–457 (reprint 1962) [2]
Solon, Frammenti dell’opera poetica, edited and
prime and peak strength in adolescence – charac-
commented by H. Maehler and M. Noussia, translated
teristics that authors often emphasize as ideals of by M. Fantuzzi, 2001.
this phase. Adolescents in Byzantium, as in all pre-
modern societies, increasingly took on adult tasks Secondary literature
at an early age, sometimes making an important [3] D. Ariantzi, Kindheit in Byzanz. Emotionale,
contribution to family income through their work geistige und materielle Entwicklung im familiären
and, if they also married, already contributing to Umfeld vom 6. bis zum 11. Jahrhundert (Millennium
demographic change and growth in their society Studien 36), 2012 [4] D. Ariantzi, Terminolo-
[48–10]. gische und sozialhistorische Untersuchungen zur
Adoleszenz in Byzanz (6.–11. Jahrhundert). Teil 1:
D. Adulthood Theorien, Konzepte, narrative Quellen, in: JÖB 63,
Late adolescence brought the age of full major- 2013, 1–31 [5] C. Hennessy, Images of Children in
Byzantium, 2008 [6] C. Hennessy, Young People
ity, also called the ‘lawful age’ (ennomos helikia) in Byzantium, in: L. James (ed.), A Companion to
or ‘perfected age’ (teleia helikia). The Roman- Byzantium, 2010, 81–92 [7] A. Kiousopoulou,
Byzantine legal tradition generally set this between Νέοι και γέροι στην κοινωνία της Ηπείρου κατά την
the ages of 20 and 25 [338 f.]; [414]. Defining criteria ύστερη εποχή, in: Πρακτικά Διεθνούς Συμποσίου για
appear to have included the completion of occu- το Δεσποτάτο της Ηπείρου (Άρτα 1990), 1992, 335–
pational training, material independence from 343 [8] A. Papaconstantinou / A.-M. Talbot
one’s parents and family, foundation of a family of (eds.), Becoming Byzantine. Children and Childhood
one’s own, integration into society and, generally, in Byzantium (Dumbarton Oaks Byzantine Symposia
175 3.6. family and household: social and economic aspects

and Colloquia), 2009 [9] E. Papadopoulou, Περί or did they extend further, vertically or horizon-
της ηλικίας και του γήρατος, in: Symm 17, 2005–2007, tally? Is it possible to estimate the number of
131–198 [10] É. Patlagean, L’entrée dans l’âge households with only one parent?
adult à Byzance aux XIIIe–XIVe siècles, in: Historicité In the absence of census data (the last census
de l’enfance et de la jeunesse (Actes du colloque inter-
national, Athen 1984), 1986, 261–270 [11] E. Sears,
took place in Roman Egypt in 309/10) and parish
The Ages of Man. Medieval Interpretations of the Life archives (a useful source in the west), it is nec-
Cycle, 1986 [12] A.-M. Talbot, Old Age in Byzan- essary to refer to extracts from tax registers and
tium, in: BZ 77, 1984, 267–278. praktika (official documents stating the name of
the head of household, his heir and others entitled
Despoina Ariantzi to inherit) in order to ascertain how many chil-
dren were living in the household of a taxpayer
3.6. Family and household: social and economic [3331–34]; [36].
aspects Comparing data from different periods and
regions can shed light on the importance of the
A. Principles nuclear family as opposed to single-parent house-
B. Family structures holds and extended families. The nuclear fam-
C. Solidarity within the family ily was the dominant type in Roman Egypt, but
D. Members of the oikos there was also a significant percentage of other
household forms, especially the extended family
A. Principles and multi-family household. An ‘extended fam-
Greek had a word for ‘kinship’ (syngeneia) ily’ is a nuclear family cohabiting with relatives
and another for ‘household’ (oikos), but no word either of an older generation (vertical extension)
that corresponded to the modern concept of the or of the same generation (horizontal extension).
‘family’ as the unit formed of a couple and their Complex households (or multi-family house-
children [9]. This does not mean that the nuclear holds) comprised several families living together,
family was unknown in Byzantium. The term and this type generally involved parents and chil-
oikos for all those living and working together in dren, and sometimes also married siblings, living
the house is, however, better suited to describing together under a single roof. Finally, some lived
the basic social and economic unit of Byzantine alone with no relatives or as unmarried siblings
society. in a household (categorized as ‘single persons’; cf.
Source material that sheds light on the struc- fig. 1).
ture and internal dynamics of different types of
households is very sparse and unevenly distrib- nuclear extended multi-family single
uted chronologically. Studies of Early Byzantium families families households persons
benefit from an abundance of Egyptian papyri
43% 15% 21% 21%
and inscriptions from the wider Mediterranean
world, but the Middle Byzantine period suffers
from the destruction of archives, excepting a Fig. 1: Household types in Roman Egypt, 1st–3rd
few monastic centres like Mount Athos. Sources centuries (table; data after [860]; [1946]).
improve somewhat for the Late Byzantine period,
and the information they contain regarding taxa- Later comparative material becomes available
tion has enabled scholars to study family struc- again from the Middle and Late Byzantine peri-
tures in greater detail [34]. The lack of continuity ods. A praktikon of 1073 describes 51 households
in source documents makes comparisons across in villages near the city of Miletus in western Asia
epochal divides difficult, and the compilation Minor [30]. Most are of the nuclear family type,
of overarching statistical data for the Byzantine with a high percentage of single-parent families
Empire impossible. Legal and religious sources, in (cf. fig. 2).
contrast, give a different perspective on the Byzan-
tine family as normative texts. nuclear vertically single single
families extended parent persons
B. Family structures
28=54% 2=3% 16=31% 5=12%
B.1. Nuclear families and extended families
B.2. Widows Fig. 2: Household types in the vicinity of Miletus, 1073
B.3. Family legislation (table; data after [30188]).

B.1. Nuclear families and extended For the 14th century, interesting figures on
families household types have been obtained from tax
How were Byzantine households structured documents in the theme (government district) of
[17]; [16]? Were they essentially nuclear families, Thessalonica (cf. fig. 3) [23].
3.6. family and household: social and economic aspects 176

nuclear vertically horizontally vertically & horizontally ing parent. Extended families, therefore, were not
families extended extended extended necessarily invariably poor.
Byzantines often grew old enough to experi-
65% 18% 11% 5%
ence more than one kind of household among
the single-parent family, the nuclear family and
Fig. 3: Household types in villages of the theme of the extended family. Multiple marriages, follow-
Thessalonica, 14th century (table; data after [23258]). ing bereavement or divorce, were commonplace
as was unmarried cohabitation, and these situa-
Although these figures show local trends rather tions sometimes led to inheritance disputes that
than shedding light on the Byzantine family as a are attested in court sources, e.g. rulings by church
whole, they clearly demonstrate that the nuclear tribunals (e.g. that of the Archbishop of Ohrid,
family was the most widespread household type in Demetrios Chomatianos, 1216–1236) [24]; [14].
the empire. Most newlywed couples founded their
own household, and the nuclear family is the unit B.3. Family legislation
that dominates not only legal texts, but also reli- Legislation relating to the family changed over
gious sources, from sermons to euchologia (liturgi- time, especially regulations governing marriage.
cal books). The latter also contain specific marital The 741 Ekloge recognized a couple’s mutual vows,
prayers calling on God to bring love, concord and exchanged before parents and friends, as equiva-
children to the newly married couple (Barberini lent to a marriage if the bride and groom were too
euchologium 186, 189 [5185–188]). Sometimes, assets poor to wed. The aim was to protect concubines by
needed to be divided in order to help the wedded granting them rights. Leo VI (886–912), however,
couple set up their own household, and this could wanted only one form of union recognized and
impoverish parents. Young girls often received declared concubinage illegal. He handed respon-
their dowry, which was usually regarded as part sibility for marriages to the Byzantine Church,
of their inheritance, at the time of their marriage. declaring invalid any marriage not blessed by it.
To avoid the partition of land, joint ownership He also followed canon law in limiting an individ-
and use was sometimes preferred [2551]; [2671]; ual’s permissible number of successive marriages
[22382–385]. to three.
Where parents lived under a single roof with According to Byzantine law, a child born out
married children or brothers and their wives and of wedlock or outside a stable cohabitation could
children, it was generally for reasons of poverty. It only inherit from its mother. The child of a con-
is assumed that the weakening of village commu- cubine could inherit from both parents, but only
nities led to increasing numbers of extended fami- up to one twelfth of the father’s assets. The law
lies living together as a protective measure. Such thus ranked children of a legal marriage higher
families may be underrepresented in the sources, than those both to a concubine, but this was
because praktika only listed potential inheritances sometimes ignored or not fully enforced, and
and thus excluded from their tallies other family concubinage continued to exist. As long as there
members who might be living in the same house- were still children below the age of majority, the
hold [2544]. husband had power of disposition over his wife’s
assets unless he married again. Living together
B.2. Widows without marrying was thus economically more
Death, which came to young and old, con- advantageous than remarriage. In 13th-century
stantly changed the number of one’s kin and fam- Epirus, there is evidence of some tolerance shown
ily structures. Around 1300, peasant families on the towards a father’s right to prefer his children born
estates of the Athos monasteries averaged 4.7–4.9 out of wedlock and to bequeath some of his assets
members, and a married couple could hope to be to them [24295].
survived by 3 or 4 children. These figures should
not, however, obscure the fact that the nuclear C. Solidarity within the family
family was constantly threatened by death. Wid- For young and old alike, the family was a sin-
ows headed around 20 % of households in 14th- gle social unit. Married men and women cared
century Macedonia, and two centuries earlier in and took responsibility for each other and their
the Miletus area, the figure may have been around children and were obliged to feed, look after and
30 %. Many widows lived with their children in a educate them. They were also required to show
single-parent unit, while others chose to remarry. respect for their own ageing parents, who might
Newly amalgamated families were numerous. otherwise disinherit them. The importance of fam-
Some women, perhaps too old to marry again or ily ties is even evident in documents relating to
childless, joined the household of a family mem- simple peasants. These had no family names and
ber. It was also common in wealthier households were referred to by their forename alone, with an
for a nuclear family to take in a widowed or age- indication of the name of their father or another
177 3.6. family and household: social and economic aspects

family member. The father’s given name or nick- in the Middle Byzantine period, although slav-
name began to be passed on to his children in ery was probably less prevalent than before [35].
the 10th century, but these were not stable fam- Slaves in this period are mentioned in the so-
ily names like those used among the aristocracy. called Farmers’ Law (Nomos georgikos/lex rustica),
They were only used for a limited time, and were and reference is made to manumission (which was
not passed to all offspring of the original bearer encouraged as a good deed) in many wills.
[27]. Aristocratic families began using transferable The households of artisans and merchants
surnames in this period, and during the Late Byz- included wife, offspring and slaves, as well as
antine period, they added their name to all other other children learning an occupation as appren-
names of prestigious family branches, e.g. Nicho- tices. Sons were generally trained in their father’s
las Komnenos Doukas Glabas Tarchaneiotes [11]; occupation so that they could make themselves
[7#27507]. useful by working as soon as possible. In the
The family group created solidarity. For peas- Miracles of Saint Artemios (7th cent. [3196–200]), a
ants, this meant working together in close prox- nine-year-old son of a banker and moneychanger
imity and helping each other, e.g. ploughing the is learning to work with his father’s scales and
fields if they were boidatoi (i.e. owners of just a weights. Slaves often performed menial tasks, but
single cow) [29]. Even if they lived apart, siblings some were workshop supervisors [2]; [21303]; [35].
generally had adjacent plots of land or parts of Women also worked, and paid workers were also
an orchard. Helping relatives was a social duty. employed, but generally did not form part of the
Relations were forbidden by law to bear witness household.
against family members (children, nephews and Aristocratic households included the married
even stepfathers). In the aristocracy serving the couple and their children, together with many ser-
emperor, familial support could also include fur- vants [32], generally a mixture of free and unfree.
thering relatives’ careers. In this case, family soli- Some wealthy households imitated the imperial
darity meant using one’s own influence with the court and also had eunuchs. Kale Pakouriane, a
emperor to obtain ranks, estates or tax advan- wealthy, childless heiress who in 1098 donated her
tages, or to win a government position for a high- property to family members and monasteries, had
status relative. Addressing relatives who worked around 30 servants. The richest households were
for the tax authorities in his 11th-century Strate- those of members of the imperial family. Basil
gikon, the aristocrat Kekaumenos advised caution: Lakapenos was an illegitimate son of Emperor
they should not, he insisted, improperly reduce Romanos I in the 10th century (→ 1.3. The Byzan-
the taxes owed by their parents (which seems to tine court E.). If the historian Leo Diakonos [697] is
have been a widespread temptation). to be believed, he had 3,000 servants in his palace.
If an aristocrat wished to revolt, he needed Aristocrats’ wills make mention of slaves whose
the approval and support of his extended family. masters were inspired by a Christian impulse to
A successful attempt to win the throne by force free them, frequently also giving them land to live
would bring all the power and wealth in the world, off. Eustathios Boilas, for example, manumitted
but failure would mean personal ruin without the around 20 slaves in 1059. Counting their families,
safety net of kin [13]. Blood relationships were some 50 people benefited from his generosity
important: in a crisis or if a rebellion failed, fam- [120–29]; [20342].
ily related only by marriage might desert. Marriage The households of aristocratic families were
gave rise to a new oikos and forged ties with new the most complex oikoi with the most members
kin. Aristocratic families left nothing to chance in [1527–51]. They might include the head of house-
choosing marriage alliances, which brought social hold’s offspring from first and perhaps second
advancement and access to networks and influ- marriages, and sometimes adoptive children [31],
enced the transmission of assets. Marriage was relatives’ children sent to family members (espe-
thus crucial to social standing (→ 3.7. Key social cially those living at Constantinople) to attend
structures) [12]; [10]. good schools, and offspring of free servants living
under the same roof.
D. Members of the oikos
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d’après les tribunaux ecclésiastiques (XIe–XVe s.), in: 3.7. Key social structures
B. Caseau / S. R. Huebner (eds.), Inheritance, Law
and Religions in the Ancient and Mediaeval Worlds, A. Social status
2014, 159–176 [15] M. Grünbart, Inszenierung und
B. Wealth and poverty
Repräsentation der byzantinischen Aristokratie vom
10. bis zum 13. Jahrhundert, 2015 [16] E. A. Ham- C. Titles and offices
mel, Household Structure in Fourteenth-Century
Macedonia, in: Journal of Family History 5/3, 1980, A. Social status
242–273 [17] E. A. Hammel / P. Laslett, Compar- Social status in Byzantium depended on a com-
ing Household Structure over Time and between Cul- bination of wealth, prestige and social networks.
tures, in: Comparative Studies in Society and History All three elements could be won or lost. It was
16, 1974, 75–109 [18] K. Harper, Slavery in the Late fairly easy to lose social standing, because many
Roman World, ad 275–425, 2001 [19] S. R. Hueb- factors could lead to the loss of money, honour
ner, The Family in Roman Egypt. A Comparative or friends. High social status, prestige and hon-
Approach to Intergenerational Solidarity and Conflict,
2013 [20] M. Kaplan, Les hommes et la terre à Byz-
our depended fundamentally on the perception
ance du VIe au XIe siècle, 1992 [21] M. Kaplan, Les of others. Byzantine texts often describe people
artisans de la société de Constantinople aux VIIe–XIe with high social status as important, outstanding,
siècles, in: M. Kaplan, Byzance. Villes et campagnes, notable or renowned [2780]. Acquiring such status,
2006, 297–307 [22] F. Kondyli, Changes in the then, was in part at least a question of demon-
Structure of the Late Byzantine Family and Society, strating qualities that were admired or feared by
in: L. Brubaker / S. Tougher (eds.), Approaches others.
to the Byzantine Family, 2013, 371–393 [23] A. E. Social standing could vary according to con-
Laiou, Peasant Society in the Late Byzantine Empire. text. Although families were the cornerstone of
A Social and Demographic Study, 1977 [24] A. E.
society’s structure, Byzantium had no established
Laiou, Contribution à l’étude de l’institution famil-
iale en Épire au XIIIe siècle, in: D. Simon (ed.), FM hereditary aristocracy [12]. During the 10th cen-
6, 1984, 275–318 [25] A. E. Laiou, The Byzantine tury, some emperors made legal efforts to con-
Village (5th–14th Century), in: J. Lefort et al. (eds.), strain the activities of ‘the powerful’, who were
Les villages dans l’Empire byzantin (IVe–XVe siècle), unjustly oppressing ‘the poor’ [3], but it proved
2005, 31–54 [26] A. E. Laiou, Family Structure and difficult to establish a clear legal definition of
the Transmission of Property, in: J. Haldon (ed.), exactly who ‘the powerful’ were [2778–83]. Anyone
A Social History of Byzantium, 2009, 51–75 [27] J. lacking social capital from families and commu-
Lefort, Anthroponymie et société villageoise, in: nity networks could be intimidated and oppressed
Hommes et richesses dans l’Empire byzantin, vol. 2: by others even of modest means. It was possible
VIIIe–XVe siècle, 1991, 225–238 [28] J. Lefort,
Population et peuplement en Macédoine orientale,
to be poor in comparison with others on higher
IXe–XVe siècle, in: Hommes et richesses dans l’Empire planes of society, yet still to appear frightening
byzantin, vol. 2: VIIIe–XVe siècle, 1991, 63–82 [29] and powerful to those below [27137–164].
J. Lefort, The Rural Economy, Seventh to Twelfth The perception of prestige and honour rested
Centuries, in: A. E. Laiou (ed.), Economic History of on a combination of factors, the relative signifi-
179 3.7. key social structures

cance of which varied by period and community. Texts present ‘the poor’ as people who needed
Virtuous behaviour for a woman in the country- and deserved the support of the rich and powerful.
side in the 9th century differed from virtuous Images of poor people calling for help from above
behaviour for a general of the 12th century. The originated in the psalms and were reinforced by
key properties qualifying someone as honourable Christian depictions of pleading for divine aid
and hence reputable in Byzantine society included [3125–35]. Various texts portrayed prominent men
piety, modesty (for women: chastity), philan- or even emperors either virtuously assisting the
thropy and proper family relations with similarly poor or greedily and perfidiously treading the
virtuous kin. For men, education and sometimes oppressed and destitute underfoot [24]; [27161 f.].
valour in battle also counted. The honour a man Byzantine debates on wealth and poverty thus
derived from demonstrating these virtues, com- reveal just as much of the competition for moral
bined with his wealth and the strength and size of superiority as they do of economic matters.
the social network at his disposal, created his high
social standing and enhanced his authority within C. Titles and offices
the community.
Family connections (→ 3.6. Family and house- C.1. Imperial bestowal of titles and offices
hold) comprised the primary social network in C.2. Honorific titles in the Late Byzantine period
Byzantium. Entry into court society could be
greatly eased by being presented by a relative or C.1. Imperial bestowal of titles and
acquaintance who already belonged there (→ 1.3. offices
The Byzantine court) [15189–195]. An individual’s Key texts for understanding the Byzantine sys-
prestige also increased when a family member tem of titles and offices in the 9th and 10th cen-
gained an honorific imperial title or distinguished turies are a 9th-century treatise by Philotheos,
himself in battle or herself in philanthropy. When- various precedence lists (dictating the hierarchi-
ever someone forged relations with high-ranking cal seating order at banquets or standing order at
individuals, be it in the course of elite education, imperial ceremonies [1]; [7]) and the Book of Cer-
in military or imperial service, through an advan- emonies compiled in the 10th century by order of
tageous marriage or some other route, members Constantine VII. Seven precedence lists and the
of that person’s family made use of such contacts treatise of the author known as Pseudo-Kodinos
to their own advantage. When families or oikoi shed light on Late Byzantine titles and offices [5].
joined forces, the result was a larger and more use- The resurgence of interest in court rankings in the
ful social network and a failsafe system. 14th century may have arisen from the existence
Guilds and fraternities also offered networks of of rival courts during a phase of civil war [5288 f.].
potential supporters [16]; [13]; [26], as did strate- The overwhelming dominance of the imperial
gies of fictional kinship [19]; [20]; [32], friendship state apparatus and its adherence to Roman court
[25201–204] and close acquaintanceship (→ 3.8. Sta- ceremonial made working in the service of the
bility through association). Not all of these options state an important source of prestige, honour and
were available or of equal value at all times. Some social capital. Between the 7th and 12th centuries,
such groupings functioned as surrogate families, servants to the emperor held honorific titles (axia)
while others simply enhanced one’s prospects of and honorific offices (offikia). It is not straightfor-
making important contacts. ward to align names of offices with the duties they
entailed in the Middle and Late Byzantine system,
B. Wealth and poverty because the names derived from actual remits in
The accumulation of wealth and its successful Late Antiquity [28]; [184–135]; [623 f.]; [5295–297]. The
transfer to future generations was one key factor title parakoimomenos, for example, means some-
in preserving → elite (1.4.) status [11]. It is gener- one who ‘sleeps alongside’, thus nominally refer-
ally assumed that prestige vocabulary also sig- ring to a servant who slept near the emperor in his
nalled material prosperity. However, studies of the chamber. A series of parakoimomenoi, however, in
Byzantine economy and material culture reveal fact served as chiefs of the imperial administrative
great differences in wealth and access to mate- staff. The holders of titles received annual salaries
rial goods. Even so, access to high-quality goods, (rhogai), which the emperor and his ministers
luxuries, land and money alone was no guarantee dispensed with great ceremony in Holy Week,
of high social status in the absence of other quali- and they were also members of the imperial sen-
ties of perceived prestige and a high-value social ate [28202–207]. These senators comprised most of
network. those in attendance at imperial ceremonies and
Poverty was the economic reality for many in audiences [15].
Byzantium, but ‘the poor’ was a culturally defined Offices were positions assigned the duties
social category with strong moral connotations. of a secretary or general. The emperor chose
3.7. key social structures 180

candidates for offices from the cohort of holders X Doukas (1059–1067) offered more and more
of honorific titles. There appear to have been far wealthy people the opportunity of buying a title
more holders of titles than holders of offices [15175– and with it a seat in the senate [13415]. Scholars
185], and it was possible to hold multiple titles and argue that these new senators came from the arti-
offices simultaneously [1284]. sanal or mercantile classes [18287–293]. Their inclu-
The emperors bestowed titles as gifts or rewards sion dimmed the allure of titles for those who
for extraordinary services or granted them to for- already held them. The gathering collapse of titles’
eign aristocrats whose support they were seek- value appears to have mirrored the monetary
ing [2728–30]. Honorific titles were not hereditary. debasement of the 1070s [8]; [13415]. Nikephoros III
Between the 8th and 11th centuries, men wishing to Botaneiates (1078–1081) handed out large numbers
join the senate could also buy such titles. The ini- of titles free of charge, but found himself unable
tial cost of doing so was far higher than the annual to afford to pay the salaries due to their holders.
salary the title brought. Title holders could pay an Alexios I finally put an end to the practice of
additional fee to qualify them for a higher salary selling titles [301021]. He established a new sys-
[17]; [28]. If a title was acquired at a young age and tem for members of his immediate family, which
the holder lived a long life, the process could be diminished the importance of the old titles while
profitable, and such investments have been inter- also strengthening the Komnenos family network
preted as a kind of pension scheme [17]; [29]. This [21181]. Relationships with the emperor, based on
is quite possible, but it seems equally likely that personal contact and kinship, gradually replaced
titles were bought for their prestige value and for the value of associations arising from the political
the social capital earned from membership in the culture of office and rank [22148]. Some documents
senate and from serving the emperor. During its of the late 11th and 12th centuries begin to identify
heyday in the 9th and 10th centuries, the title sys- members of the emperor’s entourage not solely by
tem meant that the aristocracy and groups aspir- office or title, but also by personal relationship,
ing to join it were formally speaking civil servants e.g. ‘Stephanos magistros, vestarch and (loyal)
in the imperial government apparatus [2726–31]. man of Caesar Nikephoros’ [2149]. Stephanos drew
his authority not just from his imperial titles, but
C.2. Honorific titles in the Late also from his relationship to Nikephoros. Official
Byzantine period titles thus waned in importance. Individuals were
The distinction between titles and offices now in the service of members of the senior impe-
changed in the Late Byzantine period. Titles in the rial hierarchy, not exclusively in the service of the
14th and 15th centuries differed from offices only emperor.
insofar as they were at the pinnacle of the hierar-
chy. The highest ranks were axia, and all middle Bibliography
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in coin in the Late Byzantine empire and also col- siècles, edited by N. Oikonomides, 1972 [2] Actes
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increased in numbers, leading to a recalibra- reurs macédoniens, edited by N. G. Svoronos and P.
tion of the hierarchy. In the late 8th century, for Gounaridis, 1994 [4] Constantine Porphyro-
gennetos, Le livre des cérémonies, 2 vols., edited
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by A. Vogt, 1935–1940 [5] Pseudo-Kodinos, The
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spatharioi increased in numbers, however, quali- edited by R. Macrides et al., 2013.
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by the 11th century. The title sebastos (‘venerable byzantinischen Zentralverwaltung, 1974 [7] J.
one’) was introduced in the reign of → Alexios I Bury, The Imperial Administrative System in the
Komnenos (2.5.; 1081–1118), but it became increas- Ninth Century, with a Revised Text of the Kletorolo-
ingly common in the 12th century and thus lost its gion of Philotheos (British Academy Supplementary
aura. Its qualified composite forms pansebastos Papers 1), 1911 [8] J.-C. Cheynet, Dévaluation des
and panhypersebastos denoted high status under dignités et dévaluation monétaire dans la seconde
moitié du XIe siècle, in: Byz 53, 1983, 453–477 [9]
the Palaiologoi [5299]. J.-C. Cheynet, Pouvoir et contestations à Byzance,
The prestige of titles declined markedly in the 963–1210, 1990 [10] J.-C. Cheynet, Fortune et puis-
late 11th and 12th centuries as they were handed sance de l’aristocratie (Xe–XIIe siécle), in: Hommes
out in greater abundance. The emperors Constan- et richesses dans l’Empire byzantin, vol. 2: VIIIe–XVe
tine IX Monomachos (1042–1055) and Constantine siècle, 1991, 199–213 [11] J.-C. Cheynet, Aristocra-
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tie et héritage (XIe–XIIIe siècle), in: G. Dagron / J. action, from ritual kinship to religious fraternities,
Beaucamp (eds.), La transmission du patrimoine. corporations and other forms of economic coop-
Byzance et l’aire méditerranéenne, 1998, 53–80 [12] eration. Members of such groups often addressed
J.-C. Cheynet, L’aristocratie byzantine (VIIIe–XIIIe one another as ‘father’, ‘mother’, ‘brother’, ‘sister’
siècle), in: Journal des Savants 2, 2000, 281–322 [13]
G. Dagron, The Urban Economy, Seventh–Twelfth
and so on. Because kinship terms are often used in
Centuries, in: A. E. Laiou (ed.), The Economic History Byzantine literature to express emotional or social
of Byzantium from the Seventh through the Fifteenth closeness, it is sometimes difficult to distinguish
Century, vol. 2, 2002, 393–462 [14] A. P. Kazhdan between a snapshot of a particular relationship
/ G. Constable, People and Power in Byzantium. between two individuals at a particular moment
An Introduction to Modern Byzantine Studies, 1982 and a more formal relationship in accordance with
[15] A. P. Kazhdan / M. McCormick, Social Com- established social conventions that might even be
position of the Byzantine Court, in: H. Maguire affirmed by ritual or regulated in ecclesiastical and
(ed.), Byzantine Court Culture from 829 to 1204, 1997, imperial law.
167–197 [16] A. E. Laiou, The Festival of ‘Agathe’.
Regardless of what their members called them-
Comments on the Life of Constantinopolitan Women,
in: N. A. Stratos (ed.), Byzance. Hommage à André selves, such groups reveal the scope for individual
N. Stratos, vol. 1, 1986, 111–122 [17] P. Lemerle, or collective action within the matrix of ecclesi-
‘Roga’ et rente d’État aux Xe–XIe siècles, in: REB 25, astical and state power structures. Their existence
1967, 77–100 [18] P. Lemerle, Cinq études sur le contributed to the domestic peace of imperial
XIe siècle byzantin, 1977 [19] R. Macrides, The society, and they functioned as a stabilizing force.
Byzantine Godfather, in: BMGS 11, 1987, 139–162 [20]
R. Macrides, Kinship by Arrangement. The Case of B. Ritual kinship
Adoption, in: DOP 44, 1990, 109–118 [21] P. Magda- The family and the household comprised the
lino, The Empire of Manuel I Komnenos, 1143–1180, fundamental social and economic units of Byzan-
1993 [22] P. Magdalino, Innovations in Govern-
ment, in: M. Mullett / D. Smythe (eds.), Alexios
tine society (→ 3.6. Family and household). There
I Komnenos, 1996, 146–166 [23] M. McCormick, were a number of strategies besides marriage
Analyzing Imperial Ceremonies, in: JÖB 35, 1985, for expanding the family to include more than
1–20 [24] R. Morris, The Powerful and the Poor in just blood relations: adoption, godparenthood
Tenth-Century Byzantium. Law and Reality, in: Past and ritual brotherhood (see below). The Church
and Present 73, 1976, 3–27 [25] M. Mullett, The- blessed such ties in specially designed rituals that
ophylact of Ochrid. Reading the Letters of a Byzan- are preserved in euchologia, or liturgical books. It
tine Archbishop, 1997 [26] J. Nesbitt / J. Wiita, also exercised a degree of control over the choice
A Confraternity of the Comnenian Era, in: BZ 68, 1975, of partners and the proper conduct of spouses, as
360–384 [27] L. Neville, Authority in Byzantine
ecclesiastical legislation (→ 4.2. Canon law) and
Provincial Society, 950–1100, 2004 [28] N. Oiko-
nomides, Title and Income at the Byzantine Court, letters from bishops dealing with problem cases
in: H. Maguire (ed.), Byzantine Court Culture from like divorce and remarriage prove (e.g. Demetrios
829–1204, 1997, 199–215 [29] N. Oikonomides, Chomatenos, Archbishop of Ohrid, in the early
Some Byzantine State Annuitants. Epi tes (Megales) 13th century). Imperial legislation also addressed
Hetaireias and Epi ton Barbaron, in: Symm 14, 2001, these issues, often in agreement with the Church.
9–19 [30] N. Oikonomides, The Role of the Byz- As a legal means of acquiring an heir for one’s
antine State in the Economy, in: A. E. Laiou (ed.), estate, adoption (hyiothesia) had a long tradition
The Economic History of Byzantium from the Sev- in Roman and then Byzantine law. Legislation
enth through the Fifteenth Century, vol. 3, 2002, 973– of Leo VI (866–912) explicitly permitted women,
1058 [31] É. Patlagean, Pauvreté économique et
pauvreté sociale à Byzance, 4e–7e siècles, 1977 [32]
whether married or not, and eunuchs to adopt a
C. Rapp, Ritual Brotherhood in Byzantium, in: Tradi- child (Leo VI, Novellae 24, 26 f. [3]). The middle
tio 52, 1997, 285–326. and upper classes adopted children or adolescents
in order to secure heirs or prevent the extinction
Leonora Neville of the family or for charitable purposes. There are
recorded instances of politically motivated adop-
tions in imperial circles for the sake of the succes-
3.8. Stability through association sion in the 11th century [10].
In Byzantium as in other medieval Christian
A. Forces of stability societies, godparenthood emphasized the link
B. Ritual kinship between the biological and spiritual fathers of a
C. Brotherhoods child. This is reflected in the Greek term for this
D. Corporations and other economic associations institution, synteknia (literally: ‘rearing a child
together’). This relationship dated back to the first
A. Forces of stability Christian centuries, when katechoumenoi would
The Byzantines applied many strategies for be accompanied by a baptismal sponsor of their
attaining individual goals through collective own sex as they prepared for admission to the
3.8. stability through association 182

Church. When child baptism superseded adult In doing so, however, they simultaneously recog-
baptism, synteknia gradually developed from a nized it as a widespread social practice [14].
form of support in the spiritual life to a social To summarize, ritual kinship had its origins in
bond forged between two families. Imperial leg- the social practice of males (it is less frequently
islation began to take an interest in it in the 6th attested among females), who used these various
century, stipulating that the spiritual connection relationships for their own ends and designed
through synteknia should be regarded as at least them according to their own interpretations.
as strong as blood kinship. This brought the incest Ultimately, both the Church and the imperial
taboo into play: offspring of the godfather and bio- government declared an interest in exercising
logical father were forbidden to marry down to the control over them. A church ritual was created for
seventh degree of kinship. Unlike adoption, how- the old legal instrument of adoption in the early
ever, synteknia had no bearing on inheritance. 9th century, at the same time that a church mar-
Byzantine men of the middle and upper classes – riage ritual was created. Godparenthood and ritual
which is to say, the people about whom the brotherhood, on the other hand, had developed
sources inform us best – frequently made use of in the social context created by the introduction
synteknia to forge or consolidate social ties, to of Christianity. Imperial legislation did not begin
secure the loyalty of followers, or even to mollify regulating these institutions until the 6th and
potential enemies. It was often used strategically 12th centuries respectively. In all these examples,
in domestic and international politics [5]. Basil I efforts to exert control from above came centuries
(867–886), for example, invited large numbers of after each social practice in question had emerged.
army personnel from the capital and the provinces
to participate in the baptism of his first-born son C. Brotherhoods
(the future Leo VI), which thereby became a pub- Biological brotherhood also served as a model
lic demonstration of their loyalty to his designated for larger groups. There is evidence in several
successor. Later, in the second half of the 10th cen- historical epochs of a great wealth of religiously
tury, when Olga, Regent of the Kievan Rus’, was motivated brotherhoods of laymen (mostly men,
seeking a political alliance with Byzantium, she sometimes also women). The earliest example
was baptized at Constantinople with Constan- is the philoponoi (literally: ‘the industrious [in
tine VII Porphyrogennetos (913–959) by her side charity]’) of 4th-century Egypt. Similar chari-
as godfather. She would later reject his marriage table lay associations set up to help the sick, the
proposal, citing his godparenthood as a bar on the poor and travellers were also known in Constan-
union [5]. tinople under the name spoudaioi (literally: ‘the
Another option for two (usually married) men zealous’) [7].
who wished to bind themselves together was the There are sporadic references to religious
ritual of ‘brother-making’ (adelphopoiesis). Unlike brotherhoods of this kind in a variety of cities in
synteknia, adelphopoiesis did not require the pres- later centuries [4371–385]. At Constantinople, lay-
ence of a child and did not entail prohibitions on men formed a brotherhood to help the sick and
marriage or rights of inheritance. Byzantium was needy at public baths run by churches [12]. Other
the only medieval Christian society known to have such organizations combined their charitable ini-
had a church ritual for this form of relationship, tiatives with mutual support offered within the
and it is recorded as early as the late 8th century. group. An 11th-century manuscript describes the
The practice and its associated prayers may have rites performed by a group of men who regularly
had their origins in the spiritual families of ‘fathers’ attended the Blachernae complex dedicated to the
and ‘brothers’ in the early monastic movement of Theotokos in search of purity of body and soul.
Egypt and Syria-Palaestina. During the Middle This group fostered inner cohesion through com-
Byzantine period, brother-making and godparent- munal prayer for the dead and those missing from
hood were increasingly used by lay males to com- among its ranks.
plement marital unions as they sought to secure Some brotherhoods in Constantinople and
support or defuse potential enmities. During and elsewhere practised particular forms of piety.
after the Late Byzantine period, especially in fron- During the late 10th or early 11th centuries, an
tier regions of the Adriatic and Balkans, ritual association in the capital cared for an icon of the
brotherhood became a practical means of over- virgin in the Church of the Theotokos of Chalko-
coming religious and ethnic divisions, as a man prateia. Western visitors to the city in the 11th
acquired a Catholic or Muslim ‘brother’. Experts in and 15th centuries described a similar custom: a
canon and imperial law began to insist in the 11th weekly procession of men and women transported
century that adelphopoiesis was not a legal instru- a Hodegetria icon (‘She Who Shows The Way’,
ment (because, in contradistinction to adoption, i.e. Mary pointing to the Christ child in her lap;
it was not possible to ‘make oneself a brother’). cf. e.g. also → 10.14. Ivory, fig. 7) from one church
183 3.9. forms of instability: criminality, gangs, unrest and uprisings

to another, where she would remain for a week dence backs up what is known of ritual kinship,
before processing back [1]. brotherhoods and corporations: that men and
Groups of pious men and women devoted to women in Byzantium were developing their own
religious service were also known outside Con- strategies for meeting their emotional, biological,
stantinople. In the 11th century, men and women economic and spiritual needs.
including clerics joined together in Thebes (then
prosperous thanks to the silk industry) to form the Bibliography
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ciations). There is still disagreement over whether Byzantium, 11th–15th Centuries, 2000, no. 2) [11] R. J.
these corporations represented a continuation Macrides, Kinship and Justice in Byzantium, 11th–
of the ancient Roman tradition of collegia, and 15th Centuries, 2000 [12] P. Magdalino, Church,
over how comparable they were to the guilds that Bath and Diakonia in Medieval Constantinople, in: R.
emerged in conjunction with the growth of towns Morris (ed.), Church and People in Byzantium, 1990,
and cities in the Latin West. Imperial law took 165–188 [13] J. Nesbitt / J. Wiita, A Confraternity
some interest in individual corporations, but they of the Comnenian Era, in: BZ 68, 1975, 360–384 [14]
do not appear in ecclesiastical legislation. Corpo- C. Rapp, Brother-Making in Late Antiquity and Byz-
antium. Monks, Laymen, and Christian Ritual, 2016.
rations were largely motivated by self-interest. Silk
traders, for example, bought their raw materials Claudia Rapp
collectively in large quantities abroad (Book of the
Eparch 6,8).
Village communities also pooled resources in 3.9. Forms of instability: criminality, gangs,
joint patronage of church buildings, as attested unrest and uprisings
in inscriptions (13th–15th cents.) on the Pelopon-
nese (Mani), Crete, Rhodes, Cyprus and elsewhere. A. Introduction
Individuals, couples and families made small con- B. Criminality
tributions according to their means (around one C. Banditry
quarter of a nomisma or the yield of a few olive D. Unrest and uprisings
trees) towards the construction and decoration of
their local church. A. Introduction
These social practices on the local level, far Instability was a hallmark of the Byzantine
removed from the capital, are accessible to us only Empire, which over the centuries was shaken by
through the evidence of material culture. Such evi- countless uprisings and rebellions, which should
3.9. forms of instability: criminality, gangs, unrest and uprisings 184

be regarded as a key symptom of the functioning It is often difficult to draw a clear distinction
of the political system. The assassination of emper- between war and raiding in cases of incursions
ors in the palace and local revolts in the imperial into imperial territory by hostile forces. Canon law
provinces were also recurrent phenomena that also confirms that people in the countryside often
destabilized the socio-political order. At the same found themselves obliged to fend for themselves
time, Byzantium was one of the few premodern defending their lives and property from robber
societies that boasted a comprehensive written bands, and even contains spiritual rebukes to lay-
legal culture (→ 4. Legislation and legal practice), men or priests who killed robbers as they fought
which reflects the intention of the central govern- them off. The fortifications at the Mount Athos
ment to establish a legally well-organized social monasteries attest to the monks’ need to protect
order. In practice, however, the imperial govern- themselves against pirate attacks from the sea.
ment was incapable of maintaining this social This all shows that raiding was a constant phe-
order across the whole empire by having the nomenon and in turn illustrates the weakness of
imperial administration proactively implement its the imperial administration in dealing with this
criminal law. Its principal interest was in actively social problem, which contributed to the instabil-
countering disturbances of the status quo in the ity of the provincial order.
balance of power between Constantinople and the Common crimes in Byzantium included the
provinces. bribing of imperial officials, arson, sacrilege, forg-
ery of documents, weights and currency, adultery
B. Criminality and the rape of women [23]; [24]; [25]. Corruption
Byzantine criminal norms developed by osmo- among church and state officials was a recurrent
sis between the imperial government and the phenomenon, and the considerations civil ser-
Church, which led to interaction between secu- vants demanded included not only money, but
lar Roman criminal law and canon law. Deviance also valuable commodities, such as wine, premium
from criminal norms in the public sphere was thus meats, candles etc. [11]. According to the Codex
also understood as defection from the Christian Iustinianus and the Basilika, a husband involved
faith or a distortion of orthodox doctrine. In con- in a case of adultery affecting his wife was entitled
sequence, there were often cases of overlapping to kill the adulterer on the spot [3161].
jurisdiction between the imperial administration Soldiers, particularly mercenaries, seem to have
and the Church concerning crimes that could be been the chief culprits in the rape of women, even
construed as belonging to the public or religious in peacetime. Skylitzes tells of a woman in Thrake-
spheres [3163 f.], such as murder or theft, particu- sion in 1034, killing a Varangian as he attempted
larly robbery. to rape her (Synopsis historion 394). The depiction
The assassination of an emperor, categorized of the rape of a beautiful bride by Digenis Akritas
as crimen laesae majestatis, was the gravest crime in the famous 12th-century epic of the same title
in the public sphere along with rebellion and points to a real historical background, in which
treason, and it was punishable by death and the women might fall victim to the sexual desires of
confiscation of assets, or by mutilation and ban- local potentates who could not be made to answer
ishment [20135–176]. If the perpetrator succeeded in for their actions [131–256].
seizing power, however, he might escape punish-
ment or foist the blame on others instead [18]; C. Banditry
[27]. A legal distinction was made in cases of Robbers and raiders can be classified into vari-
homicide between intentional and unintentional ous types according to their motivations [26]. The
killing, and punishment ranged accordingly from image of the robber driven by greed and the lust
death to the mutilation of a limb or banishment, for wealth is frequently portrayed in Byzantine
with the additional provision of financial compen- saints’ lives in connection with the topos of the
sation payable to the victim’s family by the perpe- remorseful bandit (cf. e.g. [22188–192]). Another type
trator [2918–75]; [3131]. was that of the robber driven not only by finan-
The lives of subjects of the empire in the prov- cial, but also by social and political considerations
inces were often disrupted by the robbery of travel- [195 f.]; [13446]. Local potentates might send their
lers, raids on country estates involving the stealing retinues to attack farmsteads in order to bring the
of personal effects, the plunder of households and peasants under their control. The formation of
livestock herds, abductions and killings [17366–368]; robber bands, in contrast, was a reaction by the
[2386–388]. Imperial estates were no more immune rural population to financial hardship caused by
to raids than monasteries were. Piracy represented the imperial administration or a local magnate
a chronic threat to maritime trade and the popu- [12273].
lations of coastal cities and communities, who Deserters or demobilized soldiers might also
might find themselves captured and enslaved by become robbers if they found it difficult to adjust
attackers [778–85].
185 3.9. forms of instability: criminality, gangs, unrest and uprisings

to civilian life. Regular army units also sometimes the empire saw unrest in Late Antiquity, because
used force of arms to rob the local population it was in them that the interaction between local
they were supposed to be protecting or to secure political figures (e.g. curiales) and the ordinary
supplies during military operations [9237, 267]; [2398– people in public places (e.g. Hippodrome, theatre)
403]. Raids were also characteristic behaviours of harboured the potential to incite mass movements
regional population groups, such as the Slavic and reactions. Following the loss or decline of the
Melingoi and Ezeritai tribes on the Peloponnese, major provincial cities in the 7th century, the
who were still not subject to central government capital → Constantinople (8.10.) became the main
control as late as the 10th century. The Isaurians’ venue for mass unrest. The circus factions, the
habit of conducting raids in Asia Minor during the ‘Blues’ and the ‘Greens’, often played key roles as
Early Byzantine period was similarly related to instigators of mass disturbances, and their sport-
their autonomy from central government [1995 f.]; ing rivalries were often a more important motiva-
[13452 f.]. tion for their resorting to violence than political or
The sources give hardly any information about other demands [5272–278].
the size or internal structure of robber bands. The famous Nika Revolt (532) against → Justin-
Raids on Byzantine coastal towns and islands by ian I (2.3.) by the Constantinople circus factions
Muslim flotillas sometimes involved several ves- is a typical example of the peculiar dynamic of
sels crewed by experienced seamen, thus blurring unrest in the capital. What began as a protest call-
the boundary between piracy and warfare. On ing for the release of two supporters of the Blues
land, small robber bands tended primarily to oper- and Greens who had been condemned to death
ate on a local level, targeting individual travellers escalated into a rebellion demanding, initially,
or small households and estates. Raids by peasants the resignation of senior officers and ultimately
or shepherds intent on stealing livestock or plun- the abdication of the emperor [5278–280]. After
dering the estates of larger landowners, on the days of rioting by the plebs, some of whom were
other hand, would have required large and well- armed, the revolt was put down decisively with
organized bodies of men. Local magnates were much bloodshed by the general Belisarius and his
able to call on retinues in their home districts to ‘Gothic’ bodyguard, which massacred thousands.
raise armed units of bandit-rebels to launch upris- The outcome of the Nika Revolt clearly illus-
ings against the emperor, as the nephew of the trates the limits of the political activism of the
murdered emperor Nikephoros II Phokas, Bardas, urban populace if it came up against a powerful
did in 970 [325]. emperor [5280–285]. The function of the army could
Bands of soldiers and belligerent tribes (e.g. quickly change from a repressive instrument by
the pre-Islamic Arab tribes on the eastern fron- which the emperor maintained order to a destabi-
tier) were a constant threat to frontier regions, lizing factor undermining the political system by
and their activities consisted almost entirely of mutiny and revolt [1414–269]. The iconoclastic troops
plundering raids [13445 f., 449]; [2395–399]. Mercenary of the elite scholai unit, for instance, revolted in
units inside imperial territory could very easily 786 during a council organized by the iconodule
mutate into robber bands if their loyalty to the Empress Irene in the Church of the Holy Apostles
emperor waned for political or financial reasons. in Constantinople. Their revolt won support from
The activities of the Norman mercenary Roussel the iconoclast bishops and laymen attending the
de Bailleul in Asia Minor during the 1170s are a council and led to its abandonment [3081].
typical example of a bandit rebel who used his Major rebellions in the empire, of the kind that
troops to assert his independence inside the terri- might lead to years of civil war, were invariably
tory of the empire and to plunder local resources instigated by people who successfully gained the
[1013–20]. The Catalan Company is another classic support of part of the imperial army. Civil wars
case from the 14th century. After the murder of in Late Antiquity were fought either between two
its leader, Roger de Flor, in 1304, the company’s reigning co-emperors (the wars during the Tet-
Spanish mercenaries embarked on a systematic rarchy are typical) or between an emperor and a
plundering campaign in Macedonia, Thrace and usurper [28205–321]. After the western provinces of
Thessaly, culminating in the seizure of the Duchy the empire were lost, coups and rebellions leading
of Athens and their settlement there in 1311. to civil war tended to spring from usurpations by
members of the ruling class, usually senior army
D. Unrest and uprisings officers intent on seizing power and the throne
Unrest in Byzantium usually came as a result [3234–97]; [620–145]; [2035–127].
of religious or socio-political problems (e.g. grain At times of severe political instability, the army
shortages or tax rises). Hooliganism was another sometimes took political matters into its own
common trigger of popular uprisings or activities hands and placed a junior army officer or civilian
by urban gangs of youths [8]; [5281]. Most cities of official on the throne, such as the centurio Phokas
3.9. forms of instability: criminality, gangs, unrest and uprisings 186

in 602 or a series of puppet emperors between 711 Bibliography

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that went beyond particular political authorities.
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The concepts of rebellion and civil war remained M. T. Fögen (ed.), Ordnung und Aufruhr im Mittel-
closely associated with the idea of Roman politi- alter. Historische und juristische Studien zur Rebel-
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claimed for itself [15248 f.]. 1995, 99–117 [17] A. Marcone, Late Roman Social
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Palaiologoi in 1261 and the rehabilitation of the Cambridge Ancient History, vol. 13: The Late Empire,
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ors in the capital regarded the rulers of Epirus kopoulos, Αίμα στο παλάτι, in: S. Troianos (ed.),
and Trebizond as Byzantine rebels, and justified Έγκλημα και Τιμωρία στο Βυζάντιο, 1997, 257–272 [19]
C. E. Minor, Brigand, Insurrectionist and Separatist
war against them as restoring legitimate imperial Movements in the Later Roman Empire, 1971 [20]
authority over breakaway Roman territory [15249– K. A. Mpourdara, Καθοσίωσις και Τυραννίς κατά τους
251]. The last two centuries of the empire’s history
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the Palaiologos Dynasty, notably the three civil antine Provincial Society, 950–1100, 2004 [22] A.
wars (1321, 1322 and 1327–1328) between Androni- Papadopoulos-Kerameus, Βίος και πολιτεία τοῦ
kos II and his grandson Andronikos III and the ὁσίου Ἀντωνίου τοῦ Νέου, in: Συλλογή παλαιστινιακής
civil war (1341–1347) between the regents Alexios και συριακής αγιολογίας, vol. 1, 1907, 186–216 [23]
Apokaukos and John VI Kantakouzenos, which led E. Papagianni, ‘Αγοραία’ παραστρατήματα των
βυζαντινών εμπόρων, in: S. Troianos (ed.), Έγκλημα
to the establishment of the autonomous regime of
και Τιμωρία στο Βυζάντιο, 1997, 235–256 [24] B.
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187 3.10. festivals, celebrations and rituals as temporary stabilizing factors

Penna, Βυζαντινό νόμισμα και παραχαράκτες, in: S. the effectively uniform public practice of reli-
Troianos (ed.), Έγκλημα και Τιμωρία στο Βυζάντιο, gious and cultural customs. The most important
1997, 273–294 [25] C. Pitsakis, Έγκλημα χωρίς of these festivals were Christmas (December 25),
τιμωρία; Τα πλαστά στη βυζαντινή ιστορία, in: S. Epiphany (January 6), Holy Week (crucifixion and
Troianos (ed.), Έγκλημα και Τιμωρία στο Βυζάντιο,
1997, 337–380 [26] B. D. Shaw, Bandits in the
resurrection), Pentecost and the Dormition of the
Roman Empire, in: Past and Present 105, 1984, Theotokos (August 15). Most work was manda-
3–52 [27] I. Stouraitis, Der Mord als Mittel zur torily suspended during Holy Week. The faithful
Machtergreifung anhand von Quellenbeispielen aus were supposed to fast on five of the seven days
der mittelbyzantinischen Zeit, in: M. Popović / of the week during the forty days running up to
J. Preiser-Kapeller (eds.), Junge Römer – neue Easter Sunday, and the religious ceremonies after
Griechen. Eine byzantinische Melange aus Wien. it lasted another fifty days until Pentecost [551];
Festschrift W. Hörandner, J. Koder, O. Kresten und [2057–70].
W. Seibt, 2008, 223–334 [28] J. Szidat, Usurpator Larger crowds than usual attended worship for
tanti nominis. Kaiser und Usurpator in der Spätan-
the major church festivals. Local fairs were orga-
tike (337–476 n. Chr.) (Historia Einzelschriften 210),
2010 [29] M. A. Tourtoglou, Τὸ φονικὸν καὶ ἡ nized to coincide with these occasions, creating
ἀποζημίωσις τοῦ παθόντος. Βυζάντιο – Τουρκοκρατία – opportunities for local elites and ordinary people
Μετεπαναστατικοί χρόνοι μέχρι καὶ τοῦ Καποδιστρίου, to meet in urban centres. People from an entire
1960 [30] W. Treadgold, The Byzantine Revival province might come together and do business or
780–842, 1988 [31] S. Troianos, Οι ποινές στο enjoy public entertainments, such as pantomimes,
βυζαντινό δίκαιο, in: S. Troianos (ed.), Έγκλημα και dancing and music [9vol. 3, 272 f.]. Memorial days of
Τιμωρία στο Βυζάντιο, 1997, 13–65 [32] F. Winkel- local saints provided another good occasion for
mann, Quellenstudien zur herrschenden Klasse von holding a regional festival with a fair, thereby
Byzanz im 8. und 9. Jahrhundert (BBA 54), 1987. helping to consolidate regional identities [23];
Ioannis Stouraitis
[10]. Recorded examples include the feast days
of the city patron Saint Demetrius at → Thessa-
lonica (8.11.) and the Archangel Michael at Chonae
3.10. Festivals, celebrations and rituals as (Phrygia).
temporary stabilizing factors Many surviving pagan festivals and customs
were also transregional in nature, e.g. the Satur-
A. Introduction nalia, the Kalends and the Brumalia. The Roman
B. Festivals feast of Saturnalia on December 17 was dominated
C. Celebrations and public events by the custom of role reversal between masters
D. Rituals and slaves. The Kalends (kalendae ianuarii) over
the first four days of the Roman New Year were
A. Introduction accompanied by the consumption of a great deal
As social practices lending ideological meaning of wine, the wearing of animal costumes and the
to a social order, festivals, celebrations and rituals exchange of gifts [6159]. The Brumalia were asso-
played an important part in ensuring the cohesion ciated with the ancient god Dionysus and were
of Byzantine society. The basis for a proper under- celebrated from November 24 to the winter sol-
standing of the socio-political content and devel- stice to mark the transfer of wine into wooden
opment of festival culture, celebrations and the barrels on completion of fermentation. Among
ritualization of public togetherness in Byzantium, other things, wine producers sacrificed a goat to
beginning in the early 4th century, is progressive the god, and these festivities were also accom-
integration of Christian religious culture, which panied by the drinking of much wine and the
transcended class boundaries, and the politi- wearing of masks. Such customs, which appear to
cally dominant Roman imperial tradition. It was have survived without interruption into the 6th
within this context that Late Antiquity witnessed century, provoked wrathful responses from the
the transformation of a pagan Roman festival cul- Church. Although the Quinisext Council (Council
ture into the Christian Roman festival culture that in Trullo, 691/92) banned Christians from celebrat-
decisively shaped Byzantine society. ing the Brumalia [21], the festival continued to be
celebrated until the 12th century [14].
B. Festivals
The Byzantine year was dominated by the C. Celebrations and public events
great church festivals. Christian festivals gradually A range of festivals and solemn ceremonies
edged out and superseded pagan festivals over the were associated with the imperial monarchy.
course of Late Antiquity [6159 f.]. An annual cycle These occasions were profane in principle, but
of church festivals had become established by the as Late Antiquity gave way to the Middle Ages,
6th century. It was transregional in character and they took on ever more Christian elements. The
brought together the emperor’s subjects through most important source for this festival culture is
3.10. festivals, celebrations and rituals as temporary stabilizing factors 188

the Book of Ceremonies (De ceremoniis aulae Byz- a common religious identity and a sense of social
antinae) compiled under the direction of Constan- cohesion through its pervasive cosmic symbolism,
tine VII in the mid-1oth century. It gives a detailed which reflected the unity of the hierarchical world
account of the ceremonial associated with festivi- order (emperor, magnates and people) with God,
ties at the imperial court [12]. The most impor- thereby contributing greatly to its legitimization
tant occasions for public ceremonies and festivals [18600]. Processions were a key element of liturgi-
(also in cities other than Constantinople) were the cal ritual here, and they possessed a social func-
accession, birthday or death of an emperor, the tion that went beyond their role in worship [2260].
anniversary of the foundation of a city, especially Religious processions, in which saints’ relics, icons
the capital → Constantinople (8.10.), and a tri- or other Christian symbols were carried in public
umph. The Christianization of the empire in Late view through the city, were important in forging a
Antiquity brought changes to the public games, feeling of community and togetherness.
a central element of the Roman imperial culture: The emperor appeared personally about 30
gladiatorial contests had already been banned times a year in such processions in Constanti-
in the reign of → Constantine I (2.2.) in the early nople. Religious processions took place not only
4th century. Despite church condemnation, during church festivals, but also during sieges as a
however, chariot racing, wild animal fighting and method of shoring up the morale of besieged sol-
acrobatic and humorous theatrical performances diers and civilians. The Byzantine sources contain
continued for several centuries [81016–1018]. some descriptions of relics or symbols being pro-
In Late Antiquity, there were several major cit- cessed through a besieged city even if the enemy
ies in the Eastern Roman Empire besides Constan- was Orthodox or indeed Byzantine [17165].
tinople that lent such festivities a transregional Imperial triumphs were a ritual that took the
character. In smaller cities that lacked a large form of a procession and that to a large extent
amphitheatre, games were held in town theatres fused profane (i.e. military) and religious elements
or stadia [15678]. The Olympic Games, tradition- [11]. The main purpose of triumphs was to promote
ally a major transregional showplace for athletic the somewhat euphemistic notion that the popu-
ability and marketable goods, were held for the lace of Constantinople was sharing in the gains of
last time either in 393, 405 or 433, and thereafter the emperor’s successes in war. Above all, though,
banned [1654]. they were a key instrument for the emperor to lay
The shrinkage or complete disappearance of claim to symbolic capital, as the supreme ruler
major late antique provincial cities in the 7th cen- and his circle sought to entrench their own posi-
tury greatly diminished the transregional character tion against other factions of the ruling class and
of these festivities and the contests and perfor- the urban populace.
mances that went with them [15682 f.]. In medi- The ritual of the emperor’s public coronation
eval Byzantium, → Constantinople (8.10.) with its in the capital required the participation of vari-
Hippodrome was the epicentre of all productions ous groups (army, senate and urban populace)
associated with the imperial state. Chariot rac- as reflecting the ruler’s universal acceptance by
ing still took place there, and the circus factions the entire population of the empire [3]. In Late
(the Blues and the Greens) remained prominent Antiquity, the army dominated the ritual of pub-
[7]. During the 12th century, the Komnenoi intro- lic acclamation, during which the new emperor
duced hastiludes, probably under Latin influence. was raised on soldiers’ shields. Sources show the
These included two types of contest: the tornemen patriarch beginning to participate in the acclama-
(‘tournament’) was a martial display featuring tion of the emperor in the 5th century, especially
two groups of fighters, while the dzoustra (‘joust’) when the new ruler had not been crowned by his
was single combat [9vol. 3, 144–147]. Polo (tzykanion) predecessor [22]; [24]. It therefore tended to be
was popular among the social elite of the empire successful usurpers who sought to legitimize their
from Late Antiquity on, and a special polo field, seizure of power by means of a public coronation
the tzykanisterion, was built in the palace at Con- by the patriarch.
stantinople during the reign of Theodosius II The growing role of the Church and the dimin-
[9vol. 3, 139–142]. This sport was also popular among ishing role of the army in the ritual of acclamation
provincial elites, showing its transregional is confirmed by the observation that even towards
character. the end of Late Antiquity, the ceremony took
place not in Hebdomon (a suburb of Constantino-
D. Rituals ple), but in the Hippodrome. Later, the Church of
Ceremonial and festivities of all kinds in Byzan- Hagia Sophia also became an increasingly impor-
tium were heavily ritualized. The most important tant venue for the acclamation: a procession led
ritual performed systematically and transregion- the new emperor there for the patriarch to crown
ally was divine worship, which took place not only and the assembled people to acclaim [4]; [13].
on festival days, but also weekly. Worship forged
189 3.10. festivals, celebrations and rituals as temporary stabilizing factors

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Contents
Area Editors vii
List of Contributors ix
List of Contributions xi
Preface xiii
Notes to the User xv
List of Abbreviations xvii
List of Illustrations xxi

Historical survey 1
1. The idea of empire and emperor 109
2. State and politics 137
3. People and society 162
4. Legislation and legal practice 190
5. State and government 214
6. War and warfare 237
7. Church and religion 251
8. Nature and environment, cultural and settlement landscapes 280
9. Transport, travel, logistics 318
10. Production and technology 350
11. Art and architecture 394
12. Language, literature, culture and education 425
13. Medicine 467
14. Music 483
15. The Byzantines and the outside world 498

Index
A. Index of persons  533
B. Geographical index  547
C. Subject index  558
4. Legislation and legal practice
4.1. Byzantine law: a new legal system on an by Diocletian, → Constantine (2.2.) and Justinian,
ancient foundation have led scholars to conclude that the first epoch
4.2. Canon law and its status in the Byzantine of Byzantine legal history coincided with the final
legal system phase of Roman law, the post-classical period
4.3. Legislation ([13345, 366]; [231]; [16] on papyrology). However, this
4.4. Courts and justice conclusion (which even its supporters do not con-
4.5. Notaries and legal documents sistently support; cf. [14356, 371]) is not wholly war-
ranted. It may be argued instead that the epoch
4.1. Byzantine law: a new legal system on an of Byzantine legal history coincides with that of
ancient foundation Byzantine political history, spanning the period
from the foundation of Constantinople to its fall
A. Developments up to ca. 500 (330–1453; cf. [1790–92]). The proposition that a
B. The innovations of Justinian distinctly ‘Byzantine’ law began with Constantine
C. The 8th–15th centuries I – even perhaps even as early as 306, before the
foundation of his capital, when he became sole
A. Developments up to ca. 500 emperor [2414] – may be justified in terms of the
‘For centuries, indeed from the Renaissance on, ‘Constantinian Turn’, after which the emperor’s
there was only one question that historians of Byz- official recognition of the Christian cult that later
antine law wanted answered: what was the real its status as the sole official religion of the empire
Roman law of the Pandects like? Accordingly, they came to inform virtually all public and private
took account of nothing but the great collections affairs (→ 4.2. Canon law).
of norms that contain the most instructive transla- Without doubt, the Christian religion was the
tions and paraphrases of Justinianic law. It would new element in the gradual reconfiguration of the
have made little sense and achieved little, as far as empire after the 4th century. At the same time,
they were concerned, to critique the Corpus Juris however, the traditions of Hellenistic popular law
on the basis of the Isaurian Ekloge or the case stud- remained in use. These ancestral legal forms had
ies of Chomatenos’ [183]. This observation should been practised for centuries in the eastern prov-
not be confined to the past tense. Even today, inces of the Roman Empire (in accordance with
many a legal historian still views Byzantine law the Roman principle of personality) by ‘foreign’
primarily as a Hellenized, and largely paraphrased, subjects (peregrini) to regulate their private affairs.
relic of Roman law in the East. The impression is The Constitutio Antoniniana (212) had required
not without basis in fact; Roman law indisputably that they be replaced by Roman regulations, but
underpinned Byzantine law, and remained the this proved difficult to enforce. Although scholars
foundation on which the entire legal system of no longer argue that Roman law was largely ‘Helle-
the East evolved comprising until the fall of the nized’ when applied in the east, it is true that Helle-
Byzantine Empire [2058–61]. nistic principles (despite the efforts of Diocletian)
The empire that scholars have called ‘Byzan- nonetheless influenced not only legal practice, but
tine’ since the 19th century, saw itself as nothing also legislation [13372]; [129 f.]. Moreover, the impe-
other than ‘the Roman Empire’ until its destruc- rial chancellery began in the 5th century to issue
tion in 1453 [249]. Its ruler was ‘Emperor of the edicts on specific points (rescripta) and later gen-
Romans’, and his capital, Constantinople, was eral laws (edicta) in Greek as well as Latin. It did
the ‘New Rome’ (→ 1.1. The idea of empire and so because Latin was no longer widely spoken in
emperor; → 2.1. View of the state). → Justinian the eastern population, as it became increasingly
(2.3.; 527–565), whose reforms of public law in the isolated from the West [2213–18].
6th century led to the emergence of a Byzantine It must be cautioned that this development,
‘state identity’, thus intended them as a return which came as a result of political and social
to the ancient Roman order, in accordance with changes, was in no way intended as a deliberate
his antiquitatis reverentia (‘reverence for Antiq- effort to found a new legal system. On the con-
uity’) [153–9]. In reality, however, the foundation of trary: the Roman tradition remained ever-pres-
Constantinople (330) marked the final phase of a ent through the writings of the classical jurists.
development that had begun under the Dominate Theodosius II and the Western Roman Emperor
in ad 284, when Diocletian founded the system Valentinian III not only confirmed, but also insti-
known as the Tetrarchy, curtailing the central role tutionalized this presence with the Law of Citations
of Rome as capital and shifting the empire’s centre of 426 [2417 f.]; [1918–20]. Theodosius had planned to
of gravity eastwards [2414]. include fragments of the classical jurists in his
The profound changes to the design and nature codification project, the Theodosian Code (Codex
of the empire since the 3rd century, brought about Theodosianus), the first to be attempted by public
191 4.1. byzantine law: a new legal system on an ancient foundation

authority during the Imperial Period (→ 4.3. Legis- The professors of law were known as anteces-
lation B.1.). This plan to include and codify both sores (‘goers before’) in accordance with the con-
interpretive material (ius) and laws (leges), how- stitutio Omnem. Instruction began with a short
ever, would remain unfulfilled. The project was introductory translation (index) and concluded
not realized until the 6th century, when Justinian with specialist legal commentary. This shaped the
promulgated the Digest (or Pandects; → 4.3. Legis- subsequent transmission of the Latin parts of the
lation B.2.2.). Corpus Juris Civilis in particular, because the prod-
ucts of the antecessors’ work were much more
B. The innovations of Justinian accessible in in the Greek-speaking East than
The compilation of the Digest (a collection the Latin originals. Antecessors like Dorotheus,
of classical jurists’ writings) informed the final Cyrillus and the earlier ‘Anonymus’ also wrote
phase of development of Roman law. The fruits of summae, translations of varying length from the
Roman legal scholarship contained in this work, Digest intended for legal practice. These some-
which are presented with the names of their times departed from the original text and soon
respective authors, were edited one final time in became emancipated from it, so that later jurists
the 6th century before they were published by Jus- began using them in its place [9154–163]; [14359–367];
tinian in 533 in the form in which they are known [2364–72, 94–100]; [12118–133]; [7]; [10171 f.]. It may be
to posterity. Scholars today no longer accuse the said, therefore, that the products of Roman legal
Justinianic interpolations of broadly ‘contaminat- science took on their final, Byzantine form after
ing’ the Roman texts [11261 f. (17 f.)]. The fact that the the Justinianic codification, but still during the
Digest was issued as law (excluding legal texts that 6th century.
were not codified), however, meant that Roman The greatest innovation of the Justinianic
ius had to be incorporated into imperial legisla- period, however, concerned the legislation of the
tion [11262–265 (19–21)]. Justinian proceeded in the Novellae [13404, 409]. The texts promulgated after
same way with the Institutes (Institutiones; → 4.3. 534 served the needs of 6th-century society in
Legislation B.2.3.), which were intended as both a more than just language. Several of them reflect
teaching textbook and legal statute. not only the effective emancipation of law from
The codification of Justinian, however, was not the dictates of Roman ius civile, but also the grow-
limited to compiling ius or editing existing texts. ing influence of the Church – both of these being
Justinian is regarded as the most prolific emperor characteristic of Byzantine law. It seems hardly
in the field of legislation, and a new codification coincidental that the four great ‘codificatory’ nov-
of imperial law was the first project he ordered els composed between 542 and 546 [2391 f.] are
after ascending the throne. The Codex Justinianus devoted to issues of this nature. Justinian’s novel
duly appeared in 529 (→ 4.3. Legislation B.2.1.), fol- 117 of 542 deals with matters of marital law. Chap-
lowed by a second version in 534. After the publi- ter 8 introduced grounds for divorce and abolished
cation of this second version, the Codex repetitae the fundamental freedom of dissolution that had
praelectonis, Justinian promulgated around 160 hitherto prevailed, and which the Church opposed
new laws called the Novels (novellae; → 4.3. Legis- (→ 4.2. Canon law C.). Novel 118 of 543 on intes-
lation D.), most of them in Greek – in contrast to tate succession dismissed the Roman principle of
the Digest, Institutes and most of the constitutions agnatio (paternal kinship), replacing it with a sys-
in the Codex Justinianus, which were still in Latin. tem of classes of blood relationship much closer
This had nothing to do with Justinian’s preference to Hellenistic legal principles. Finally, novels 120
for the language, but rather represented the stan- (544) and 123 (546) regulated issues concerning
dardization of a policy that had been taking hold ecclesiastical property and administration and
since the 4th century, with the aim of making laws matters pertaining to clerics and monks.
easier to understand [2218–21].
A better understanding of the law was also C. The 8th–15th centuries
largely the aim of legal studies, which the state In 741, the Ekloge was published, the law code
began organizing by the 5th century at the latest of the iconoclast emperors Leo III and Constantine
[2420–24]. A new programme for legal instruction V (→ 4.3. Legislation B.3.). Its main purpose was
was established by law with the constitutio Omnem to impart fundamental legal knowledge, because
of December 16, 533. Only the newly codified texts private individuals with little legal expertise had
were to be studied, and the material was spread taken over the teaching of law since the closure of
across five academic years. The Novels were added the Justinianic legal schools, and the availability
later, probably as the study material for a sixth of old texts was limited [9189–196]. The Ekloge also
year. Because most of the students at the legal contained new laws introduced by the Isaurian
schools of Constantinople and Berytus (Beirut) Dynasty, but it was by no means intended to dero-
spoke Greek, the Latin texts had to be translated. gate from Justinianic law, which cannot have been
The same was done in reverse with the Greek entirely forgotten (→ 4.3. Legislation B.3., B.4., E.)
texts, for the sake of the Latin-speaking minority. [59 f.]; [1784 f.]; [2067 f.]; [14374 f.]; [23118–120]: after over
4.1. byzantine law: a new legal system on an ancient foundation 192

a century of latency, it was revived in the course (→ 4.3. Legislation D.), and not all of them intro-
of the Macedonian ‘purification of the old laws’ duced innovations. Leo’s rulings generally referred
(→ 4.3. Legislation C.1.). to existing laws, and his many novels on church
The climax of this project was a great new matters in particular represented attempts to
codification: the Basilika (→ 4.3. Legislation C.3.), resolve contradictions between secular and eccle-
a single work that contained all four parts of the siastical provisions (→ 4.2. Canon law B.). Inter-
Corpus Juris Civilis, although little of the Institutes. polations in the Basilika taken from Leo’s novels
Latin texts were given in the form of translations were first discovered in the 19th century. More
by the antecessors. The Greek novels were repro- recent research shows at least twenty of his novels
duced in their original form, while the few Latin influenced the design and content of the Basilika
novels were included in Greek translation by the (→ 4.3. Legislation C.3.; [824–31]; contra [161–5]). This
scholastikoi Athanasius of Emesa and Theodore also makes it possible to assess the role of custom
of Hermoupolis (→ 4.3. Legislation E.). Compared in Byzantine law. Scholars formerly saw Leo’s nov-
to the 6th-century originals, the Greek texts of els as an example of a Byzantine emperor giving
the Basilika contain fewer Latin terms, most of general recognition to customary law, but today
which have been replaced with Greek expressions. scholars tend to view Leo as a legal positivist who
Besides wholesale exellenismos (Hellenization), ‘legitimized’ legal customs by creating legislation
Justinianic provisions were also further expanded in individual cases [3218 f.]; [4186]. This is essentially
and updated with interpolations. Few non-Justin- the view of Bénou [2119 f.], who emphasizes the
ianic texts were included, one exception being influence of custom on Byzantine law under the
the section on criminal law, which derived from Palaiologoi in particular (1261–1453) [247–50, 122–124,
the reforms of the Ekloge (→ 4.3. Legislation B.3.) 131, 184 f., 318 f.].

[2262–67]; [14379]; [12137–141]. It is beyond dispute that the basis of the Byz-
The publication of the Basilika brought to an antine legal order, inherited from Rome and
end the Byzantine emperors’ codificatory endeav- renewed and propagated by Justinian, developed
ours, and they thereafter confined their legislative independently under the influence of several fac-
activity to promulgating individual laws. Private tors between the 6th and the 15th centuries. Those
individuals, however, continued the practice of factors certainly included the abiding influence of
producing codifications of a sort. From the second aspects of customary law – whether Greek in ori-
half of the 6th century until shortly before the gin or adopted through contact with other peoples
halosis (‘capture’, i.e. the Ottoman conquest), legal (e.g. Western Europe, the Slavs) – on legal practice
practitioners and jurists continued to produce law and sometimes imperial legislation. A much stron-
books (→ 4.3. Legislation E.) that, directly or indi- ger determinant of the genesis of a new Byzantine
rectly, were heavily based on Justinianic mate- law (on the ancient Roman foundation), however,
rial. These works drew on old material, while also was the Church and its kanones.
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4.2. Canon law and its status in the Byzantine century) [138–42, 44–53, 140–143]; [1447–50, 158–161, 255–259];
legal system [15143–150]; [41233 f., 1242–1246].
The gradual estrangement of the Churches
A. Synods, canons, collections and commentaries of Constantinople and Rome that would lead to
B. The relationship between ecclesiastical canons the schism of 1054 made it impossible to convene
and imperial laws gatherings of the entire Church. In the Eastern
C. Family law as an ecclesiastical sphere of Church, the activities of the patriarchal synod of
influence Constantinople (endemousa synodos, literally ‘resi-
dent synod’) – the gathering of ‘those [metropoli-
A. Synods, canons, collections and tans] present in the city’ (endemountes) – filled the
commentaries gap. This form of synod also existed in other patri-
The first Christian norms were contained in the archates, but the body in Constantinople became
Bible. As Christianity spread, synods were called the most important. The endemousa synodos was
to issue ecclesiastical norms, known as ‘canons’ also responsible for the other patriarchates in
(Greek kanon(es); Latin canon(es)). Initially, these some areas, and their bishops could join it. It was
canons served local purposes and dealt with the expanded when some bishops of the patriarchates
appointment of bishops and disciplinary issues. in the eastern provinces became unable to occupy
The synod convened by → Constantine I (2.2.) in
4.2. canon law and its status in the byzantine legal system 194

their sees after the Arab conquest, and instead rial from the Codex Justinianus, its second material
remained at Constantinople. This explains why from the Institutes and the Digest (→ 4.3. Legisla-
Constantinople’s endemousa synodos gradually tion B.2.2.) and its third the ecclesiastical novels of
came to be recognized as the supreme adminis- Justinian in the version from the Epitome of Atha-
trative organ of the Byzantine Church, rather than nasius of Emesa (→ 4.3. Legislation E.) [14150–151];
the ecumenical synod. [15132–136].
Most of the rulings (tomoi) of the synod con- New works known as nomokanones (‘law-can-
cerned issues of ecclesiastical administration and ons’) combined collections of canons and collec-
marriage law. The earliest ruling known is the 920 tions of imperial legislation. This term, which first
Tomos enoseos (‘tomos of union’; also preserved as appeared in the 11th century, was not always used
a novel of Constantine VII). This measure put an in a technical sense [14153]; [6341]; [15137]. The Syna-
end to the bitter dispute over the tetragamy of Leo goge in 50 titles and the Syntagma kanonon with
VI. Fourth marriages were henceforth strictly for- appendices and other texts were combined to
bidden, and third marriages permitted only under make up the Nomokanones in 50 and 14 titles. The
certain conditions (youth, childlessness). The earlier collection, from the 6th century, was the
tomos of Patriarch Sisinnios (997) on the marital Nomokanon in 50 titles [14153 f.]; [15137 f.]. The Nomo-
impediment of affinity also played an important kanon in 14 titles appeared in the 7th century
part in family law (see below, C.) [14259–267, 326–329]; (TAQ 641), but was revised in 882/83, 1089/90 and
[15163–168, 170–174]. 1092/93 [14267–269]; [3254–262]; [15138–141]. Other nomo-
Meanwhile, compilations of canons began to kanones include the Syntagma kata stoicheion
be made – not officially, but on private initiative. (1335) of Matthaios Blastares, an alphabetical work
The first Corpus canonum (produced in several that contains material from the Nomokanon in 14
versions and not yet systematic) is lost [1453–56]; titles, canonical commentaries of the 12th century
[15115–117]. Compilations on specific subjects began and many sources of secular law. It was widely
to appear in the 6th century, probably as a result used [14329–332]; [15185–187]; [8243].
of the proliferation of canons. Examples include In 1177, Manuel I and Patriarch Michael III
the Synagoge kanonon in 50 titles by John Scho- commissioned the canonist Theodore Balsamon
lastikos and the Syntagma kanonon in 14 titles to write a commentary on the last version of the
[14141–145]; [15117–120]; [41242–1245]. The collection Nomokanon in 14 titles and to establish which of
known as the Synopsis kanonon is of rather later the laws it contained were still applicable. Theo-
date (perhaps between 580 and 692); it did not dore also commented on the canons. Over several
distinguish by subject matter and presented the years, he supplemented his commentaries, which
canons in summary. Two later versions survive, include the texts of a number of otherwise lost
one from the 10th century by Symeon Magistros or laws and patriarchal acts, with addenda in which
Logothetes, and one from the late 11th century, on he sometimes expressed a new opinion. His work
which the canonist Alexios Aristenos (see below) was edited, augmented and criticized by a younger
wrote a commentary in the 12th century [14272–275]; (unknown) canonist, whose work survives only in
[15120–124]. Constantine Harmenopoulos in the 14th Codex Sinaiticus gr. 1117 (482) [14289–293]; [15180–185].
century compiled a six-part collection of can- Canon law studies flourished in the 12th century.
ons, the Epitome kanonon, to which he probably Alexios Aristenos wrote a short commentary on
provided his own commentaries. He prefaced it the Synopsis kanonon in 1130, and John Zonaras
with his Hexabiblos (→ 4.3. Legislation E.) [14334 f.]; completed his long commentary on the canons
[15188–190]. sometime after 1159 [14289–293]; [15176–180].
Also of interest as sources in the study of canon
law are the many pieces of legislation dealing with B. The relationship between
the Church and its organization [1142]. → Justin- ecclesiastical canons and imperial
ian (2.3.) was one of the most prolific Byzantine laws
emperors in this field (see below, B.). The canon Once the persecutions ended, the Christian
collections of the 6th century had appendices con- Church acquired a unique status in the empire,
taining Justinianic laws in their entirety or in sum- making it possible to speak of an ‘Imperial Church’
mary. The abovementioned Synagoge in 50 titles by the end of the 4th century. The Christian emper-
was accompanied by a work of John Scholastikos, ors took a keen interest in ecclesiastical organiza-
the Collectio LXXXVII capitulorum, presenting tion and legal affairs, which soon was reflected in
extracts of Justinianic novels dating from 535 to legislation concerning the Church [13519–522, 524–526].
546. The Collectio constitutionum ecclesiasticarum To some extent, this interest arose from some
(or Collectio tripartita, as it was divided into three emperors’ participation in the life of the Church,
sections) served as an appendix to the Syntagma but there were also political motivations, as Chris-
kanonon in 14 titles. Its first part contained mate- tianity became a unifying force for the peoples of
195 4.2. canon law and its status in the byzantine legal system

the empire. The Church welcomed imperial ‘inter- that laws could now modify or repeal canons [1037 f.
ference’ in its affairs at least up to a certain point, (201–203)]; [13519–522, 524–526]; [6328 f.]; [269–72].
because it needed state support. Justinian’s extensive legislative activity in
The relationship between church and state ecclesiastical matters, which the Church never
that developed in Byzantium was one in which called into question, meant that the 5th (553) and
the Church was ac self-governing state institution. 6th Ecumenical Councils (680/81) issued no can-
There thus was a single authority, the imperium ons. Emperors after Justinian, however, followed
Christianum, divided into two parts. The Church’s his example and continued to legislate on eccle-
relations with the state were not institutionalized, siastical matters [1038 f. (204)]; [6329 f.]. The Quinisext
and sometimes they even depended on the per- Council of 691, in contrast (see above, A.), issued
sonal relationship between the emperor and the 102 canons, reiterating some provisions of Justin-
patriarch. Throughout Byzantine history, only one ian’s legislation. It may be that the Church was
attempt was ever made to regulate these relations: seeking to assert its ‘emancipation’ from the secu-
Titles 2 and 3 of the Eisagoge (→ 4.3. Legislation lar legislator, but more probably the Church was
C.2.) [9291–294 (497–500)]; [1039–43 (205–213)]; [6327 f., 332 f.]; motivated by the loss of empire’s eastern territo-
[261–69, 76–86]. ries. Byzantine law did not apply in Arab territo-
The fact that the Christian emperors, begin- ries, but the canons of an ecumenical council were
ning with Constantine, issued a great many laws binding on the Christians living in territory under
concerning the Church and its administration Arab control [14160].
implied neither the abolition of existing canons Another step towards the harmonization of sec-
(see above, A.) nor incapacity on the part of the ular and ecclesiastical legislation can be observed
Church when it came to managing its own internal in the novels of Leo VI (→ 4.3. Legislation D.). In
affairs. In theory, the two types of norms (impe- most cases, Leo sought to adapt the provisions of
rial laws and canons) should have been virtually secular (especially Justinianic) law to the precepts
identical where they concerned the same sub- of canon law. He did so either by modifying laws
ject, since the emperors were supposed to rule in that contradicted the canons, or by introducing
accordance with Christian guidelines according to new laws. It has been argued that Leo’s novels on
the system of relations between church and state ecclesiastical law represent an attempt to ‘expand
set forth above. In practice, however, it was not in practice’ the purview of the Justinianic system
impossible for laws and canons to contradict one [1043 f. (213–217)]; [12147–149 (612–614)].
another, and this caused problems. Which should The 12th-century commentary by the renowned
take precedence if canon law and imperial law canonist Theodore Balsamon investigates the rela-
diverged? How could a legal proposition be valid tionship between laws and canons, particularly
in the absolutist Byzantine administrative system the question of legal precedence in cases where
if the emperor was not directly party to it? the two conflicted (see above, A.). Theodore’s
The emperors began to intervene to harmo- positions, however, are unclear and sometimes
nize dissonance between secular and ecclesiasti- even contradictory or opportunistic; they thus do
cal norms as early as the 5th century. Two laws not give a complete account of the problem. No
in the Codex Justinianus stipulated that all prag- doubt this is a function of the general vagueness
matic sanctions (pragmaticae sanctiones) that of relations between Church and state and their
contradicted the sacred canons were void (Cod. respective legal norms. This gave Theodore, who
Just. 1.2.12, 451) and that the validity of the can- was writing at the behest not only of the patriarch,
ons was in no way inferior to that of imperial laws but also of the emperor, considerable leeway in his
(Cod. Just. 1.3.44, 530). The novels of Justinian (e.g. interpretation of particular provisions. Although
3 and 6) also emphasize the need for laws and can- he rapidly completed the first version of his com-
ons to agree. mentary after receiving the commission, he spent
Justinian, however, made a clearer and more the rest of his life working to improve and aug-
radical intervention in his Novel 131 of 545, which ment it [1045 f. (217–219)].
ruled that the canons of the four ecumenical coun- The anonymous canonist who authored the
cils that had already been held at the time (see commentary in Codex Sinaiticus gr. 1117 (482; see
above, A.) should carry legal force. At first sight, above,  A.) presents a much clearer view of the rela-
this provision appears beneficial to the Church, tionship between laws and canons and is critical
but with qualifications: adopting these canons of Theodore Balsamon. Assuming that canons had
into the state legal framework put them on a par the same force as laws, he argues, preference in
with the laws, but this ‘privilege’ applied only to the event that they contradicted one another must
these canons, not all. Moreover, laws and canons go to the newer provision, whether a canon or a
could in future be approached equally by practis- law. This attitude shows that the canonists of the
ing jurists, whether laymen or clerics. This meant 12th century were aware of the double-edged
4.2. canon law and its status in the byzantine legal system 196

consequences of Justinian’s placing of canons and godfather. The provisions of the Ekloge entered
laws on an equal footing: not only could a law the law books of the Macedonian emperors, the
abolish an existing canon, it itself could also be Eisagoge and Procheiros Nomos (→ 4.3. Legislation
repealed by a later canon. This solution, however, C.2.), as well as the Basilika [1195–100 (367–372)]; [6337 f.].
intended as a reliable way of harmonizing the In 997, during the reign of → Basil II (2.4.), a
two types of norms, may have produced a bias in council ruling was made (the tomos of Patriarch
favour of secular law. The dominant view in the Sisinnios; see above, A.) that placed the ques-
latter half of the 12th century was that the Basi- tion of kinship and affinity impediments on an
lika were official in nature and possessed exclusive entirely new basis. The tomos introduced a hith-
validity (→ 4.3. Legislation C.3.). Accordingly, Jus- erto unknown affinity impediment, forbidding the
tinian’s laws had been reaffirmed by their inclu- marriage of two brothers to two cousins. As far as
sion in this codification [1046 (220–222)]. is known, this edict, which bears further witness to
the leading role of the Byzantine Church in marital
C. Family law as an ecclesiastical law, did not derive from an initiative of the emper-
sphere of influence or’s, and the emperor certainly did not affirm it.
The leading role of the Church in the Byzantine It may have been for this reason that Sisinnios
Empire meant not only that imperial constitutions sought to portray his tomos as representing noth-
were issued dealing with ecclesiastical institu- ing new. He attempted to associate it with (sup-
tions, but also that Christian teachings and ethics posedly) existing provisions, not only with respect
came to exert direct influence on secular law. Of to the legality of marriage, but also propriety and
all branches of the law, the one subject to the most the requirement that a marriage should not cause
powerful influence from the Church was without ‘confusion of the names [of kin]’. This last con-
doubt family law. dition in particular lent very broad scope to the
The state did not accept all the opinions and interpretation of the tomos. The patriarchal synod
prescriptions offered by the Fathers of the Church. of 1166 extended the impediment of kinship to the
A typical example was the emperors’ attitude to seventh degree (marriage to the child of a second
divorce. The position of scripture (Mt 19:9), per- cousin), and this was confirmed by an order (pros-
mitting dissolution of marriage only in case of tagma) of the emperor, Manuel I Komnenos.
adultery – a position reiterated by Basil of Cae- The same emperor, however, called the author-
sarea in the 4th century (Canon 9) – was never ity of Sisinnios’ tomos into question in 1175. Patri-
adopted into imperial legislation. Justinian intro- arch Michael III reacted positively to this, and
duced specific grounds for unilateral divorce in his emphasized that the tomos was neither a law nor
Novel 117 of 542, and the Church accepted them a canon, and moreover that it was in harmony
[6331] – but this was highly unusual. The influence with neither – criticism similar to that levelled at
of Christian views of marital ethics at this period the tomos since the 11th century. Manuel accord-
tended rather to be pervasive. ingly issued a novel that, while not annulling the
One good example of this is the evolution of tomos, declared it a lex minus quam perfecta (‘law
the legal impediment to marriage arising from kin- less than perfect’, i.e. a law that, if violated, did not
ship in post-Justinianic law. On the whole, Justin- render a transaction invalid), thereby depriving it
ian had kept faith with Roman law in the field of of its power to dissolve a marriage. However, this
marriage. A tightening of the impediment of kin- novel was without consequence because it was
ship and affinity becomes apparent in the canons never applied, and the tomos remained in force
issued by the Quinisext Council of 691 (see above, [5221–234]; [7555 f., 564–567, 578 f., 581 f.].
A.). Canon 54 extended the impediment of kinship It has been argued [7], in regard to the mari-
to marriages between first cousins. The impedi- tal policies of Manuel I and other Komnenos
ment of affinity was expanded to include marriages emperors, that their interventions were related
of first or second-degree kin of one spouse to kin to absence of strong patriarchs of Constantinople
of the same degree of the other spouse. Canon 53 during this period, who might have counterbal-
also regulated the impediment of spiritual kinship anced the emperors’ power. Relations between
(i.e. godparenthood). This impediment did exist in Church and state were certainly sometimes a
Justinianic law, but only in relation to marriages matter of personalities (see above, B.). In prac-
between godfathers and goddaughters. The Quini- tice, however, the emperors had very little leeway,
sext Council expanded it to include the mother of ‘for the clericalization of the entire life of society
the godchild. and – as a result – the enforcement of inflexible
Half a century later, the Isaurian Ekloge (→ 4.3. ecclesiastical positions in regard to the struc-
Legislation B.3.) took up these impediments again ture of marriage were already at their height and
and even tightened some of them further. The complete (for the time being) by the end of the
impediment of kinship was extended to second 11th century’ [7587].
cousins, and that of spiritual kinship to sons of the
197 4.3. legislation

From a different perspective, this history of Troianos (ed.), Analecta Atheniensia ad ius byz-
Church and state taking turns to tighten affinity antinum spectantia, vol. 1 (Forschungen zur byzan-
impediments, beginning with a patriarchal tomos tinischen Rechtsgeschichte, Athener Reihe 10), 1997,
that was not ratified by the emperor and ending 141–154 (reprinted in S. N. Troianos, Historia et ius,
vol. 2, 2004, no. 47, 605–619) [13] S. N. Troianos,
with its (albeit provisional) abrogation some 200 Ostkirche und profanes Recht, in: S. N. Troianos,
years later, may offer evidence that normative Historia et ius, vol. 2, 2004, no. 42, 509–531 (first pub-
ecclesiastical and imperial texts constituted a lished in: R. S. Taft (ed.), The Christian East. Its Institu-
single, coherent legal system [6338]. Further exam- tions and its Thought (OCA 251), 1996, 465–484) [14]
ples support this view (cf. also [9294 (500)] on ‘two S. Troianos, Die Quellen des byzantinischen Rechts,
legal systems with points of contact’ [6327, note 10]): tr. D. Simon / S. Neye, Berlin-Boston 2017 [15] S. N.
the composition of the Nomokanones [6340 f.] and Troianos, Byzantine Law to 1100 – Byzantine Law
the uncertainty over the ecclesiastical or imperial from the Twelfth to the Fifteenth Centuries, in: W.
provenance of some texts, such as the Tomos of Hartmann / K. Pennington (eds.), The History
of Byzantine and Eastern Canon Law to 1500, 2012,
Union or the ‘novel of Patriarch Athanasios’; see
115–214.
above, A.; → 4.3. Legislation D.). It must never-
theless be noted that strictly speaking, no canon Eleftheria S. Papagianni
confirms the role of the emperor as ‘canonical leg-
islator’ [6330].
4.3. Legislation
Bibliography
[1] H.-G. Beck, Kirche und theologische Literatur A. Issuing and transmitting norms
im byzantinischen Reich (HdA 12,2,1), 21977 [2] B. Codifications and law books
L. Bénou, Pour une nouvelle histoire du droit byz- C. Law books and codifications at the time of the
antin. Théorie et pratique juridiques au XIVe siècle, Anakatharsis
2011 [3] T. E. van Bochove, Some Byzantine Law D. Production of individual laws
Books. Introducing the Continuous Debate Concern- E. Legal studies
ing their Status and their Date, in: J. H. A. Lokin /
B. H. Stolte (eds.), Introduzione al diritto bizan-
tino. Da Giustiniano a Basilici, 2011, 239–266 [4] A. Issuing and transmitting norms
H. Ohme, Die Stellung des Consilium Quinisextum The concept of legislation was neither as clear
im byzantinischen Kirchenrecht des 8. Jahrhunderts, nor as self-evident in Byzantium as it is in modern
in: V. A. Leontaritou et al. (eds.), ΑΝΤΙΚΗΝΣΩΡ. legal systems. Although the imperial provenance of
Festschrift S. N. Troianos, 2013, 1233–1246 [5] C. G. a norm was the essential criterion for calling that
Pitsakis, ‘Παίζοντες εἰς ἀλλοτρίους βίους’. Δίκαιο και norm a ‘law’ (Greek: nómos), laws were also trans-
πρακτική τῶν γαμικῶν κωλυμάτων στο Βυζάντιο: Η τομή, mitted after promulgation through editorial pro-
in: Πρακτικά του Α´ Διεθνούς Συμποσίου ‘Η καθημερινή cesses, including ‘reorganization, epitomization,
ζωή στο Βυζάντιο. Τομές και συνέχειες στην ελληνιστική
και ρωμαϊκή παράδοση’, 1989, 217–236 [6] C. G. Pit-
excerption’ and ‘explanation and commentary’.
sakis, Le droit canonique. Droit de l’Église et droit Relevant writings, which were often produced by
romain, in: J. H. A. Lokin / B. H. Stolte (eds.), private individuals, might be called ‘scholarly’ or
Introduzione al diritto bizantino. Da Giustiniano a ‘theoretical’ in the modern sense [35101 f.].
Basilici, 2011, 325–350 [7] A. Schminck, Zur Ent- The major difference between modern legal
wicklung des Eherechts in der Komnenenepoche, systems and that of Byzantium, however, was that
in: N. Oikonomides (ed.), Tο Βυζάντιο κατά τον ‘theoretical’ works of this kind were also used in
12ο αιώνα. Κανονικό δίκαιο, κράτος και κοινωνία, 1991, the court system. One example of this is the prac-
555–587 [8] A. Schminck, Wörtliche Zitate des tice of the patriarchal court (→ 4.4. Courts and jus-
weltlichen und kirchlichen Rechts im Register des tice B.2.) in the 14th century. Although patriarchal
Patriarchats von Konstantinopel, in: C. Gastgeber
et al. (eds.), The Register of the Patriarchate of Con-
rulings rarely cite their legal sources precisely, it
stantinopel. An Essential Source for the History and is highly likely that the Procheiros nomos, a book
Church of Late Byzantium, 2013, 235–243 [9] S. N. of imperial laws of imperial provenance (see
Troianos, Kirche und Staat. Die Berührungspunkte below, C.2.), was used to justify its rulings in the
der beiden Rechtsordnungen in Byzanz, in: Ostkirchli- first half of the 14th century. After 1345, however,
che Studien 37, 1988, 291–296 (reprinted in: S. N. Troia- the Hexabiblos of Harmenopoulos (see below, E.)
nos, Historia et ius, vol. 1, 2004, no. 20, 497–502) [10] replaced it as an aid in the administration of patri-
S. N. Troianos, Nomos und Kanon in Byzanz, in: archal justice, apparently with no qualms about
Kanon 10, 1991, 37–51 (reprinted in: S. N. Troianos, His- the fact that it was a private work [22vol. 3, 281 f.].
toria et ius, vol. 2, 2004, no. 29, 201–222) [11] S. N.
Troianos, Die Wirkungsgeschichte des Trullanum
It would be narrow-minded to exclude such
(Quinisextum) in der byzantinischen Gesetzgebung, writings by private legal scholars from an account
in: AHC 24, 1992, 95–111 (reprinted in: S. N. Troianos, of Byzantine legislation, and they are accordingly
Historia et ius, vol. 2, 2004, no. 36, 367–386) [12] discussed here as ‘legal books’ (see below, E.).
S. N. Troianos, Die Novellen Leons VI., in: S. N. Works of imperial provenance are referred to here
4.3. legislation 198

as ‘law books’, regardless of whether the specialist B.2. The Justinianic codification

literature confirms that they were indeed promul-
gated, or whether they remained at the draft stage. B.2.1. The Codex Justinianus
It is far more difficult, however, to distinguish B.2.2. The Digest
between ‘law books’ and ‘codifications’, given that, B.2.3. The Institutes
particularly after Justinian, even purely legislative
works were ‘quasi-codificatory’ in character – not The term ‘Justinianic codification’ refers to the
only because they often relied on existing mate- three legislative projects of → Justinian (2.3) pro-
rial, but also because the dominant idea in Byzan- mulgated between 529 and 534: the Codex Justini-
tium was the preservation of traditional ‘Roman anus, the Digesta (Digest) or Pandektai (Pandects)
law’ [4420–22]. Even so, only the large, compilatory and the Institutiones (Institutes) or Eisegeseis.
enterprises of the Early and Middle Byzantine
periods will be referred to here as ‘codifications’ B.2.1. The Codex Justinianus
(see below, B.1.–B.3.). Everything else will be called When Justinian acceded to the throne, he
a ‘law book’, even if the specialist literature calls it issued an imperial constitution called the consti-
a ‘codification’. tutio Haec (February 5, 528), ordering the creation
of a commission of senior officials and jurists who
B. Codifications and law books were to prepare a new law book. This compilation
would be based on the three existing codifications
B.1. The Codex Theodosianus and also would take into account more recent leg-
B.2. The Justinianic codification islation. The commission was instructed to strip
B.3. The Ekloge the constitutions of their prooemia (rhetorical
B.4. The Eklogadion prefaces or introductions), eliminate repetition
and contradictions and delete everything obsolete.
B.1. The Codex Theodosianus The material was arranged thematically in titles,
Codified Byzantine legislation begins with the within which the individual constitutions put in
Codex Theodosianus of 438. The project of codify- chronological order. The work was completed in
ing the law was devised in 429, during the reign of 529, and following its promulgation (by the con-
Theodosius II, during a revival of legal scholarship, stitutio Summa, April 7, 529), the Codex was to be
but it was conceived on a scale far more ambitious valid for all time.
than what was ultimately achieved. The first com- A growing number of new laws and the further
mission appointed by Theodosius was instructed progress of codification, however, necessitated
to codify laws issued since 312, while also taking a revision of the Codex Justinianus. It is doubtful
into account two 3rd-century collections of laws whether any constitution comparable to the con-
made on private initiative, the Codex Gregorianus stitutio Haec was ever issued to introduce the revi-
and Codex Hermogenianus [25386–388]; [4616 f.]; [374– sion. At all events, the second version (the Codex
8]. This compilation was also supposed to incorpo- repetitae praelectionis) was promulgated by the
rate fragments of the Roman jurists. constitutio Cordi of November 16, 534. Only this
When this plan failed to be achieved, a new second version is preserved – in twelve books,
commission was appointed in 435, its remit now reportedly like the first version that it superseded.
limited to the as yet uncodified imperial legisla- All that survives of the first version (the Codex
tion since Constantine. The language of the origi- vetus) is a few title headings and the inscriptions
nal constitutions was to be abbreviated and the of some constitutions on a papyrus (P.Oxy. 15,
texts could be split into separate parts if neces- 1814). By comparing these to the Codex repetitae
sary. The material was then arranged in books and praelectionis, it can be seen that the first codex
titles according to subject area; within the titles, differed from the second, structurally at least. It
the constitutions were arranged in chronological is therefore very probable that it was thoroughly
order. Of the sixteen books of the Codex Theodo- revised. Unfortunately, no complete manuscript of
sianus, which was published in 438 in both the the second version exists. Codex Veronensis 62 in
Eastern and Western Roman Empires, only Books its 8th/9th-century form contains only Books 4–8,
6–8 (in a manuscript in the Vatican) and 9–16 11 and 12, and also preserves the Greek constitu-
(in a Paris manuscript) survive independently. tions that were absent from the medieval manu-
The other books are preserved indirectly, e.g. in scripts. The restitutio (restoration) of the text was
the Visigothic Breviarium of Alaric and the Codex achieved with the help of other sources [25411–414];
Justinianus (see below, B.2.1.). The latter used the [4472–75]; [20104–107, 116–118].
Theodosianus as a source, but in many cases repro-
duces the constitutions only in interpolated form
[25388–390]; [4618 f.]; [3736–108, 163–214]; [1617–31]; [20103–105].
199 4.3. legislation

B.2.2. The Digest intended to replace a 2nd-century treatise of the

The constitutio Deo auctore of December 16, same title by the Roman jurist Gaius as the pri-
530, appointed a new commission charged with mary reading material for the study of law. Like
collating all usable passages from the writings of its Roman predecessor, the Justinianic Institutes
the Roman jurists that were mentioned in the 5th- was divided into four books. The Institutes of
century Law of Citations (→ 4.1. Byzantine law A.) Gaius, however, was not the only source for the
and forging them into a unified work. Justinian’s new textbook, which probably also drew on other
aim for the Digest, which was promulgated by the introductory Roman works and even imperial
bilingual constitutio Tanta/Dedoken of Decem- constitutions. The text was formulated to give the
ber 16, 533, was to abrogate the Law of Citations impression that the emperor was instructing stu-
and replace all the jurists’ writings. In future, ius dents personally, but the work was not only a text-
would carry legal force only in textual form. The book: it was also published as law. The manuscript
work comprises 50 books, each (except books tradition of the Institutes is very rich. The most
30–32) divided into titles. The material in the titles famous manuscript, the 10th-century Codex Tau-
comprises fragments (digesta), whose provenance rensis, based on very early exemplars, however, is
(name and work of the Roman jurist concerned) incomplete, so that other textual evidence is also
is indicated. The constitutio Tanta also contains important [25417–419]; [4485–88]; [20116].
a précis of the content of the Digest, divided into All three elements of the Justinianic codifica-
seven large units (partes). tion were promulgated as law, but there was a key
The question arises as to how it was possible distinction in this respect between the Codex Jus-
for the Digest to be completed in just three years, tinianus and the two other works. The Institutes
given the vast quantity of material the work’s and Digest were published as complete constitu-
compilers faced. Some texts may have been con- tions of Justinian, but the Codex Justinianus – like
ceived as ‘pre-Digests’ (Praedigesta), including the the Codex Theodosianus before it [37256 f.] – was not
Justinianic Quinquaginta decisiones and Constitu- a ‘true law book’, but a compilation of individual
tiones ad commodum propositi operis pertinentes, constitutions, each of which retained its indi-
promulgated in 530/31. These are collections of vidual legal force and its own date. The rule lex
constitutions intended to resolve difficulties in the posterior derogat legi priori (‘the later law amends
writings of the Roman jurists or to replace obso- the earlier’) thus applied not only to passages of
lete institutions. Regarding the compilers’ working the Codex compared among themselves, but also
method, Friedrich Bluhme’s ‘mass theory’, devel- where passages of the Digest or Institutes departed
oped in the 19th century, is still largely accepted from passages of the Codex. Only constitutions
today. Bluhme deduced that the compiled pas- issued after the end of 533 could modify a provi-
sages were divided into four categories, which he sion of the  Digest or Institutes [4635].
called the ‘edictal mass’, ‘Sabinian mass’, ‘Papinian Justinian also strove to make the newly codi-
mass’ and ‘appendix mass’. Thus categorized, the fied texts absolute and inviolable. For this reason,
material was then, according to Bluhme, further probably under the influence of the legal scholar
edited, excerpted and arranged by subject. Tribonian, he banned the use of abbreviations in
Since Justinian granted the commission the copying the text in the promulgation constitutions
authority to intervene in the texts, scholars were of the Digest, Institutes, and the second Codex and
long preoccupied with investigating the extent of in the constitutio Omnem concerning the study of
‘interpolations’, i.e. the problem of how far the text law (→ 4.1. Byzantine law B.). His much-discussed
of the Digest corresponds to the texts of the origi- ‘ban on commentaries’ served the same purpose,
nal jurists, in addition to exploring how the Digest although it failed to hamper the flowering of legal
was created. These interventions are no longer scholarship in this period. The prevailing view
regarded as having been particularly extensive, today is that this ban applied only to commen-
and the text of the Digest is seen as reasonably taries inserted directly in the text, which might
faithful to its classical sources (→ 4.1. Byzantine lead to alterations, not to commentaries generally
law B.). The Digest survives intact in one outstand- [4635–37].
ing manuscript, the (Littera) Florentina or Pisana,
also called the Codex Laurentianus (unnumbered) B.3. The Ekloge
[25414–417]; [17]; [18217–219]; [4476–85]; [20107–116]. The Ekloge (‘selection’) of Emperors Leo III and
Constantine V, promulgated as law in 741 and con-
B.2.3. The Institutes sidered by its most recent editor to have been a
While the Digest was still being written, Jus- ‘law book’ and not a ‘codification’ ([59, note 4]; con-
tinian ordered the preparation of a textbook for tra [27374, note 115]; [44118]), announces itself in its title
beginners, and it was promulgated by the consti- as a ‘selection of laws, in abridged form … from
tutio Imperatoriam maiestatem of November 21,  the Institutes, Digest, Codex and Novels of Justin-
533. This work, the Institutes (Institutiones), was ian the Great, and an improvement upon them in
4.3. legislation 200

the spirit of greater leniency’ [5161]. The purpose Although Title 17 does not contain general
of the Ekloge was thus not to repeal Justinianic penal principles, they can be deduced from its
law – which in fact was scarcely cited any longer content. The iconoclast emperors sought to limit
by the 8th century because of its unavailability and judges’ powers of discretion; hence the provisions
the low level of legal scholarship (→ 4.1. Byzantine of this title precisely define the type and severity
law C.) – but to present in a clear way the regu- of punishment for individual crimes. Sometimes,
lations in it that were most relevant to everyday this means subdividing offences into categories,
life, while taking account of the latest legislation, balancing the gravity of crimes and the sever-
probably from the reign of Leo III [54–6]; [44120–121]. ity of their punishment. Greater clemency is also
It has been very cautiously suggested that achieved by limiting the threat of capital punish-
the Ekloge was reformatory in the sense that the ment and almost entirely abolishing the aggra-
emperors of the Isaurian Dynasty were interested vated forms of execution prescribed in Roman law
in reform to a certain extent – not only by mak- (including crucifixion and burning at the stake).
ing a practical law book available, but also by The punishment of mutilation, which is very typi-
introducing new practices (e.g. salaries for judges cal of the Ekloge (and which was not new, but
and judicial officials paid from the imperial trea- largely replaced capital punishment) does not
sury) – but reform of the substance of the law was represent a ‘barbarization’ of penal law, but rather
not their primary purpose [510]; [3584]. a softening. The frequent repetition of these pen-
The eighteen titles of the Ekloge discuss for the alties in the individual chapters of Title 17 reflects
most part what were probably the most relevant nothing but the legislator’s determination to pre-
legal issues in everyday life. In civil law, matters of scribe exact penalties in order to curtail the arbi-
marriage and inheritance law are treated compre- trariness of judges.
hensively. Six titles (4, 9–13) deal with contracts, The criminal law of the Ekloge, which sought to
with some effort at reform [15600]. The law book minimize the social injustices inherent in Justini-
introduced clearer innovation in the field of mar- anic law, was probably popular with the people.
riage law. The impediments to marriage posed by It consequently became and remained the crimi-
kinship, affinity and spiritual kinship were tight- nal law of the Byzantine Empire until its end, and
ened in comparison with Justinianic law. This was not even abolished during the ‘purification of
was a result of the influence of the canons of the the old laws’ under the Macedonian emperors (see
Quinisext Council, but the provisions of the Ekloge below, C.1.) [42]; [44122–126].
outdid canon law in their stringency in regard to The abundant manuscript transmission of the
the impediments of kinship and spiritual kinship Ekloge comprises around 100 codices. The clarity,
(→ 4.2. Canon law C.). sobriety and concision of the text also led to its
There were also innovations in regard to the circulation beyond Byzantine borders, and it was
role of wives and widowed mothers in the family translated into Slavic languages, Armenian and
[15562–576, 579, note 84]. Doubt has been cast, however Arabic.
on the notion that the Ekloge reformed the law
on marital property, i.e. by introducing a conju- B.4. The Eklogadion
gal community of property in the family, which As stated above, it was not the main purpose
has been attributed to a misunderstanding on the of the Ekloge to supersede Justinianic law. On the
part of the German legal historian Karl-Eduard contrary: specialists of the 8th century were soon
Zachariä von Lingenthal [3583 f.]; [6]; [22vol. 2, 95]; aware that their regulations did not meet the
[3967 f.]. This last interpretation, however, has itself needs of contemporary legal practice; addenda
recently been questioned [15580–582]. were therefore added on private initiative using
The most striking innovation of the Ekloge Justianianic texts (see below, E.). One text (unfor-
was its penal provisions. The preface already tunately incomplete) contained in Codex Vindo-
attaches great importance to penal law, and even bonensis iuridicus gr. 2, however, demonstrates
the ‘improvement […] in the spirit of greater leni- an intent not simply to round out the Ekloge, but
ency’ mentioned in the title seems mainly to refer to return to Justinianic law. The titles of this work
to the section on criminal law (Title 17), which is are inserted after the corresponding titles of the
the longest title, comprising one fifth of the total Ekloge; each of these new titles carries the head-
length and one third of the chapters of the Ekloge. ing ‘from the second small Ekloge’ (ek toû deutérou
According to the preface, these penal provisions Eklogadíou) – a name attested nowhere else. On
were intended not only to punish criminals, but the basis of these titles, the work’s editors have
also to deter future offenders, making this ‘the first named this work the Eklogadion or Ecloga aucta
legislative text explicitly to cite these two chief [3646, 49, 51 f.]; [44137].
purposes of punishment – retribution and deter- Based on their study of the text, legal histori-
rence – side by side’ [42100 (460)]. ans have concluded that this work represents a
201 4.3. legislation

genuine Ecloga retractata (‘revised Ekloge’), and fications [25452 ff.]; [44191ff.]: the Eisagoge (formerly
certainly not ‘the chance product of unplanned Epanagoge) and the Procheiros Nomos.
collecting work’; its authors furthermore possessed
the expertise to carry out a ‘purposeful revision’ C.2. The Eisagoge and Procheiros Nomos
of the Ekloge. Whether the work constitutes an Until 1986, the prevailing view was that both
official ‘second edition’ of the Ekloge or a private of these works were produced in the reign of Basil
venture remains unknown. Modern editors have I in connection with his two codificatory proj-
dated it approximately to the year 800 [3649–52]. ects of 60 and 40 books respectively (see below,
Closer examination of Title 17 on penal law C.3.). It was thought that the Procheiros Nomos
shows that the Eklogadion was written by an expe- (‘Handbook of Laws’) was the earlier work, dating
rienced jurist and an expert in Justinianic law, and from 879, and that the Epanagoge (‘Return to the
that it was probably a legal draft intended not Point’) was written later, as an alternative draft
entirely to eliminate the provisions of the Ekloge, that was not promulgated by the emperor, but was
but rather to revise them to bring them closer in nonetheless used in legal practice [25452–455, 457];
line with Justinianic law. The new dating is sug- [4678–81]; [44191]; [4240–242].
gested as between 802 and 811, i.e. during the The publication of findings by Schminck [28],
reign of Nikephoros I, in the light not only of his however, initiated scholarly debate on a new basis
reformist ambitions, but also of the fact that his that continues to this day. There is no longer any
death in battle would have prevented the promul- dispute that the actual title of the work is Eisagoge
gation of the completed draft [41120–122]; [44137–139]. (‘Introduction’). According to Schmninck, it was
An earlier study [13311, note 11 f., 320] dated the Ekloga- composed in the reign of Basil I with the participa-
dion between 829 and 870, possibly in the reign tion of Patriarch Photios and promulgated as law
of Michael III (842–867). Michael also died unex- in 885/86. The Eisagoge served as an introduction
pectedly, murdered by his successor Basil I. It was to a (lost) legal codification conceived in 40 books.
in Basil’s reign that the definitive return to Justini- The Procheiros Nomos was supposedly published
anic law began, in the process known as the ‘puri- in 907, in the reign of Leo VI, to supersede the Eis-
fication of the old laws’. agoge after the compilation his own codification
in 60 books (see below, C.3.). The promulgation
C. Law books and codifications at of the Procheiros Nomos was presumably related
the time of the Anakatharsis to an attempt on Leo’s part to reconcile with the
Church after the scandal over his Tetragamy, given
C.1. The ‘purification of the old laws’ that the law book contains a provision forbidding
C.2. The Eisagoge and Procheiros Nomos fourth marriages. Yet Leo also sought to limit eccle-
C.3. The Basilika and scholia siastical influence over secular law in his revision
C.4. The Eparchikon biblion of the Eisagoge. One indication of this is the elimi-
nation of the chapters defining relations between
C.1. The ‘purification of the old the emperor and the patriarch (→ 4.2. Canon law
laws’ B.) [2812–15, 62–107, 132]; [27377–379]; [44191–201]; [4248–250].
The project known in legal history as the Ten years later, another scholar proposed an
‘purification of old laws’(anakátharsis tôn palaiôn earlier date for the Eisagoge, between March 880
nómon) is traditionally linked to the accession and the summer of 883 [3]. With respect to the
of the first emperor of the Macedonian Dynasty, Procheiros Nomos, this theory held to the existing
Basil I (867–886), and to the Macedonian Renais- view dating it between 870 and 879 and linking
sance, although this ‘classicist’ movement in art, its promulgation with the ‘purification of old laws’
philosophy and literature began rather earlier. In and the codification in 16 books from the reign
law, this classicizing tendency meant not so much of Basil (see below, C.3.; [357–81, 223, 225]; cf. [40693];
the augmentation or abolition of the provisions of [44192, 198, note 119 f.]; [4250–252]). A third opinion (from
the Ekloge (see above, B.4.; see below, E.), which 2007) dates the Procheiros Nomos between 870 and
had long been underway, but rather the revision 879 and the Eisagoge between 880 and 886, while
of Justinianic law, in particular the removal of the latter was never officially promulgated, and
all that was obsolete or detrimental to the legal the former was revised shortly after 912 ([34160–182,
order. The repeal of the Ekloge was thus not a 189–212, 240–246, 273 f.]; cf. [4252–254]).

core concern of the anakatharsis, which was far Both law books are divided into forty titles
broader in scope, but it was certainly related to it and are similar in content. The Procheiros Nomos,
[2662–77]; [44168–170]. Important evidence of the pro- however, is briefer than the Eisagoge, because it
cess is found in two law books, which may also lacks titles on public law [7906–908]. Furthermore,
be viewed as components of the concurrent codi- the provisions of the Procheiros Nomos, which has
4.3. legislation 202

an abundant transmission history, are closer to Unfortunately, no one manuscript contains

Justinianic law than those of the Eisagoge, which a complete text of the codification in any of its
survives in only six codices. stages of development. The Basilika as we know
it today comprises sixty books, divided into titles
C.3. The Basilika and scholia that are themselves divided into chapters. The
The ‘purification of old laws’ was complete with division of the books and titles is thematic, but
the publication of the Basilika (‘Royal [Books]’). the material in the titles is arranged according to
According to the prevailing view, two drafts were its provenance from the four parts of the Corpus
made in the reign of Basil I for codifying the entire Juris Civilis, on which the Basilika essentially relies
spectrum (platos) of Justinianic law in 60 and 40 (→ 4.1. Byzantine law C.). According to the prevail-
books respectively, and the Procheiros Nomos and ing view today, the Basilika was not initially pro-
Eisagoge were related to these (see above, C.2.). mulgated as law. It was not decided that it should
These drafts, however, were not published, but a represent the established law rather than the Jus-
teuchos (‘notebook’) was issued at this period list- tinianic codification until the reign of Manuel I
ing which provisions of Justinianic law had already Komnenos in the second half of the 12th century
been abolished. [44208–210].
A new codification in 60 books, the Basilika,
then appeared in the first years of the reign of Leo C.4. The Eparchikon biblion
VI (886–912) [25453–457]; [4681–86]; [3173–186]; [40692 f.]. According to the prevailing view in the spe-
Later, perhaps in the reign of Constantine VII, the cialist literature, a law book was published in 912,
so-called ‘old scholia’ were added to the text of the shortly before the death of Leo VI, under the influ-
Basilica. They were not true scholia, however, but ence of the urban prefect (éparchos tês póleōs) Phi-
rather fragments from the literature of the anteces- lotheos. This law book regulated the organization
sores and scholastikoi (see below, E.). Other scho- corporations of Constantinople that were subject
lia by contemporary jurists were also added in the to the supervision of this office and relations
11th and 12th centuries, known as the ‘new scholia’. between them (→ 4.5. Notaries and legal docu-
Where the author of scholia is not mentioned, it ments). The prologue to the Book of the Eparch
is difficult to distinguish the old scholia from the (epárchikon biblíon) states that the legislator’s goal
new [25463 f.]; [4690–92, 98–100]; [44227–230]; [20143–145]. was to establish a just economic system, which
According to another theory [28], only one would be achieved through regulations banning
(lost) codification, in 40 books, was made during rent increases and hoarding in times of scarcity,
the reign of Basil before the promulgation of the and further measures on the monitoring and safe-
Eisagoge. Later (probably in 888), Leo published guarding of balances, weights and measures and
the new codification in 60 books. This work also so on.
includes the prologue, which the most recent edi- The book also stipulated the scope of business,
tors of the Basilika declared spurious, but which the catalogue of goods, the location and demar-
a growing number of scholars now argue to be cation of respective trades, the conditions for
genuine [3187–202, 225]; [44209–210]. This theory also practicing an occupation and for admission to a
attributes the teuchos (containing the obsolete corporation. The material is divided into 22 titles,
constitutions) to Leo, identifying it as the corpus but these do not cover all corporative occupa-
of his novels (see below, D.) – although other tions, only the guilds of notaries (→ 4.5. Notaries
legal historians reject this view [3182 f.]; [43149 f. (614 f.)]; and legal documents), jewellers, bankers, various
[44201 f.]. Leo’s ‘sixty royal books’ were then sup- textile industries, the perfume trade, the build-
posedly revised in the mid-11th century under the ing trade and some of those working in alimenta-
direction of the nomophylax (director of the new tion. It therefore was formerly suspected that the
law school) John Xiphilinos. It was this second Book of the Eparch did not survive in its entirety.
version that henceforth bore the name ta Basi- However, its completeness, preserved as a text
lika. Troianos [44206–208] is also persuaded of the in two manuscripts, is no longer doubted [120–41];
existence of a second version of the sixty books of [44244–248].
Leo under the title of Basilika in the 11th century.
However, he dates it to the reign of Constan- D. Production of individual laws
tine VIII (1025–1028). The Roman emperors of the Dominate adopted
As for the scholia to the Basilika, Schminck the legislative forms used by their predecessors
[2824–54, 66]; [2979–81, 88–94] argues that Xiphilinos when issuing general laws and specific regulations.
ordered both the ‘old’ and ‘new’ scholia to be However, the various special types of constitu-
worked simultaneously into a commentary on the tion gradually disappeared, and virtually the only
Basilika (i.e. a commentary on the second version; form issued by Constantine and his successors
cf. [27377–380]). other than leges generales (‘general laws’) was the
203 4.3. legislation

rescriptum (‘rescript’, i.e. written reply). A rescript, (→ 4.1. Byzantine law C.), and the novels on eccle-
however, applied only to the case for which it siastical law – were written before the completion
was solicited, and only if it did not contradict of the codification in 888. Only the basic outline
the law as it stood. The Latin novella (constitutio) of the new regulations was decided, however, and
and the Greek neara (diataxis) – both meaning a they were not elaborated into full-fledged novels
‘new’ constitution – appeared in the 5th century until a later date. The emperor himself suppos-
to denote general laws [25373 f.]; [4615]; [449]; [18170, edly instigated the compilation, but the project
note 1]. Novels, therefore, were synonymous with mutated into a private collection and the texts
individual pieces of imperial legislation. Begin- lost some characteristics of their official origins.
ning in the 11th century, however, the Byzantine Signes Codoñer, however, rejects the idea that
emperors also began issuing legislative documents the Leonine novels were ‘ancillary legislation for
(e.g. chrysobulla, prostagmata, horismoi; cf. → 5.4. a codification’ [1131]; [3218–23, 32] and believes they
Chancellery and public documents D.), but our were promulgated between 887 and 893 (perhaps
knowledge of their exact function and relationship as late as 899).
to the leges generales is insufficient [8125 f.]; [31322 f.]. The emperor probably took a personal interest
Beyond question, the most prolific legislator in the redaction of his novels: his classical educa-
among the emperors was → Justinian (2.3.), who tion is palpable in the text. Some novels are not
promulgated a high number of laws between 529 normative in character but rather resemble trea-
and 534 and after the issue of the Codex repeti- tises on the purpose of existing provisions. Many
tae praelectionis (see above, B.2.1.). Around half others seek to reconcile contradictions between
of the 160 or so novels he published (mostly in ecclesiastical and secular law (→ 4.2. Canon law
Greek) after 534 concerned public law. Most of the B.). Some novels ‘legitimize’ or abolish existing
remainder concerned cases pertaining to private legal customs (→ 4.1. Byzantine law C.). Leo rarely
or ecclesiastical law. Justinian sought to regulate makes rulings on newly arisen problems [25450];
as many social controversies as possible, but nov- [44179 f.].
els that concern criminal law exclusively are rare. Leo’s successors, in contrast, did not actively
He may have planned but never carried out the participate in the redaction of their novels, which
publication of an official collection of his novellae were written instead by senior officials [31270 f.].
constitutiones. One distinct group among the pieces of legisla-
The Justinianic novels survive only in private tion issued under the Macedonian emperors con-
collections, the best-known being the Collection sists of the novels issued primarily by Romanos I,
of 168 Novels (→ 4.1. Byzantine law B.) [8111 f., 114–118]; Constantine VII, Nikephoros Phokas and Basil II,
[4488–94]. In addition to the novels of Justinian, concerning pre-emptive rights of purchase, on
this collection also includes seven by his immedi- protecting smallholders from the ‘powerful’ (dyna-
ate successors Justin II and Tiberius II. Imperial toi) and on soldiers’ estates [213–33, 37–39, 49–53, 61 f., 68–70,
novels of the 7th and 8th centuries are also pre- 82 f., 86 f., 90 f., 97–99, 102–106, 111–113]. The dynasty’s last piece

served, mostly dealing with the organization of the of legislation, issued (in 1047?) by Constantine
Church and marriage law. One common feature of IX, concerned the foundation of what would be
these laws is the powerful influence of ecclesiasti- a short-lived law school at Constantinople (→ 4.5.
cal law on secular legislation [8120 f.]; [44110 f.]. Notaries and legal documents) [7918–920]; [12271–278];
After Justinian, the most prolific legislator was [31319 f.]; [45]. The emperors of the ruling dynasties
Leo VI [30199–201, 205 f.]; [43150 (615), 152 (619)]; [3212 f.]; [44174, up to 1204, Macedonian and otherwise, also issued
note 16, 183–185]; [33309]. A collection of 113 of his novels several novels on the Church, family law, taxation
survives in five manuscripts, the oldest of which, and the courts [44185–191].
the 13th-century Marcianus Graecus, is a codex The Palaiologoi took an intense and reformist
unicus, from which the other four derive. Special- interest in the judicial officials following the recap-
ists disagree as to the nature of this collection. The ture of Constantinople in 1261. This attempted
idea that the novels it contains were promulgated reorganization began in the reign of Michael VIII
not individually, but together as a corpus, has long (1259–1282), but the only legislative texts to survive
been disputed [43143 f. (607–609)]; [44174–176]. Attempts concern the court of the ‘universal judges of the
to identify the novels of Leo as the teuchos of Romans’ (katholikoì kritaì tôn Rhōmaîon) founded
obsolete constitutions (see above, C.3.) have also by Andronikos III in 1329 (→ 4.4. Courts and jus-
received a lukewarm reception, but scholars who tice A.3.). Overall, most of the regulations intro-
reject this identification also consider Leo’s indi- duced by the Palaiologoi concerned public and
vidual laws to be dependent on his codification ecclesiastical law [44310–313]; the only significant
[3225]. amendment to private law is the so-called ‘Novel
According to Troianos [43143–147 (609–612)]; [44174, of Patriarch Athanasios’. The first and fourth chap-
176–181], most of the novels – i.e. those that influ- ters of this text, which was dictated by the patri-
enced the design of the Basilika as is survives today arch and probably promulgated by Andronikos II
4.3. legislation 204

in 1306, contain important reforms to the intestate Nomos Rhodion Nautikos, the Nomos Stratiotikos
succession of individuals who died without issue and the Nomos Mosaikos; the nature and exact
[22vol. 3, 256–258]; [2182–187]. In regard to the purview dates of these texts remain the subject of scholarly
of this novel, even recent monographs [22vol. 3, 256]; debate [27375–377]; [44128–137, 139 f.]; [1084].
[2185] unfortunately do no more than reiterate the Several legal books were also written during the
view of Zachariä von Lingenthal [47141–143] that boom in legal scholarship at the time of the ‘puri-
the first chapter concerns only the succession of fication of the old laws’ (see above, C.1.). Some of
dependent peasants (paroikoi), even though spe- these were directly based on existing works, while
cialist literature since 1979 has insisted that it also others were more ‘original’, including the Epitome
pertains to ‘independent’ peasants [241282–1284]. legum [44212–215]. ‘Derivative’ texts [25458–461] may
be divided into those based on the Ekloge, the
E. Legal studies Eisagoge, the Procheiros Nomos and the Epitome
In the present context, it is possible to discuss [44216–220]. Important works that are based on the
only the most outstanding examples of Byzantine Basilika also exist, but these are not readily defin-
legal scholarship among the many revisions of able as genuine ‘derivatives’ [25462]. They include
Byzantine legislation composed on private initia- the Synopsis Basilicorum maior (an alphabetical
tive. Writings based on the work of the anteces- collection of the most important passages of the
sors (antecessores) enjoy a prominent status in Basilika), the Tipoukeitos (a list of the contents of
this field. These 6th-century professors of law the Basilika that closely observes its sequence of
translated and commented on the Latin parts of books and titles) and the Ecloga Basilicorum libro-
the Justinianic codification in the context of their rum I–X (a selection from the first ten books of
lectures. Some also wrote summae of the Digest the Basilika with authentic scholia; → 4.4. Courts
(→ 4.1. Byzantine law B.). The antecessors did not and justice A.) [44223–226]. Another work close to
write textbooks, but their lectures survive through the Basilika tradition is the Ponema nomikon of
the notebooks kept by their students. Of these, Michael Attaleiates, which probably also served
only one complete work survives, a Greek ‘para- didactic purposes [44232 f.].
phrase’ of the Justinianic Institutes, which repro- Legal books continued to be produced under
duces the lectures of the antecessor Theophilus the Palaiologoi, based primarily on existing mate-
from 533/34 [4494 f.]; [20124–126]. rial; examples include the alphabetical Synopsis
The study of law gradually became less ‘sci- Minor and the Prochiron auctum [44313–316]; [2217–
entific’ after the law school at Beirut was closed 219]. It is generally assumed that jurisprudence at

(ca. 551), even before the death of Justinian in 565. this period was at a low level ([25474]; [44306–308];
Teaching by the antecessors ceased, and scholas- but recently contra [2224 f., 319 f.]). One book of law
tikoi (rhetors or attorneys) took over legal instruc- does date from this period that stands out not
tion. Their teaching was mostly based on the only for the richness of its sources, but also for
Novels. In regard to the other parts of the Corpus its systematic approach: the Hexabiblos (1345) of
Juris Civilis, they effectively contented themselves Constantine Harmenopoulos, so named because it
with summae and other texts of the antecesso- in six books [44316–321]; [2219–221]. This legal book sur-
rial tradition. Surviving works by the scholastikoi vived the Byzantine Empire. Not only was it still
include fragments of an epitome of the Codex Jus- widely used in the Ottoman Empire, it also effec-
tinianus by Theodore of Hermoupolis, his excerpts tively served as the first civil law book of Modern
from the Novels of Justinian, and the highly Greece [44321]. It is now established beyond all
important edition of the Novels by Athanasios of doubt that the Hexabiblos was already being used
Emesa [14159, 178 f.]; [27369–372]; [44107 f., 112–116]; [20133–135]; in court in the Byzantine period (see above, A.)
[38235–237]. [25475]; [23106 f.].
As noted above (→ 4.1. Byzantine law C.; see
above, B.3.), the publication of the Isaurian Ekloge Bibliography
did not mean the repeal of Justinianic law. The
new law book was designed to be in force along- Sources
[1] Das Eparchenbuch Leons des Weisen (CFHB 33,
side the old texts, which could fill in its gaps as
Series Vindobonensis), edited by J. Koder, 1991.
required. With this purpose in mind, a text began
to be gradually composed in the 8th century at the Secondary literature
initiative of several individuals, working mostly on [2] L. Bénou, Pour une nouvelle histoire du droit
the basis of Greek revisions of the Corpus Juris Civi- byzantin. Théorie et pratique juridiques au XIVe siè-
lis, to accompany the Ekloge. This work became cle, 2011 [3] T. E. van Bochove, To Date and not to
known as the Appendix Eclogae [44127 f.]; [1088]. Date. On the Date and Status of Byzantine Law Books,
Other texts frequently accompanied the Ekloge 1996 [4] T. E. van Bochove, Some Byzantine Law
in its manuscript editions, among them four col- Books. Introducing the Continuous Debate Concern-
lections of older laws, the Nomos Georgikos, the ing their Status and their Date, in: J. H. A. Lokin /
205 4.3. legislation

B. H. Stolte (eds.), Introduzione al diritto bizan- Rechtsgeschichte, Athener Reihe 6, 11, 18), 1992–
tino. Da Giustiniano a Basilici, 2011, 239–266 [5] L. 2010 [23] E. S. Papagianni, Die Hexabiblos im
Burgmann, Ecloga. Das Gesetzbuch Leons III. und Patriarchatsregister. Oder: Die Verdienste eines alten
Konstantinos’ V. (Forschungen zur byzantinischen Aufsatzes von Peter E. Pieler, in: N. Benke / F.-S.
Rechtsgeschichte 10), 1983 [6] L. Burgmann, Meissel (eds.), Antike – Recht – Geschichte (Wie-
Reformation oder Restauration? Zum Ehegüterrecht ner Studien zu Geschichte, Recht und Gesellschaft 4),
der Ecloga, in: D. Simon (ed.), Eherecht und Fami- 2009, 105–111 [24] E. S. Papagianni, Η συμμετοχή
liengut in Antike und Mittelalter (Schriften des his- του δημοσίου στίς κληρονομίες κατά τήν ύστερη βυζαντινή
torischen Kollegs. Kolloquien 22), 1992, 29–42 [7] περίοδο. Παρατηρήσεις σχετικά με το ‘αβιωτίκιον’, in:
L. Burgmann, Zur Organisation der Rechtsprec- V. A. Leontaritou et al. (eds.), ΑΝΤΙΚΗΝΣΩΡ.
hung in Byzanz (mittelbyzantinische Epoche), in: La Festschrift S. N. Troianos, 2013, 1275–1308 [25] P. E.
giustizia nell’alto medioevo (Settimane di Studio del Pieler, Byzantinische Rechtsliteratur, in: H. Hun-
Centro Italiano di studi sull’alto medioevo 44), 1997, ger (ed.), Die hochsprachliche profane Literatur der
905–930 [8] L. Burgmann, Die Gesetze der byz- Byzantiner, vol. 2 (HdA 12,5,2), 1978, 343–480 [26]
antinischen Kaiser, in: FM 11, 2005, 77–132 [9] L. P. E. Pieler, Ἀνακάθαρσις τῶν παλαιῶν νόμων und
Burgmann, Premessa per uno studio sulla produzi- makedonische Renaissance, in: Subseciva Groningana
one didattica degli antecessores, in: J. H. A. Lokin / 3, 1989, 61–77 [27] P. E. Pieler, Zur Hermeneutik
B. H. Stolte (eds.), Introduzione al diritto bizan- der byzantinischen Rechtstexte, in: M. Avenarius
tino. Da Giustiniano a Basilici, 2011, 147–157 [10] (ed.), Hermeneutik der Quellentexte des Römischen
L. Burgmann, The Production of Law Books in Rechts (Rheinische Schriften zur Rechtsgeschichte 7),
Byzantium, in: J. H. A. Lokin / B. H. Stolte (eds.), 2008, 355–380 [28] A. Schminck, Studien zu mit-
Introduzione al diritto bizantino. Da Giustiniano a telbyzantinischen Rechtsbüchern (Forschungen zur
Basilici, 2011, 79–96 [11] M.-T. Fögen, Legislation byzantinischen Rechtsgeschichte 13), 1986 [29] A.
und Kodifikation des Kaisers Leon VI., in: Subseciva Schminck, ‘Frömmigkeit ziere das Werk’. Zur Dat-
Groningana 3, 1989, 23–35 [12] A. Gkoutzioukos- ierung der 60 Bücher Leons VI., in: Subseciva Gron-
tas, Η απονομή δικαιοσύνης στο Βυζάντιο (9ος–12ος ingana 4, 1990, 79–114 [30] A. Schminck, ‘Novellae
αιώνες). Τα κοσμικά δικαιοδοτικά όργανα και δικαστήρια extravagantes’ Leons VI., in: Subseciva Groningana
της πρωτεύουσας (Βυζαντινά Κείμενα και Μελέται 37), 4, 1990, 195–209 [31] A. Schminck, Zur Einzelge-
2004 [13] F. Goria, Sulla data e l’origine dell’Ecloga setzgebung der ‘makedonischen Kaiser’, in: FM 11,
privata aucta, in: Studi Parmensi 20, 1977, 305– 2005, 269–323 [32] J. Signes Codoñer, The Cor-
323 [14] F. Goria, Il giurista nell’impero romano pus of Leo’s Novels, Some Suggestions Concerning
d’Oriente (da Giustiniano agli inizi del secolo XI), their Date and Promulgation, in: Subseciva Gronin-
in: FM 11, 2005, 147–211 [15] F. Goria, Aspetti del gana 8, 2009, 1–33 [33] J. Signes Codoñer, Las
diritto private. L’Ecloga di Leone III in tema di familia Novellas de León VI el Sabio, in: J. H. A. Lokin /
e contratti, in: J. H. A. Lokin / B. H. Stolte (eds.), B. H. Stolte (eds.), Introduzione al diritto bizan-
Introduzione al diritto bizantino. Da Giustiniano a tino. Da Giustiniano a Basilici, 2011, 267–321 [34]
Basilici, 2011, 557–600 [16] P. Jailette, Le Code J. Signes Codoñer / F. J. Andrés Santos, La
Théodosien. De sa promulgation à son entreprise introducción al derecho (Eisagoge) del Patriarca
de traduction française. Quelques observations, in: Focio (Nueva Roma 28), 2007 [35] D. Simon, Die
S. Crogiez-Pétrequin / P. Jailette (eds.), Le Epochen der byzantinischen Rechtsgeschichte, in:
Code Théodosien. Diversité des approches et nou- Ius Commune 15, 1988, 73–106 [36] D. Simon / S.
velles perspectives (Collection de l’École française Troianos, Eklogadion und Ecloga privata aucta, in:
de Rome 472), 2009, 15–36 [17] W. Kaiser, Digest- FM 2, 1977, 45–85 [37] A. J. B. Sirks, The Theodo-
enentstehung und Digestenüberlieferung. Zu neueren sian Code. A Study (Studia Amstelodamensia. Stud-
Forschungen über die Bluhme’schen Massen und der ies in Ancient Law and Society 39), 2007 [38] F.
Neuausgabe des Codex Florentinus, in: Zeitschrift Sitzia, Theodorus e l’insegnamento degi σχολαστικοί
der Savigny-Stiftung für Rechtsgeschichte, Römische nella storia del diritto bizantino, in: J. H. A. Lokin /
Abteilung 108, 1991, 330–350 [18] W. Kaiser, Sch- B. H. Stolte (eds.), Introduzione al diritto bizan-
reiber und Korrektoren des Codex Florentinus, in: tino. Da Giustiniano a Basilici, 2011, 189–237 [39]
Zeitschrift der Savigny-Stiftung für Rechtsgeschichte, B. Stolte, Balancing Byzantine Law, in: FM 11, 2005,
Römische Abteilung 118, 2001, 133–219 [19] W. Kai- 57–75 [40] B. Stolte, Justice. Legal Literature, in:
ser, Zur äusseren Gestalt der Novellen Justinians, in: E. Jeffreys et al. (eds.), The Oxford Handbook of
J. H. A. Lokin / B. H. Stolte (eds.), Introduzione Byzantine Studies, 2008, 691–698 [41] S. N. Troia-
al diritto bizantino. Da Giustiniano a Basilici, 2011, nos, Ο ‘Ποινάλιος’ του Εκλογαδίου. Συμβολή εις την
159–173 [20] J. H. A. Lokin / T. E. van Bochove, ιστορίαν της εξελίξεως του ποινικού δικαίου από το Cor-
Compilazione – educazione – purificazione. Dalla pus Iuris Civilis μέχρι των Βασιλικών (Forschungen
legislazione di Giustiniano ai Basilica cum scholiis, zur byzantinischen Rechtsgeschichte 6), 1980 [42]
in: J. H. A. Lokin / B. H. Stolte (eds.), Introduzi- S. N. Troianos, Bemerkungen zum Strafrecht der
one al diritto bizantino. Da Giustiniano a Basilici, 2011, Ecloga, in: N. Kremmydas et al. (eds.), Αφιέρωμα
99–146 [21] E. McGeer, The Land Legislation of the στον Νίκο Σβορώνο, vol. 1, 1986, 97–112 (reprinted
Macedonian Emperors (Medieval Sources in Transla- in: S. N. Troianos, Historia et ius, vol. 1, 2004, no. 17,
tion 38), 2000 [22] E. S. Papagianni, Η νομολογία 457–472) [43] S. N. Troianos, Die Novellen Leons
των εκκλησιαστικών δικαστηρίων της βυζαντινής και VI., in: S. N. Troianos (ed.), Analecta Atheniensia
μεταβυζαντινής περιόδου σε θέματα περιουσιακού ad ius byzantinum spectantia 1 (Forschungen zur
δικαίου, 3 vols. (Forschungen zur byzantinischen byzantinischen Rechtsgeschichte, Athener Reihe 10),
4.4. courts and justice 206

1997, 141–154 (reprinted in: S. N. Troianos, Historia et ‘delegate’ judges [2522–532] in his Novel 82, which
ius, vol. 2, 2004, no. 47, 605–619) [44] S. Troianos, abolished a (lost) law of Zeno on the subject. This
Die Quellen des byzantinischen Rechts, tr. D. Simon / novel mentions twelve judges in Constantinople
S. Neye, Berlin-Boston 2017 [45] S. N. Troianos, who conducted trials that magistrates were either
Η Νεαρά Κωνσταντίνου του Μονομάχου Ἐπὶ τῇ ἀναδείξει
καὶ προβολῇ τοῦ διδασκάλου τῶν νόμων, in: Βυζαντινά
unable or unwilling to take on personally. Eight
Σύμμεικτα 20, 2012, 243–263 [46] N. van der Wal of them were attorneys and the other four had
/ J. H. A. Lokin, Historiae iuris Graeco-Romani delin- legal experience from earlier work. This, then, is
eatio. Les sources du droit byzantin de 1300 à 1453, the first instance of the appointment of a group of
1985 [47] K. E. Zachariä von Lingenthal, actual ‘jurists’ who were judges by profession and
Geschichte des griechisch-römischen Rechts, 31892 had no administrative functions [9260–293, 297–309];
(reprint 1955). [612–25, 27–35, 307 f., 317 f.]; [10173–176]; [16424–439, 442–450].
Sadly, 7th and 8th-century sources do not give
Eleftheria S. Papagianni us a clear picture of the organization of post-
Justinianic courts. However, it is very likely that
4.4. Courts and justice basic elements of the system, such as the existence
of jurisdictional magistrates and delegate judges,
A. Secular courts remained essentially unchanged. Naturally,
B. Ecclesiastical courts administrative reforms also introduced changes
to the judicial system. The consistorium, for exam-
A. Secular courts ple, was abolished, but at least some of its com-
petences were taken over by the senate. After the
A.1. 4th–8th centuries
7th century, the office of praefectus praetorio in
A.2. Middle Byzantine period
the East no longer had any administrative or judi-
A.3. Late Byzantine period
cial powers associated with it. The highest judge in
A.4. Transmission of sources
the empire, according to the Ekloge (→ 4.3. Legisla-
A.1. 4th–8th centuries tion B.3.), was now the quaestor. It is also possible
The Byzantine Empire inherited from Rome a that the akroataoi and dikastai also mentioned in
legal system that was headed by the emperor in the Ekloge were delegate judges.
Late Antiquity. The emperor performed this func- In the provinces, which in the late 7th cen-
tion sometimes alone, and sometimes with the tury were gradually transformed into military
help of the state or imperial council (consistorium). political districts (themata), the general (strate-
There was no right of appeal against his rulings. A gos) became the supreme authority, including
case could be brought before the emperor either the administration of justice. However, not all
by appealing a court verdict (appellatio) or by peti- the magistrates who had exercised legal func-
tioning the emperor directly (supplicatio). Officials tions prior to the introduction of the themes were
could also turn to the emperor to obtain a verdict necessarily removed [9310, 314–330]; [637–50, 309, 318];
on a legal case (relatio-consultatio). The adminis- [16457–459].
tration of justice was associated with public office Extensive as the competences of the strategos
(magistracy). Among the many provincial and may initially have been, they were curtailed in the
urban magistrates who exercised legal functions, late 10th century. A new office was created, that of
the praefectus praetorio (eparchos ton praitorion) the praitor or krites of the thema. This magistrate,
of the East, the quaestor sacri palatii (koiaistor tou appointed for a limited term by the emperor, had
hierou palatiou) and the praefectus urbi (eparchos political and judicial functions, which he some-
tes poleos) of Constantinople held senior positions times exercised in collaboration with authorities
(→ 5.2. Government G.). The emperor appointed at Constantinople. The themata had delegate
these magistrates and delegated jurisdiction to judges (chamaidikastai), whom the krites could
them. commission to take on cases. It also sometimes
Under such circumstances, it was not strictly happened that the emperor, in his capacity as
necessary for these officials to be trained in law, supreme judge, appointed a judge from Constan-
especially since their assistants (assessores/adses- tinople to reach a verdict on a legal case in the
sores, consiliarii; Greek paredroi, symponoi, syn- provinces, or else commissioned a representative
edroi or symbouloi) were. They were not, however, to ‘observe’ the work of a themakrites. For the
judges, i.e. they were not responsible for reaching remainder of Byzantine history, however, it seems
verdicts. The lowest-ranking judges were the iudi- that the composition of provincial courts tended
ces pedanei (chamaidikastai), who were not public to be variable. The entire provincial court system
servants, but had knowledge of the law and could requires more detailed study [6287–294]; [774–79, 84];
be commissioned by magistrates with judicial [4300–305, 308–315]; [14415 f., 418–427].
authority to hear cases, including the pronounce-
ment of the verdict. Justinian dealt with such
207 4.4. courts and justice

A.2. Middle Byzantine period the supposition that ‘in the Hippodrome’ refers to
Of the many law books and legal texts of the the imperial court [23357, note 1252, 359–361]. The term
Middle Byzantine period, the Eisagoge (→ 4.3. Leg- ‘imperial/emperor’s court’, which was based on a
islation C.2.), the Peira (see below) and the Ecloga misunderstanding, was later amended to ‘central
Basilicorum librorum I–X (→ 4.3. Legislation E.) are or supreme court of the empire’ [189]; [5920, note 53]
particularly instructive regarding the organization (the emperor’s court in the strict sense was not
of courts in the capital. In terms of specific legisla- a regular institution, but rather was constituted
tion, a novel of Manuel I Komnenos from 1166 also ad hoc by the presence of the emperor whenever
contains important information about improve- he wished to hear a legal case alone or together
ments to and the streamlining of the administra- with his appointees [6259–266]).
tion of justice (see below). There are essentially two theories here. One
The eleventh title of the Eisagoge discusses the proposes that there was a court ‘in the Hippo-
‘order of the courts’. The norms it contains refer drome’ and ‘of the velum’ in the mid-11th century,
to Justinianic law only to a limited extent. As over which the aforementioned drungary pre-
the first chapter of the title reveals, these norms sided, and potentially further judges named in the
mainly reflect the ideas and ambitions of Patri- same way. The second suggests that there were
arch Photios. A typical outcome of this is that the two courts located in the same place: in the roofed
Eisagoge, seeking to define distinctions between Hippodrome at Constantinople. It is generally
courts, mentions not only those that were compe- assumed that the judges ‘of the velum’ outranked
tent for laws and canons respectively (i.e. secular the Hippodrome judges and that they owed their
and ecclesiastical courts), but also a third cat- name to the curtain (velum) behind which they
egory, which, officially at least, did not exist in the sat. On these theories, and for the relevant bibli-
9th century (see below, B.1.): courts competent in ographies and sources, see Gkoutzioukostas [6],
both. Title 11 (among others) discusses persons who refers to the Ecloga Basilicorum that appeared
involved in trials, the appellate system, the clergy’s around 100 years after the Peira, and that states
privilege of venue (privilegium fori; see below, B.1.) that these judges did not have independent juris-
and aspects of giving testimony. With respect to diction (see below).
the judicial magistrates of Constantinople, Title 11 Gkoutzioukostas agrees that the Hippodrome
(as well as Titles 4 and 5) of the Eisagoge describes kritai heard cases in the roofed Hippodrome,
the functions of the urban prefect, who now had which they had been delegated to do, but he
precedence, and the quaestor [5906–911]; [6103–110]. shares the view previously (albeit not particularly
What is known as the Peira, that is, ‘a trea- clearly) proposed that the Hippodrome court was
tise from the papers of the great lord Eustathios not a court of law presided over by the ‘Drungary
Rhomaios’, is a collection of excerpted verdicts of the Watch’, but merely a court building in which
and legal opinions of the 11th century (1040–1050; a range of courts could sit. As for the judges ‘of the
[5915]: 1040). It is contained in the Codex Lauren- velum’, he considers it possible but not certain that
tianus Plut. 80.6, a poorly preserved 15th-century they also sat in the Hippodrome and were merely
codex unicus. Eustathios was a prominent jurist, delegate judges [6119–181, 310–313, 319–321].
judge and judicial magistrate of the era, and the The commentary on the Ecloga Basilicorum,
work was in all probability composed by a judge apparently written by a judge, of 1142 gives plenti-
(and his otherwise unknown pupil) as an aid for ful information on the administration of justice in
his colleagues. The main interest of the Peira, Byzantium after the 11th century. It distinguishes
which for the most part contains evidence of the two categories of judges: court presidents (‘great’
work of Eustathios (less of other judges), lies in judges, or judges ‘proper’) and assessors (‘lesser’
the argumentational technique of the Byzantine judges). Court presidents include the (megas)
judges (see below). Although it is not particularly droungarios, the eparchos, the dikaiodotes [6226–
revealing about the administration of justice in 230], the epi ton kriseon [6202–207], the protasekretes/

general [5915–918]; [6124 f.]; [21240–244], it nonetheless protoasekretes [6186, 224 f.] and the koiaistor (Latin
gives some information about the jurisdiction of quaestor; the titles are listed in order of the fre-
the urban prefect, the quaestor [6185 f.], the ‘Drun- quency with which appear [5]). The drungary was
gary of the Watch’ (droungarios tes bigles) [6130–138, probably the senior judge. The ‘lesser’ judges are
184 f., 313, 321] and other magistrates who either had described either as assessors or delegate judges,
specific judicial competencies or were able to par- and accordingly did not have independent juris-
ticipate in trials by virtue of their position [6183 f., diction. They are also occasionally called ‘Hippo-
186–201, 313, 321]. drome’ or ‘velum judges’ [5920–925]; [6152–154].
The kritai and dikastai (‘judges’) mentioned in The novel issued in 1166 by Manuel I to
the Peira were already identified as ‘judges of the improve and accelerate the administration of jus-
velum and in the Hippodrome’ (kritai tou belou kai tice mentions only four courts of law: that of the
epi tou hippodromou) in the 19th century, based on Grand Drungary, that of the protasekretes, that of
4.4. courts and justice 208

the dikaiodotes and that of the prokathemenos ton ence to a praktorikon dikasterion, but according
demosiakon dikasterion (‘president of the public to Troianos [19314 f., 334–339], this was not a court in
courts’), which the Ecloga Basilicorum does not the strict sense, but rather an authority with fiscal
mention [6238–245]. This does not, however, mean responsibilities.
that the structure of the judiciary had changed. In 1261, the emperor of Nicaea, Michael VIII
The two oldest judicial magistrates, the urban pre- Palaiologos, recaptured Constantinople and sought
fect and the quaestor – references to which in the to reorganize the partially reunified empire. This
Ecloga Basilicorum or often ‘coloured by anachro- included founding a new imperial court (basilikon
nism’ [5923, 928] – still had judicial functions, but sekreton), which survived until the end of the Byz-
these may no longer have been their main com- antine Empire [4169–171, 292–297]; [8399–415]. The pro-
petencies. Their courts, moreover, may have been toasekretes was probably a member of this court,
organized differently from the four mentioned in but it is very unlikely that the court of the pro-
the novel. toasekretes mentioned in the Ecloga Basilicorum
The president of the public courts and the (1142) and the novel of Manuel I (1166) survived
katholikos mentioned in the Ecloga Basilicorum after 1204 [8408–412]. In any case, Michael’s efforts
as the ‘superintendent and commissioner of fiscal did not produce any obvious improvement in the
affairs’ may have been one and the same. Accord- administration of justice. Andronikos II intro-
ing to the commentator, he was not responsible duced a twelve-member court of law in 1296, but it
for cases between private individuals. He thus can only have been short-lived [6301 f.]; [4171, 297–299].
probably held specific and limited jurisdiction in Andronikos III tackled the reorganization of
public and fiscal law. The emperor’s concern for the judicial system again in the early 14th century.
the proper functioning of justice also manifested By three orders (prostagmata) of 1329 and 1334, he
itself in the allocation of assessors and advocates founded the institution of the ‘universal judges of
to the four courts, for which only the Grand Drun- the Romans’ (katholikoi kritai ton Rhomaion): four
gary, protasekretes and dikaiodotes were (jointly) senior judges, one of whom had to be a bishop.
responsible. This still offers nothing to suggest that An instruction issued to these judges in 1398 by
the presidents played marginal roles in these Byz- → Manuel II Palaiologos (2.6.) describes their
antine judicial institutions [5927–929]; [6231–237]. duties. This court, which covered both Constanti-
nople and the provinces, and which continued to
A.3. Late Byzantine period operate until the fall of the empire, is sometimes
The Sack of Constantinople by the ‘Latins’ difficult to distinguish from the imperial sekreton.
(Fourth Crusade, 1204) led to the partitioning of Local ‘catholic judges’ (without the adjunct ‘of the
the Byzantine Empire into several ‘states’. Three Romans’ in the title) were also appointed in some
of these were in ‘Byzantine’ hands and had impe- provinces in the 14th century [6302–306]; [21311 f.];
rial ambitions. Of these, the ‘Trapezuntine Empire’ [4172 f., 299 f.]; [8412 f.].
centred at Trebizond on the Black Sea went its
own way until it was conquered by the Ottomans A.4. Transmission of sources
in 1461; the other two, the ‘Empire of Nicaea’ in Surviving sources concerning the administra-
Asia Minor and the ‘Despotate of Epirus’ in the tion of justice in the secular Byzantine courts date
Balkans, fought to inherit the throne of Constanti- back only to the 9th century. Most survive in mon-
nople as the successor to ‘Roman’ rule. astery archives, especially on Mount Athos. These
Only a few pieces of information on the orga- documents also give information about the activi-
nization of justice in the Despotate survive, stem- ties of various courts. Although they are quite
ming from the archive of the archbishop of Ohrid, plentiful, they do not permit us to draw firm con-
Demetrios Chomatenos (see below, B.2.; cf. the clusions about the exact functions of the various
relevant analysis in [19]). According to these, institutions they mention, because they are often
the old system still functioned in Epirus, whereby far apart in time. It is therefore only the collec-
the emperor possessed not only the power to leg- tion of the Peira that gives us a clearer picture of
islate, but also the power to administer justice. Byzantine justice in the 11th century, at least for
Anyone could approach the sovereign and obtain Constantinople. Regardless of whether there was
a judgement on a petition. According to Chomate- a single court ‘in the Hippodrome’ or whether sev-
nos, there was also an ‘imperial court’, although eral courts were sitting in the Hippodrome build-
this designation merely reflects the ambitions of ing, the Peira provides important information.
the Epirote rulers. The doux, the governor of an Unfortunately, it tends to concern the working
administrative district, also had judicial com- methods of the Byzantine judges rather than the
petence, hearing cases either alone as a judicial administration of justice in general.
magistrate or as delegated by the emperor. There The importance of the Peira in this regard
were also other, possibly local courts, of which was first established in an essay on the Byzantine
nothing further is known, and there is one refer- judges’ methods of determining the applicable
209 4.4. courts and justice

law (Rechtsfindung; the ‘finding’ of the law) [18]. extended its competence, for historical and social
According to this, judges viewed their work pri- reasons, to almost every sphere of private law (see
marily as political, because their jurisdiction was below) [11vol. 1, 1 f.]. In doing so, ecclesiastical courts
delegated by the emperor and the process of estab- tended to apply laws rather than canons.
lishing the grounds for a decision consisted pri- When Photios makes reference to such eccle-
marily of justifying it to the emperor. This meant siastical jurisdiction in the 9th-century Eisagoge
that they tended to rely on laws rather than argu- (see above, A.2.), it is possible that he was refer-
ments. The argumentative character of the laws, ring to an existing, unofficial administration of
however, meant that a law could also be refuted. justice that had its origins in the episcopalis audi-
In such cases, the judge would invoke oikonomia, entia. Over time, this may then have evolved into
i.e. the ‘purposeful settling a matter by deviating an organized jurisdiction in which ecclesiastical
from a rule that naturally suggested itself’ [1822]. judicial committees applied secular norms. The
Such deviation was achieved either by applying a Eisagoge may thus reflect a Byzantine reality in
different law or simply at the judge’s discretion. which secular courts applied secular law exclu-
Still, a law remained the strongest of all possible sively, while ecclesiastical courts applied canons
arguments, because it derived from the emperor, only when they were dealing with purely ecclesi-
who was ‘living law’. Only when no arguments in astical issues.
law were available, then, could the judge exercise As discussed above, audientia episcopalis is
discretion – in the hope that his argument would generally regarded as having been an arbitration
be accepted. For this reason, Byzantine judges procedure. The novels of Alexios I, however, call
used rhetorical techniques as ‘justificatory strate- this into question for the later period, because
gies’ [1813–15, 18, 20–22, 26, 29, 31 f.]. imperial legislation granted specific competences
to the ecclesiastical courts from the 11th century
B. Ecclesiastical courts on. Such competence was not exclusive, however:
the emperor was always the supreme author-
B.1. History ity in the Byzantine judiciary. The archive of the
B.2. Sources archbishop of Ohrid, Demetrios Chomatenos (see
below, B.2.), mentions marriage cases assigned to
B.1. History him by imperial delegation and passed on by him
In addition to secular law, Byzantium also had to the emperor for a final ruling [19317].
a functioning ecclesiastical jurisdiction that had Another difficulty concerned the enforce-
been in existence since the 1st/2nd centuries: the ment of the decisions by ecclesiastical courts,
episcopal hearings (audientia episcopalis). Accord- particularly in property disputes and any cases
ing to this form of litigation, Christians involved in they heard that lay outside their official compe-
a legal dispute with one another turned not to the tence. One very effective weapon at their disposal
Roman courts, but to their congregational authori- was the threat of excommunication, a dire threat
ties. This episcopal competence continued as a to Christians of this period. Patriarch Matthew I
form of arbitration even after the Christian Church (14th cent.) made abundant and successful use of
became the Imperial Church and the courts this instrument in his dispensation of justice (see
ceased to be ‘pagan’ [208–14]; [374 f.]. The Church’s below,  B.2.), even using it to annul verdicts of the
jurisdiction was binding on clerics, over whom the imperial court [12216–218, 222–224, 227]; [15254–260]. Cho-
ecclesiastical courts exercised sole jurisdiction by matenos, by contrast, seems to have shunned this
virtue of their privilegium fori [9293–296, 311–314]; [16439– spiritual weapon [19320 f.]. However, comparing two
452]. ‘Extraordinary’ ecclesiastical courts convened institutions of ecclesiastical jurisdiction, operat-
for specific cases represented a special category. ing two hundred years apart and under radically
Even ecumenical synods and councils could take different conditions, bears little fruit, not least
on this role [2022]. These courts dealt mainly with because ecclesiastical proceedings and the roles of
ecclesiastical offences (e.g. heresy). prelates and bishops varied widely in Byzantium
The following discussion is limited to the juris- [19323 f.]; [11vol. 1, 9–11].
diction of ‘ordinary’ ecclesiastical courts, in par- The bishop stood at the centre of ecclesiasti-
ticular their influence in the sphere of private law. cal life. In terms of jurisdiction, he sat in judg-
In the 11th century, → Alexios I Komnenos (2.5.) ment alone or, more often, together with the
promulgated three novels recognizing the author- other church dignitaries of the diocese. When
ity of the Church in cases of marriage law, dona- larger ecclesiastical administrative districts were
tions and bequests for piae causae (‘pious causes’, founded (metropolises and archdioceses, espe-
i.e. charitable foundations) and probably also cially after the 4th century), the metropolitan or
of the manumission of slaves or the claiming of archbishop presided with the local synod, i.e. the
slaves masquerading as free persons. The Church, bishops of the ecclesiastical province. The high-
however, did not limit itself to these areas, but est ecclesiastical court was that of the Patriarch
4.4. courts and justice 210

of Constantinople, with whom the patriarchal of a dowry, are typical examples of the acceptance
synod or endemousa synodos (→ 4.2. Canon law even of popular legal norms that ran counter to
A.) administered justice [2023–30]. Unfortunately, positive law [11vol. 3, 280 f.].
study of the surviving judgments does not reveal The 14th-century patriarchate register con-
the roles of the members of the various synods tained in the Codices Vindobonenses historici gr.
in reaching verdicts, or whether they took active 47 and 48 contains, among other things, a series of
parts in proceedings or merely passively observed. rulings by the patriarchal court of Constantinople,
unevenly distributed from the year 1315 to 1402.
B.2. Sources Around thirty verdicts are preserved from the
Unlike the verdicts of the secular courts, period between 1315 and 1330, then ten or so from
which (excepting the Peira) give no evidence for between 1330 and 1394. They then become more
the administration of justice at particular places numerous (60 for 1399/1400). One possible expla-
or periods (see above, A.), verdicts from the last nation for this difference is the founding of the
two centuries of the Byzantine Empire reflect the institution of the katholikoi kritai ton Rhomaion
administration of justice in ecclesiastical courts. in 1329 (see above, A.3.). The purpose of the new
These derive respectively from the prelates John court was to improve the administration of justice,
Apokaukos and Demetrios Chomatenos in the which had hitherto been badly affected by corrup-
Despotate of Epirus (13th cent.), and from the tion among judges. The number of cases reaching
jurisdiction of the patriarchal synod of Constanti- the patriarchal court therefore gradually declined.
nople (1315–1402). Over thirty verdicts survive from The proliferation of synodal verdicts after 1394
the juridical work of John Apokaukos, the Metro- was then probably linked to the turbulent politi-
politan of Naupactus, mostly concerning marriage cal situation, especially the Ottoman blockade of
law and especially the dissolution of marriage. In Constantinople (1394–1402), which led to a major
his rulings, Apokaukos proves to be a gifted judge, exodus of the population, and briefly even of the
proceeding with proportionality and leniency. He imperial court and state authorities.
cites legal norms only occasionally, suggesting that This meant that for a time, the patriarchal
he did not possess a large library [11vol. 3, 280, note 11]; synod was the only court operating in Constan-
[21343 f.]; [22193 f.]. tinople. At precisely this point, the Church then
The cardinal work of the Archbishop of Ohrid expanded its jurisdiction, and the Constantinople
is a collection of around 150 records entitled pone- synod sat in judgment on practically all cases of
mata diaphora (‘Various works’), most of which are private law. Another possible influence over and
verdicts or legal opinions [146*, 62*–268*]; [21418–420]; above the political situation was the personality
[22194 f.] – distinguishing between the two is not and judicial methods of the patriarch at the time,
always straightforward. One fairly safe criterion Matthew I (1397–1410), who was responsible for 60
is the presence of both parties, which Chomate- of the 100 or so legal rulings in the register [11vol. 1,
nos considered essential if a legal verdict was to 7 f.]; [21346–348]; [22196 f.]; [15253 f.].

be issued [19318 f.]. Unlike Apokaukos, Chomatenos The synodal jurisdiction that evolved under
made abundant use of citations from legislation Matthew sought, on the one hand, to support the
(esp. the Basilika, but also post-Justinianic novels), powerless and those in need of protection [12215 f.,
the Synopsis Basilicorum Maior, the scholia to the 225 f.]; on the other, it manifested itself as an estab-

Basilika, and various other legal sources. Study of lished system in the principles and procedures
his verdicts and opinions shows that he adhered of its concrete judicial practice. Evidence of sev-
to Justinianic law, not only because he most fre- eral measures in this regard are of great interest:
quently used the Basilika (→ 4.1. Byzantine law efforts to protect debtors, the non-recognition of
C.), but also because he argued on the basis of claims for interest payments, a fixed procedure
anachronistic legal institutions. It is striking that for evaluating immovable property, protection of
(presumably) secular courts of Epirus sometimes the dowries of married women, and changes in the
threw out opinions by Chomatenos because the law of guardianship [11vol. 3, 283]. In all these areas,
judges were of the opinion that he was relying on what were effectively new regulations were intro-
obsolete and superseded law. duced alongside the provisions of statute, with
Chomanetos’ archive, however, was not wholly the result that ecclesiastical jurisdiction became
out of step with the legal practices of the day. The emancipated from legislation under Matthew to a
qualified acceptance of kinship as the basis for a particularly high degree. Study of the relevant ver-
right of first refusal, the indirect acceptance of the dicts reveals the patriarch’s struggle to serve the
view that 25-year-olds should be released from the justice of God and protect the weak of society – at
authority of their fathers and the theory that colla- a time when all the inhabitants of Constantinople
tion (obligation to ensure equal devolution among felt vulnerable. Probably for this reason, his court
co-heirs) was categorically inapplicable in the case
211 4.4. courts and justice

remained popular even after the return of the sec- di studi sull’alto medioevo 44), 1997, 905–930 [6]
ular authorities [12216]. A. Gkoutzioukostas, Η απονομή δικαιοσύνης στο
Matthew’s patriarchate, however, also achieved Βυζάντιο (9ος–12ος αιώνες). Τα κοσμικά δικαιοδοτικά
its aim, as far as it was possible and necessary, with όργανα και δικαστήρια της πρωτεύουσας (Βυζαντινά
Κείμενα και Μελέται 37), 2004 [7] A. Gkoutzi-
the help of legislative norms and the Hexabiblos oukostas, Judges of the Velum and Judges of the
(→ 4.3. Legislation A., E.), although it sometimes Hippodrome in Thessalonike (11th c.), in: Βυζαντινά
did so through tendentious interpretations [13110 f.]. Σύμμεικτα 20, 2010, 67–84 [8] A. Gkoutzioukos-
It is unfortunately not possible to know how patri- tas, Παρατηρήσεις για την απονομή δικαιοσύνης κατά
archs earlier in the 14th century approached leg- τους παλαιολόγειους χρόνους, in: V. A. Leontaritou
islation, because the verdicts in the register are et al. (eds.), ΑΝΤΙΚΗΝΣΩΡ. Festschrift S. N. Troianos,
unevenly distributed and do not give a clear pic- 2013, 396–417 [9] F. Goria, La giustizia nell’impero
ture. Archbishop Demetrios Chomatenos, appar- romano d’Oriente. Organizzazione giudiziaria, in:
ently a legal positivist, was primarily interested La giustizia nell’alto medioevo (Settimane di Studio
del Centro Italiano di studi sull’alto medioevo 42),
in achieving a result he considered just. To do so,
1995, 259–336 [10] F. Goria, Il giurista nell’impero
he had no compunction in citing any conceivable romano d’Oriente (da Giustiniano agli inizi del sec-
legal source if it was impossible to refer directly olo XI), in: FM 11, 2005, 147–211 [11] E. S. Papagi-
to an imperial constitution, regardless of whether anni, Η νομολογία των εκκλησιαστικών δικαστηρίων
the source was adequate to the subject at hand. της βυζαντινής και μεταβυζαντινής περιόδου σε θέματα
This attitude, which is particularly apparent in his περιουσιακού δικαίου, 3 vol. (Forschungen zur byzan-
legal opinions, is probably explained by an inten- tinischen Rechtsgeschichte, Athener Reihe 6, 11, 18),
tion to impress the recipients of his missives with 1992–2010 [12] E. S. Papagianni, Un témoin de
his knowledge of the law [11vol. 3, 280]. Even so, it is la réalité byzantine. La jurisprudence patriarcale au
difficult to believe that a prelate like Chomatenos XIVe siècle, in: FM 9, 2005, 213–227 [13] E. S. Papa-
gianni, Die Hexabiblos im Patriarchatsregister. Oder:
would be willing to write an opinion if he were Die Verdienste eines alten Aufsatzes von Peter E.
not persuaded of the fundamental legality of its Pieler, in: N. Benke / F.-S. Meissel (eds.), Antike –
application. Recht – Geschichte (Wiener Studien zu Geschichte,
As with the secular courts, verdicts of ecclesi- Recht und Gesellschaft 4), 2009, 105–111 [14] E. S.
astical courts are also held in monastery archives, Papagianni, Αγιορειτικές μαρτυρίες για τη δικαστική
e.g. at Thessalonica, Serres and in Asia Minor. εξουσία στο Θέμα Θεσσαλονίκης κατά τον Ι΄ αιώνα, in:
They are, however, comparatively few in number, N. K. Klamaris et al. (eds.), Gedächtnisschrift für
and they date back only to the 14th century. Rul- Stylianos N. Kousoulis, 2012, 415–427 [15] E. S. Papa-
ings of the administrative organs of the Mount gianni, Πατριαρχικό και αυτοκρατορικό δικαστήριο επί
Ματθαίου Α΄: Μια σχέση ανταγωνισμού, in: T. H. Anto-
Athos, in contrast, survive in far greater quantities
nopoulou et al. (eds.), Myriobiblos. Essays on Byzan-
and date back to the 10th century, but these do not tine Literatur and Culture (Byzantinisches Archiv 29),
represent ‘genuine’ judicial activity, because they 2015, 253–260 [16] S. Puliatti, L’organizzazione
concern internal matters (e.g. the demarcation della giustizia dal V al IX secolo, in: J. H. A. Lokin /
of monastic properties). Nevertheless, they are B. H. Stolte (eds.), Introduzione al diritto bizan-
very useful in the study of Byzantine property law tino. Da Giustiniano a Basilici, 2011, 381–465 [17] S.
[11vol. 1, 6]; [11vol. 3, 278]. Puliatti, Li riforme constituzionali dal tardo impero
Maps: Map 2, Map 4, Maps 7–10; BNP Suppl. 3, all’età bizantina, in: J. H. A. Lokin / B. H. Stolte
239, 249, 251 (eds.), Introduzione al diritto bizantino. Da Gius-
tiniano a Basilici, 2011, 3–69 [18] D. Simon, Rechts-
findung am byzantinischen Reichsgericht, 1973 [19]
Bibliography D. Simon, Byzantinische Provinzialjustiz, in: BZ 79,
1986, 310–343 [20] S. N. Troianos, Η εκκλησιαστική
Sources δικονομία μέχρι του θανάτου του Ιουστινιανού, 1964
[1] D. Chomatenos, Ponemata Diaphora (CFHB 38, (reprint 2004) [21] S. Troianos, Die Quellen
Series Berolinensis), edited by G. Prinzing, 2002. des byzantinischen Rechts, tr. D. Simon / S. Neye,
Berlin-Boston 2017 [22] S. N. Troianos, Byzan-
Secondary literature tine Law to 1100 – Byzantine Law from the Twelfth
[2] S. Barbati, Giudici delegati e giudici locali nel to the Fifteenth Centuries, in: W. Hartmann /
diritto giustinianeo, in: J. H. A. Lokin / B. H. Stolte K. Pennington (eds.), The History of Byzantine
(eds.), Introduzione al diritto bizantino. Da Giustini- and Eastern Canon Law to 1500, 2012, 115–214 [23]
ano a Basilici, 2011, 467–532 [3] H.-G. Beck, Kirche K. E. Zachariä von Lingenthal, Geschichte des
und theologische Literatur im byzantinischen Reich griechisch-römischen Rechts, 31892 (reprint 1955).
(HdA 12,2,1), 21977 [4] L. Bénou, Pour une nou-
velle histoire du droit byzantin. Théorie et pratique Eleftheria S. Papagianni
juridiques au XIVe siècle, 2011 [5] L. Burgmann,
Zur Organisation der Rechtsprechung in Byzanz (mit-
telbyzantinische Epoche), in: La giustizia nell’alto
medioevo (Settimane di Studio del Centro Italiano
4.5. notaries and legal documents 212

4.5. Notaries and legal documents knowledge of the Basilika (→ 4.3. Legislation C.3.).
The newly elected member was ceremonially pre-
Imperial constitutions of the latter half of the sented to the eparch (the urban prefect) by his col-
5th century contain information about notaries leagues, and the confirmation of his appointment
in the Eastern Roman Empire, referring to profes- was followed by festivities. The new appointee had
sional document writers (Latin, tabelliones, which to pay a fee of 32 gold coins to the members of
was also transcribed in Greek). The Greek terms the guild.
symbolaiographos and synallagmatographos were Like Justinianic law, the Book of the Eparch
also used to denote notaries. And there were still made notaries and not their assistants (grapheis,
other professional scribes in public or ecclesiasti- ‘scribes’) responsible for the completion (Latin:
cal service who prepared private documents, such completio; Greek: kompla) of documents. For
as notarii (Greek: notarioi) and tabularii (Greek: each document they completed, the taboullarioi
tabou(l)larioi). One specialist group was the nomi- received a fee ranging from one half to two gold
koi; they were not professional scribes, but were coins, depending on the value of the material.
versed in the law. Every notary had just one scribe, whom he had to
Some novels of Justinian attempted to improve present to the guild and pay out of his own sal-
the organization of the notarial profession. Novel ary. The corporation ran its own school to train
44 (537) distinguishes notaries proper (symbol- future notaries. Aspirants were instructed by spe-
aiographoi) from taboularioi (their scribes and cialists in general education and legal teachers. All
assistants). Notaries could leave the physical writ- were members of the guild and were appointed
ing of documents to their assistants, but for a doc- through election by the notaries and teachers with
ument to be valid, the parties’ solemn agreement the agreement of the urban prefect. They were
concerning its content had to be certified by the obliged to pay fees to the corporation on taking
notary (Latin: completio; Greek: teleiosis), and he office (Eparchikon biblion 1 [174–84]; [443–49]; [3194, note
had to be present at the moment of its presenta- 41, 209]; [5528 f.]).

tion (Latin: absolutio; Greek: apolysis). For reasons This school is not mentioned in the novel of
of security, notarial documents in Constantinople Constantine IX concerning the new law school of
had to be written on a special type of paper. Fur- Constantinople (→ 4.3. Legislation D.). The novel
ther precautions against forgery are prescribed in makes reference to a guild-like organization for
novels 47 (537) and 73 (538). A guild of notaries notaries and lawyers (on Byzantine lawyers cf.
operated in the Early Byzantine period [43–37]; [3176–182]; [6108, note 5]), but the wording suggests they
[3183–185]; [5524–528, 535 f.]. were privately trained. It is therefore very prob-
The few references to notaries in the Ekloge able that the notarial school no longer existed by
(→ 4.3. Legislation B.3.) are unclear, and are lim- 1047. According to the novel, notaries and lawyers
ited to nomikoi as the authors of testaments and were admitted to the relevant guild on the basis
taboularioi as responsible for preparing a proto- of a certificate from the nomophylax [449 f.]; [5531].
col for a sale of collateral. An 8th-century novel As far as their training was concerned, the novel
of Empress Irene makes the taboularioi or nomikoi required the ‘old laws’ to be revived in the future.
responsible for preparing dowry and lease agree- It has recently been suggested that this did not
ments [437 f.]; [3208]. Finally, in the 10th century, a mean reviving the provisions of the Book of the
law book appeared giving a very clear depiction of Eparch, but rather is a tacit reference to an old
the work of notaries in Constantinople: the Book of constitution of Leo I from the year 460 that is pre-
the Eparch from the reign of Leo VI (→ 4.3. Legis- served in the Codex Justinianus (Cod. Just. 2.7.11.;
lation C.4.), which calls notaries taboullarioi. This [7250 f., 257–260]). The authority of the urban prefect
term remained in general use until the fall of the over the notaries is, however, mentioned one last
empire [439 f.]. time in a novel of Alexios I Komnenos (1094) [450].
Like other professionals in the capital, the As is seen from Manuel II’s instructions to the
taboullarioi formed a corporation that was under katholikoi kritai ton Rhomaion (→ 4.4. Courts and
the supervision of the urban prefect, but it was justice A.3.) and a formula of the 14th century con-
also headed by its own president (primmikerios). cerning the appointment of an exarch (exarchos),
There were 24 notarial positions in Constantino- the function of the notarial profession at Constan-
ple in the 10th century. When one fell vacant, the tinople changed radically in the Late Byzantine
primmikerios and the other notaries appointed a period. Taboullarioi were now appointed by the
replacement, who had to be ‘dignified in attitude emperor and came under the control of the katho-
and unblemished in disposition …, and erudite likoi kritai. They were deployed in the city districts,
and conversant …’ (Eparchikon biblion 1.1. [175]). each answerable to an exarchos, whose powers
Besides his general education, the aspiring notary were wider than those of the earlier primmikerios
had to know the Procheiros Nomos (→ 4.3. Legis- of the guild. The notarial profession had thus lost
lation C.2.) by heart and demonstrate sufficient its independence as a corporation. Its subordina-
213 4.5. notaries and legal documents

tion to the emperor and the senior judges may be antine period and later, at the beginning. Illiterate
evidence of western influence [451–54]; [5531 f.]. parties signed with a cross and the notary added
Throughout the Byzantine era, the Church their name. Witnesses signed at the end [4101–107,
had its own notaries appointed by ecclesiasti- 110–122, 248–253]. Because notarial documents carried

cal authorities. Like their secular colleagues, the considerable probative force, the authorities made
notaries proper in the episcopal dioceses were great efforts to ensure their authenticity [4241–248];
called taboullarioi, and they too were headed by [5537 f.].
a primmikerios or prototaboullarios. Notarial func-
tions, however, were also carried out by secretar- Bibliography
ies (notarioi) and, especially in the provinces, by
nomikoi (see above). Most surviving documents of Sources
legal transactions, particularly from the last cen- [1] Das Eparchenbuch Leons des Weisen (CFHB 33,
turies of the Byzantine Empire, were prepared by Series Vindobonensis), ed. J. Koder, 1991.
ecclesiastical notaries, chiefly because of the grow-
ing influence of the Church in the empire [465–73]; Secondary literature
[5532 f.]. [2] L. Bénou, Pour une nouvelle histoire du droit
Documents of legal transactions from the Early byzantin. Théorie et pratique juridiques au XIVe
Byzantine period are preserved in papyrus col- siècle, 2011 [3] F. Goria, Il giurista nell’impero
lections, while most of those from after the 9th romano d’Oriente (da Giustiniano agli inizi del secolo
century are found in monastery archives. All are XI), in: FM 11, 2005, 147–211 [4] H. Saradi, Il sistema
important sources for the study of Byzantine legal notarile bizantino (VI–XV secolo) (Notai e documenti
greci dell’età di Giustinano al XIX secolo 1), 1999 [5]
practice, especially in property law [4124–197, 213–239];
H. Saradi(-Mendelovici), A History of the Greek
[2242–267]. Their wording and form betray com- Notarial System, in: M. Schmoeckel / W. Schubert
mon features, because they were generally based (eds.), Handbuch zur Geschichte des Notariats in
on existing formulae [489–93]; [6326]. The notary europäischen Traditionen (Rheinische Schriften zur
always had to sign documents in his own hand, Rechtsgeschichte 12), 2009, 523–557 [6] S. Troia-
but over the centuries, the processes of completio nos, Die Quellen des byzantinischen Rechts. Transl.
and absolutio were simplified compared to the Jus- D. Simon / S. Neye, Berlin-Boston 2017 [7] S. N.
tinianic prescriptions. Documents began by invok- Troianos, Η Νεαρά Κωνσταντίνου του Μονομάχου Ἐπὶ
ing Christ or the Holy Trinity, then gave the date. τῇ ἀναδείξει καὶ προβολῇ τοῦ διδασκάλου τῶν νόμων, in:
In papyrus documents, the names of the parties Βυζαντινά Σύμμεικτα 20, 2012, 243–263.
are given at the end; in those from the Middle Byz- Eleftheria S. Papagianni
5. State and government
5.1. Central civil institutions Officials generally did not make decisions
5.2. Basic features of government alone, but rather in consultation with advisory
(7th–15th centuries) committees whose composition varied. A large
5.3. State budget staff, usually of notarii divided into scrinia (‘depart-
5.4. The chancellery, public documents and the ments’), also supported all officials in their official
written culture of the administration residences or in the provinces, depending on their
particular responsibilities. John Lydus, describing
5.1. Central civil institutions his own day (6th century) as a period of cultural
and administrative decline, gives insight into the
A. Introduction world of officials in the department of the praeto-
B. The senate rian prefect that no doubt reflects the situation in
C. The imperial court other offices too.
D. Offices Like all empires, the Roman Empire had to
E. Territorial administrative structures overcome the tension between the centre and
F. The cursus publicus periphery. Conditions in this regard changed
G. Christianization radically in the late 4th century when Constan-
tinople established itself as the eastern capital.
A. Introduction The city served as a permanent headquarters for
A great many central civil institutions are the emperor and the heads of the great offices of
known from Late Antiquity, and the most impor- state that accompanied him there [21]. Officials
tant of them are described systematically here. It of various ranks, aristocrats with ties both to the
may seem that the system can be deduced from capital and outside and intensive communica-
the Notitia dignitatum (a disjointed survey of tions all helped mediate between the centre and
the Roman tradition that may have been edited the periphery, but could not prevent a tendency
around 425, but contains earlier and often con- towards regionalization.
tentious material) [19], but this can lead to mis- Officials were of varying backgrounds (on the
conceptions. At no time was any system of offices prosopography in the 4th century, cf. [1] and [25]).
intended as permanent devised and implemented. Senior functionaries generally moved in → elite
Although the era of Diocletian and Constantine (1.4.) circles. Junior positions, in contrast, could
was certainly a key phase in their development, be held by anyone whose parents were capable of
offices instead emerged gradually over long peri- financing their appropriate training. The favour of
ods and responsibilities constantly shifted. Much the emperor, however, could elevate even outsid-
depended on the ambition and clout of indi- ers to the highest positions. A classic example of
vidual officials. What did become reasonably this is John the Cappadocian in the 6th century,
settled during the reign of Valentinian, however, who duly attracted much animosity [9]. On the
was the hierarchy of titles that were bestowed on whole, the status of court offices continually rose –
officials. both their own and the social status of those
Most offices were occupied continuously, but who held them (seminal on this, and for details
there were sometimes interruptions, whether and evidence of the emergence and evolution of
intentionally or by force of circumstance. This offices, see: [241117–1124]).
high degree of fluidity made for a very adaptable
→ government (5.2.), but it also stoked rivalries. B. The senate
Rivalries between officials were sometimes useful The senate continued to embody the republi-
to those placed in the higher levels of the hier- can Roman tradition [13]. However, not all those
archy, up to and including the emperor, because who held the old senatorial title clarissimus were
they could play those involved off each other and actually members of the senate. As from the 5th
use them to check and balance one another. For century, this was only true of those styled illustres
this reason, there was no office comparable to (seminal [3]). The names of many offices were
that of a finance minister: a range of offices dealt continuations of republican titles. The praetorship
with matters of revenue and expenditure. Respon- and consulship in particular continued to play a
sibility for the military was also divided between significant role, chiefly because they offered scope
a number of officials, with whom the magistri for self-representation, both by organizing games
militum, the highest-ranking military officers, and by virtue of the fact that the consuls were
had to liaise in turn. Bureaucracy and efficiency still eponymous magistrates. Many members of
were thus at odds (for a good survey, see [14162–183]; the senate of Rome also held administrative posts,
[2]; [10]; rethinking all the material since the 6th primarily in Italy, but their social status was to a
century: [4]; on the functioning of the bureau- large degree determined by lineage, peer recogni-
cracy: [15]). tion and property.
215 5.1. central civil institutions

A second senate came into being at Constanti- representational function, e.g. receiving emissar-
nople, possibly based on the city council. Constan- ies, and an advisory function. Members of the con-
tius II (337–361) elevated its status and expanded sistorium usually included senior officials like the
it. By no means were the majority of its members quaestor sacri palatii, the magister officiorum and
outsiders in service to the emperor: many sena- the praetorian prefect, and others might be added
tors belonged to old, wealthy families in the region depending on the subject at hand or the emperor’s
[23]. The senate was not the central organ of the will. Debate surrounds the question of whether
state, but its assent, often expressed by acclama- imperial women were legitimately allowed to be
tion, certified acceptance of the emperor on the present. The deliberations of the consistorium
part of the elites, who also sought to exercise influ- could produce a statement of opinion, but it was
ence by other means, such as personal proximity. not a decision-making body. Decisions were the
emperor’s.
C. The imperial court
The Latin comitatus (literally ‘escort’), closest D.2. Praetorian prefecture (PPO)
in meaning to the English ‘court’ (from medieval Since the reign of → Constantine I (2.2.), the
Latin co(ho)rs, ‘courtyard’), differs from the latter praetorian prefecture was a civilian office, held by
insofar as it implies mobility (fundamental: [30]; viri illustres. There were always several praetorian
the criticism in [28] is not convincing). The impe- prefects, and their allocation to specific regions
rial → court (1.3.) was where the emperor was and appears to have become fixed under the Valentin-
was mobile as long as he was (revealing: Amm. ian Dynasty [22]; [6]; [16], although the boundar-
Marc. 31,12,10). There were various people who ies of those regions constantly changed. Oriens,
stood in direct contact with the emperor and thus Illyricum, Italia and Galliae were the most impor-
were members of the court. These people includ- tant of them, but sometimes prefectures were
ing relatives, personal servants and occasionally merged. The prefect of Oriens was usually based
Christian authorities (although there were no at Constantinople and his status was enhanced by
‘court clerics’ designated as such by rank). Mem- his easy access to the emperor.
bers of the court were generally called palatini. Competences also varied according to the laws
Another group defined by its proximity to the of the day and the assertiveness of particular pre-
emperor consisted of the various distinct units of fects. The judiciary and taxation (→ Public finances
palace guards. Under certain circumstances, such and taxation (1.5.)) were the prefect’s main areas
as the designation of the successor to Anastasius I of responsibility. The most important was the
(491–518), who had not named an heir, the special annona, the requisitions based on the land tax that
status of the palace guard in the city could trans- supplied the army and were usually paid in kind
late into considerable power in the hands of its (although at times cash payments were also per-
commanders. mitted under the adaeratio procedure). Officials’
Complex as the structure of the court was, and salaries were also drawn from these revenues.
despite the stability that came with the establish- There were also other levies, ordinary and extraor-
ment of Constantinople as the capital of the East- dinary, and the praetorian prefects also inspected
ern (and later Byzantine) Empire, no tightly knit state-owned weapon factories (fabricae). In civil
court structure that generated its own disciplinary law disputes, the praetorian prefects functioned
rules ever emerged, as at Versailles in the reign of in most cases as the last resort of appeal before
Louis XIV. the emperor, but the prefect was not the head of
the administration. Other court offices (discussed
D. Offices below) instead answered directly to the emperor.

D.1. Consistorium/Sacrum consistorium D.3. Praepositus sacri cubiculi (PSC)

D.2. Praetorian prefecture (PPO) The praepositus sacri cubiculi had a unique
D.3. Praepositus sacri cubiculi (PSC) position among courtiers [26]; [29], as the pro-
D.4. Magister officiorum (MO) vost of the imperial bedchamber. The office was
D.5. Quaestor sacri palatii (QSP) usually held by a eunuch honoured with the title
D.6. Comes sacrarum largitionum (CSL) vir illustris. He waited on the emperor (and/or
D.7. Comes rerum privatarum (CRP) empress) in person and was thus in personal con-
tact with the throne. He derived his power from
On offices, see figs. 1 and 2 appended to this this and from his ability to broker access, not from
section, and figs. 3–5 appended to → 5.2. Basic fea- any specific responsibilities attaching to his role.
tures of government. Like the power of women, eunuchs’ power was
often perceived as threatening (→ 1.3. The Byz-
D.1. Consistorium/Sacrum antine court E., F.). Other eunuchs served under
consistorium him, some as bodyguards, some in the organiza-
The composition of the emperor’s council, the tion of everyday court life (dress, meals etc.). The
consistorium, was not entirely fixed. It had both a praepositi also sometimes undertook other duties,
5.1. central civil institutions 216

for example in the management of imperial prop- and controlled the minting of coins. In 498, when
erty. Unlike other officials, they were appointed Anastasius I abolished the most important mon-
for life. etary tax, the chrysargyron (collatio lustralis), the
importance of the office must have significantly
D.4. Magister officiorum (MO) declined. Because the comes controlled the public
The magister officiorum, who was usually in weaving mills and dye works, he also contributed
office alone, headed the court administration at to supplying the army by providing clothing. Last
Constantinople [5]. The main responsibility of but not least, he was also responsible for soldiers’
his office was to reply in writing to petitions. He cash wages and special gifts to them from the
also managed who was allowed to make official emperor (donativa).
visits to the emperor and the consistorium, both
by delegations from within the empire (e.g. from D.7. Comes rerum privatarum (CRP)
cities) and by foreign embassies. He thus had a The comes rerum privatarum was another
major responsibility for the empire’s diplomatic financial office, sometimes augmented by a comes
exchanges. This also explains why he was often patrimonii. He was responsible for the financial
called upon to deal with ecclesiastical matters, management of the imperial domains, which were
e.g. chairing a Church council or negotiating with spread across many provinces, and he adminis-
bishops. tered their yields. He also explored ways of enlarg-
Also answerable to the magister officiorum were ing the imperial estates. This was done through
the agentes in rebus. It would be an oversimplifi- bequests, but could also be achieved through
cation to call these a secret service. For the most convictions for high treason. The expropriation of
part, they channelled information to the central pagan temples in the course of the empire’s Chris-
administration from across the empire, thus exer- tianization also considerably extended the sphere
cising a general function of observation, as part of responsibilities of the comes.
of which they also reported cases of abuse and
betrayal [15206 f.]. The magister officiorum also (like E. Territorial administrative
the praefectus praetorio per Orientem) headed part structures
of the palace guard, and he also acquired authority The boundaries between regional units solidi-
over the weaponsmiths (fabricae), probably shortly fied in the 4th century but remained changeable.
before 390. The more political life became concen- The hierarchy of administrative levels, however,
trated at Constantinople, the greater the power of proved stable, although it did not provide a basis
the magister officiorum tended to become. for a stable path of appeal. The highest territorial
unit was the praetorian prefecture. The next level
D.5. Quaestor sacri palatii (QSP) down was usually (but probably not inevitably)
Unlike the quaestorship dating back to the the dioceses, their number oscillating between
Republican period, the office of the quaestor sacri 12 and 14; they waned in importance in the 6th
palatii was not concerned with financial matters, century as a result of Justinian’s legislation. They
but with imperial pronouncements [12]. He was were headed by vicars (vicarii), so called because
responsible for the stylistic drafting of laws, but they represented the praetorian prefect [22]. In
it remains an open question as to what extent he some regions, they had special titles that were
was able to influence their content. It is possible sometimes associated with special powers, e.g. the
that some quaestores acquired an advisory role comes Orientis, who resided in Antioch, and the
by virtue of their function. He had no officium of praefectus Augustalis at Alexandria. The third level
his own, but was able to draw on personnel from was headed by provincial governors. The number
other offices. During the 5th century, it seems of provinces fluctuated, but there were over 100.
that he and the praetorian prefect increasingly Prestigious provinces, in particular Asia, Africa
gained responsibility for appellate procedures. and Achaea, stood out among them and were
The quaestor Tribonian had a guiding hand in the governed by proconsuls, who appear to have had
Justinianic codification (→ 4.3. Legislation B.2.), direct access to the emperor. Other distinctions of
which earned him great influence. Holders of this hierarchy gradually levelled out.
office, which required an outstanding education, Governors’ main duties were judicial, and as a
undoubtedly commanded great respect. result they were often called iudices (Latin: iudex,
‘judge’). Other responsibilities included organiz-
D.6. Comes sacrarum largitionum ing the collection of taxes, supervising the cur-
(CSL) sus publicus (→ 9.1. Land routes) and maintaining
The comes sacrarum largitionum was respon- public buildings. The population expected gover-
sible for the empire’s gold and (probably) silver nors to practise euergetism [27]. They also had
mines [7]. He also supervised the collection of a general responsibility for maintaining public
→ taxes (1.5.) that were payable in gold and silver, order, which often brought them into conflict
217 5.1. central civil institutions

with religious authorities. Governors, who usu- ning in the late 4th century, however, (at the time)
ally remained in office only for a year or so, often orthodox Christian faith became a criterion for
came off worse in such disputes, given that bish- admission to public functions, although this seems
ops in particular were able to build extensive local not to have been required uniformly throughout
networks. Governors also sometimes had military (on the laws and prosopographic data, see [24];
responsibilities. Criticism of their efficiency and for a summary: [241154–1157]). The work of John
fairness was ubiquitous, but was often stereotypi- Lydus does not give the impression that religious
cal, so that no far-reaching conclusions can be persuasion determined one’s identity. As bish-
drawn from it. The lowest administrative level ops’ authority increased, they took over more and
comprised municipal authorities, which differed more functions that had previously been exercised
widely in structure [18]. Structural dysfunction by governors. This sometimes came as a result of
in some cities triggered intervention by higher a contest, but often it was because the bishop
authorities (e.g. in the form of a defensor civitatis stepped in where the administration was failing.
or a vindex) or bishops. Justinian awarded the bishops a kind of supervi-
Rome and Constantinople were an administra- sory function over governors [20113 f.].
tive unit unto themselves, each under the authority Maps: Map 1, Map 7; BNP Suppl. 3, 225, 239
of a praefectus urbi (urban prefect/eparch) –
Rome since time immemorial, Constantinople Bibliography
since 359 – rather than a proconsul. The urban [1] PLRE [2] S. Barnish et al., Government and
prefect’s functions were mainly judicial, but he Administration, in: A. Cameron et al. (eds.), The
was also required to preserve public order. At Con- Cambridge Ancient History, vol. 14: Late Antiquity.
stantinople, → Justinian (2.3.; 527–565) created the Empire and Successors, a.d. 425–600, 2000, 164–
offices of the praetor plebis, whose main respon- 206 [3] C. Begass, Die Senatsaristokratie des oströ-
sibility was public order, and the quaesitor (sic), mischen Reiches, ca. 457–518. Prosopographische und
sozialgeschichtliche Untersuchungen, 2018 [4] W.
whose job was to monitor migration to the city
Brandes, Finanzverwaltung in Krisenzeiten. Unter-
from elsewhere and take action against behaviour suchungen zur byzantinischen Administration im
that could be interpreted as sacrilegious. 6.–9. Jahrhundert (Forschungen zur byzantinischen
Rechtsgeschichte 25), 2002 [5] M. Clauss, Der
F. The cursus publicus magister officiorum in der Spätantike (4.–6. Jahr-
The cursus publicus, which to a considerable hundert). Das Amt und sein Einfluß auf die kaiserli-
extent was under the authority of the magister che Politik (Vestigia 32), 1980 [6] A. Coşkun, Die
officiorum, was the public system of transporta- Praefecti praesent(al)es und die Regionalisierung
tion designed to facilitate intensive communica- der Praetorianerpraefecturen im vierten Jahrhun-
tions within the empire (→ 9.1. Land routes) [17]. dert, in: Mill 1, 2004, 279–328 [7] R. Delmaire,
Largesses sacrées et res privata. L’aerarium impérial
Goods, information and people were all trans- et son administration du IVe au VIe siècle (Collec-
ported. It was based on a highly sophisticated tion de l’École française de Rome 121), 1989 [8] A.
network of roads, supplemented by waterways Demandt, Die Spätantike. Römische Geschichte
(→ 9.2. Sea routes). Stations were set up at certain von Diocletian bis Justinian, 284–565 n. Chr. (HdA
points, for instance where horses or carts could be 3,6), 22007 [9] D. Feissel, Un rescrit de Justinien
changed, and a munus was imposed on cities to découvert à Didymes (1er avril 533), in: Chiron 34,
provide the necessary conditions for this. Gover- 2004, 285–365 [10] J. F. Haldon, Economy and
nors supervised the system. The emperor issued Administration. How Did the Empire Work?, in: M.
transport permits and documented these with cer- Maas (ed.), The Cambridge Companion to the Age
of Justinian, 2005, 28–59 [11] J. F. Haldon, Struc-
tificates. Usually they were issued only to senior
tures and Administration, in: E. Jeffrey et al. (eds.),
administrative and military officials, but bishops Oxford Handbook of Byzantine Studies, 2008, 539–
were also allowed to use the cursus under some 553 [12] J. Harries, The Roman Imperial Quaestor
circumstances. New regulations were thus always from Constantine to Theodosius II, in: JRS 78, 1988,
required. During the 4th century, two services were 148–172 [13] P. Heather, Senators and Senates, in:
introduced, one rapid, the other slower, mainly for A. Cameron / P. Garnsey (eds.), The Cambridge
heavy goods. Procopius (6th century) claims in a Ancient History, vol. 13: The Late Empire, ad 337–425,
polemical passage that the service was halted in 1998, 184–210 [14] C. Kelly, Emperors, Govern-
the reign of Justinian, but what he appears to be ment and Bureaucracy, in: A. Cameron / P. Garn-
describing is a reform (Procop. Arc. 30,1–11). sey (eds.), The Cambridge Ancient History, vol. 13:
The Late Empire, ad 337–425, 1998, 138–183 [15] C.
Kelly, Ruling the Later Roman Empire (Revealing
G. Christianization Antiquity 15), 2004 [16] G. Kelly, The Political Cri-
Originally, religious affiliation was of no con- sis of ad 375–376, in: Chiron 43, 2013, 357–409 [17]
sequence in the appointment of officials, with the A. Kolb, Transport und Nachrichtentransfer im
possible exception of the praepositi sacri cubiculi, Römischen Reich (Klio. Beihefte NF 2), 2001 [18]
making this to some extent a neutral space. Begin- J.-U. Krause / C. Witschel, Die Stadt in der
 magister officiorum quaestor sacri palatii comes sacrarum comes rei praefectus
largitionum privatae praetorio

officia with scriniarii,

numerarii and main
tribuni palace administration audiences palace palace treasury
of the senior officials officials
( primicerii notariorum) (magister admissionum) officials diocesan
scholae and their staff
(lampadarii, cursores, (notarii, refendarii) administration
cancellarii, etc.)
stratores admissionales civil service
estates of
agentes in rebus a secretis heads of palace
the d.d.
imperial (imperial offices
stables secretary) (scrinium memoriae
5.1. central civil institutions

scrinium epistularum provincial

scholae palatinae mensores scrinium diocesan governor
(guard units) (military billeting) scrinium libellorum
barbarorum officials
scrinium dispositionum) civil service
and
department
heads provincial
comes domesticorum inspectors comites diocesan officials
(subadiuvae)
(curiosi) commerciorum (rationales)
candidati arms factories (customs
(fabricae) officials)
heads of workshops, municipal
diocesan vicarii, mints, mines and
protectores domestici officials
provincial governors, diocesan treasuries
provincial military public post
commanders (cursus publicus)
Legend: provincial officials,
curators of imperial
direct authority estates and herds
personnel answerable to other departments
or superiors
indirect relationship

Fig. 1: The imperial and financial administration ca. 560 (diagram; taken from: [11547, fig. 1]).
218
 Military Palace 219
generals comes domesticorum comes excubitorum provost of the imperial bedchamber
(magistri militium) (answerable to the (praepositus sacri cubiculi)
magister officiorum) excubitores

castrensis
units stationed
around Constantinople
(praesentales) protectores et domestici primicerius cubiculi decuriones

silentiarii castrensiani
cubicularii

palace staff,
servants
units allocated to candidati spatharii
regional the comitatus (see fig. 1)
magistri militum

(units stationed in
the provinces) Estates of the domus
units stationed in
per Orientem divinae and their officials
the provinces
per Armeniam (see fig. 1 ‒ comes rei privatae)
per Thracias
per Illyricum
per Italiam border commanders under authority of the
per Africam and their units magister officiorum

Legend:
direct authority
personnel answerable to other departments or superiors
indirect relationship
5.1. central civil institutions

Fig. 2: The military and court administration ca. 560 (diagram; taken from: [11548, fig. 2]).
5.2. basic features of government (7th–15th centuries) 220

Spätantike – Niedergang oder Wandel? (Akten des accelerating change did not set in until the first
Internationalen Kolloquiums, München 2003) (Histo- half of the 7th century.
ria Einzelschriften 190), 2006 [19] M. Kulikowski,
The ‘Notitia Dignitatum’ as a Historical Source, in: B. Developments after ca. 600
Historia 49, 2000, 358–377 [20] H. Leppin, Das
4. Jahrhundert – Die christlichen Kaiser suchen ihren
When considering administrative history after
Ort, in: S. Rebenich (ed.), Monarchische Herrschaft 600 or so, it must always be borne in mind that
im Altertum, 2017, 485–507 [21] H. Leppin, Justin- even before the Islamic expansion, the Persian
ian. Das christliche Experiment, 2011 [22] J. Migl, Wars that broke out in 603 and lasted until 628/29
Die Ordnung der Ämter. Prätorianerpräfektur und [28] put massive pressure on the Byzantine civil
Vikariat in der Regionalverwaltung des Römischen administration. Syria and Palaestina, and even
Reiches von Konstantin bis zur Valentinianischen Egypt after 619 [3090 f.], came under Sassanid Per-
Dynastie (Europäische Hochschulschriften 3/623), sian occupation. Large territories were lost to the
1994 [23] M. Moser, Senatui pristinam auctori- Byzantine state for around 25 years, almost an
tatem reddidisti. The Roman Senatorial Aristocracy
entire generation. At a stroke, the organs of the
under Constantine and Constantius II (in Vorbe-
reitung) [24] K. L. Noethlichs, Hofbeamter, in: central government, which were concentrated at
RAC 15, 1991, 1111–1158 [25] S. Olszaniec, Proso- Constantinople (praetorian prefecture, comitiva
pographical Studies on the Court Elite in the Roman sacrarum largitionum etc.; → 5.1. Central civil insti-
Empire (4th Century AD), 2013 [26] H. Scholten, tutions) with offices answerable to them in the
Der oberste Hofeunuch. Die politische Effizienz eines various provinces of the empire, largely lost their
gesellschaftlich Diskriminierten, in: A. Winterling raison d’etre. Particularly badly affected was the
(ed.), Comitatus. Beiträge zur Erforschung des spätan- praetorian prefecture of Oriens, which included
tiken Kaiserhofes, 1998, 51–73 [27] D. Slootjes, the provinces that had provided the richest tax
The Governor and his Subjects in the Later Roman revenues in the empire (mainly Syria and Egypt).
Empire (Mnemosyne Suppl. 275), 2006 [28] R.
Smith, Measures of Difference. The Fourth-Century
Thousands of civil servants suddenly found them-
Transformation of the Roman Imperial Court, in: selves redundant [13115 f.]. The result was the abrupt
American Journal of Philology 132, 2011, 125–151 [29] and complete collapse of these central govern-
S. Tougher, The Eunuch in Byzantine History and mental institutions of the Later Roman Empire.
Society, 2008 [30] A. Winterling (ed.), Comita- Unfortunately, the state of the sources for the 7th–
tus. Beiträge zur Erforschung des spätantiken Kaiser- 9th centuries is desolate in the extreme, which
hofes, 1998. makes it impossible to describe in detail the com-
plex processes by which the various departments
Hartmut Leppin of the praetorian prefecture (of the East) acquired
independent lives of their own. What remained as
5.2. Basic features of government a result of these now obscure developments were
(7th–15th centuries) the logothesia (‘bureaux’) and other central gov-
ernment institutions.
A. 6th-century foundations The history of the provincial administrations
B. Developments after ca. 600 after 600 is also hazy. The old diocesan structures
C. The administration of themes, finance and vanished without a trace. Most province names,
the military however, continue to be referenced until the
D. The genikoi kommerkiarioi 8th century [13601–610]; [17690–692]. They would ulti-
E. State property and taxation mately disappear entirely as units of government
F. Changes in the 10th century: civil administration in the context of the gradual estab-
administration, court and justice lishment of the thematic system, i.e. the system of
G. Histories of individual offices new, combined military and civil administrative
units (see below, C.). The old provinces survived
A. 6th-century foundations only in the names of episcopal sees, as the basis
By the 9th century, the all-encompassing pro- for the structure of the ecclesiastical administra-
cesses of transformation that began affecting tion [3].
Byzantine society and the state in the 630s, at As observed above, many of the sometimes
the latest, produced administrative, economic, radical changes that affected the Byzantine
social and cultural conditions that differed in administration by the second half of the 7th cen-
almost every respect from those of the 6th cen- tury had roots in the century before. For example,
tury. Although many of these changes and evo- the creation of the Exarchates of Ravenna and
lutions had been in the air since the 6th century Carthage in the late 6th century anticipated the
(e.g. the various reforms associated with the name suspension of the traditionally strict separation
of the praetorian prefect John the Cappadocian) of the civil and military sectors that became the
[47422–427, 435–449, 463–470]; [1363–115], profound and norm in the new thematic structure after 800 or
so. The effective dissolution of the Roman pro-
221 5.2. basic features of government (7th–15th centuries)

vincial administration in the 7th and 8th centu- assets). Also answerable to the eidikon were the
ries, the disappearance of the Late Antique poleis state workshops, which mostly produced luxury
[12], the municipal government of which repre- goods. Texts from the 10th century also indicate
sented the lowest level of imperial administration, that the eidikon was involved in supplying the
and the gradual emergence of the thematic system army and in campaign → logistics (9.10.) [6116, 140,
all had profound consequences on the adminis- 286–311, 353–359]; [5chapter II.45]; [17667 f.].

trative structure of the Byzantine Empire. Mean-

while, the importance of the central institutions D. The genikoi kommerkiarioi
concentrated in Constantinople grew. Between the first half of the 7th century and
around 730, the genikoi kommerkiarioi were par-
C. The administration of themes, ticularly important. It is symptomatic of the pov-
finance and the military erty of written sources from and about this crucial
The protonotarioi of the themes (first attested period of Byzantine history that posterity knows of
late 8th cent.) took the place of the old provincial their existence and must deduce their significance
administrators. They were directly answerable to almost exclusively on the basis of their seals. The
the central government in the capital and thus, at seals of the genikoi kommerkiarioi stand out for
least theoretically, immune to the interventions of providing conspicuously more information than
the strategos of the theme, particularly in regard to the many thousands of surviving lead seals of Byz-
the financial administration. Each theme also had antine officials, churchmen and private individu-
its krites (‘judge’), responsible for thematic juris- als. Beginning around 668, they bear exact dates
diction, and its chartoularios, in charge of military (the year dated by ‘indiction’, i.e. the specific year
finance and answerable to the logothetes tou stra- within the fifteen-year taxation cycle); they were
tiotikou. These thematic officials and their exten- the only officials entitled to have the portrait of
sive clerical staffs had absorbed the last remnants the reigning emperor on their seals (modelled
of the Late Antique provincial administrations by on the images of the ruler on the coins of the
the 640s at the very latest, but the processes by day) and – also worthy of special note – these
which they did so, which varied greatly by date officials bore very high honorific titles (hypatos,
and region, are not known in detail. patrikios etc.).
The logothesion tou genikou is first attested in The genikoi kommerkiarioi were usually respon-
the late 7th century. This authority was respon- sible for one apotheke, occasionally several. This
sible for the most important aspects of the finan- term probably referred both to a building (store-
cial administration. It was the job of the officials house or similar) and to an institution. Such, at
working under the logothetes tou genikou to raise least, is the implication of the fact that these apo-
the land tax and various other duties (e.g. the thekai bore names referring to geographical and
kapnikon; → 5.3. State budget B.). These officials administrative units (generally, the ‘old’ names of
included the dioiketai, who by the 8th century provinces, later increasingly the names of the rele-
were in charge of the actual collection of taxes. vant themata; for a survey of surviving seals: [39427–
There seem to have been at least three different 533]; cf. also [13511–610]; [17682–695]). The sometimes

categories of dioiketai between the 7th and 10th divergent hypotheses seeking to interpret the role
centuries, distinguished by various titles of rank of these evidently high-ranking officials are based
and/or geographical or administrative spheres of on the evaluation of these seals and on inferences
responsibility. Here as elsewhere, the seals they by analogy to earlier or later source material.
left behind are the most important source for their The ‘predecessors’ of the genikoi kommerkiarioi in
activities [13205–210]; [16159–162]. Also attested and fre- the 6th century were the comites commerciorum,
quently occurring alongside the dioiketai in these who answered to the comitiva sacrarum largitio-
sources are the epoptai [13198–205]. Along with the num and were responsible for frontier controls
exisotai, they were mainly concerned with keeping and the collection of customs duties [13247–255].
the thematic tax registers up to date. They are first They were also involved in the import and export
attested in the latter half of the 8th century. of silk and silk goods [13394 f.]; [39].
There was also the logothesion tou stratiotikou, When the major administrative institutions
the senior official of which, the logothetes, was collapsed (the praetorian prefectures, comitiva
responsible for the recruitment of soldiers and for sacrarum largitionum etc.; cf. → 5.1. Central civil
keeping the military muster rolls and for the pay- institutions), at the latest, by the first decades of
ment of soldiers’ salaries. He also had a large staff the 7th century, the importance of the (genikoi)
of officials [13225–238]; [17667 f.]. kommerkiarioi and their apothekai (which were
Another administrative unit was the (e)idikon soon mentioned on seals) began to increase in
[13106–172]; [25540], first attested in the first half of importance. How they were technically related
the 9th century. Its main task was to manage the to other administrative structures, however, is
imperial treasury (NB: not the emperor’s private unclear (they later seem to have been subordinate
5.2. basic features of government (7th–15th centuries) 222

to the logothetes tou genikou). During this phase changes took place after Justinian’s death in 565
of general upheaval, they were probably acquiring [31]; [32]; [33]; [1339–48]. These large landholdings
new duties and responsibilities orphaned by the found across the empire were of great economic
‘old’ (now dissolved) administrative institutions. importance (not least to the public finances). They
A wide range of arguments (and hypotheses, as were generally managed by a ‘house’ (palace com-
must always be reiterated) have been made to plex) in Constantinople, and references to them in
suggest that they were involved, for instance, in the sources are often to this ‘house’ and not to the
supplying the army. With the apparent prolifera- estates managed by the house in question. They
tion of barter in the first half of the 7th century were headed by kouratores – a function at times
and the consequent collection of taxes in kind, it held by very senior and important figures. Several
is likely that the genikoi kommerkiarioi collected such oikoi and their kouratores are known down
taxes, stored them in their apothekai and distrib- to the 9th century (e.g. ton Hormisdou, ton Antio-
uted them as required, in a situation very much chiou, ton Marines, ton Plakidias).
comparable to that of the Roman Empire in the The divine households already had played a
3rd century. The first priority in distributing these supporting role in collecting taxes in the 6th cen-
goods will have been to supply the army, which tury, and this activity seems to have become more
guaranteed the survival of the Byzantine state in significant over the following centuries. A koura-
view of the permanent threat posed by relentless tor ton oikion superior to the other kouratores still
Arab attacks (cf. the sieges of Constantinople in existed in the reign of → Justinian (2.3.). Despite
668 and 717/18). They also appear to have had all the losses of the 7th and 8th centuries (which
other duties and responsibilities, such as supply- included all the eastern provinces), some of these
ing the army with uniforms, weapons and so on. theioi oikoi survived the crisis. An institution called
The genikoi kommerkiarioi are also attested super- the kouratoria is attested as part of the genikon
vising and monitoring silk production until well around 800. During the 9th and 10th centuries,
into the 8th century. It would undoubtedly be the kouratores were subordinate to a megas kou-
wrong, however, to assume that these were their rator (‘great curator’) – like the kourator ton oikion
only duties ([13239–479, 511–593]; [39]; [17682–695] with of the 6th century. These economic complexes
striking differences in their interpretation of the that – in theory, at least – belonged to or were
role of these – as all agree – exceedingly important answerable to the emperor existed until the age
officials; given the paucity of the sources, all such of the Komnenoi (11th/12th cents.). It is worth not-
interpretations remain speculative). ing that some empresses (e.g. Theodora in the 6th
The steady remonetization of the Byzantine century) are also attested as proprietors of these
economy and tax system (cf. adaeratio in Late theioi oikoi. Their oikoi were managed in the same
Antiquity) under Leo III (717–740) and espe- way as those of the emperors.
cially his son Constantine V (740–775) seems to
have eroded the importance of the genikoi kom- F. Changes in the 10th century: civil
merkiarioi. Around 730, they were replaced by administration, court and justice
an authority whose seals designate it the basi- The expansion of the empire that began in the
lika kommerkia. This office too is exclusively (!) 10th century led to many changes in its admin-
attested by a large number of seals (also dated and istrative structure – not least in regard to the
with geographical indication), but they no longer themes, which proliferated in number even as the
refer to individual officials responsible for them. military significance of thematic armies declined
The kommerkiarioi, meanwhile, gradually evolved as mercenaries began to be used in greater num-
into customs officials, collecting the tax on trade bers. This necessitated reforming state institu-
and circulating goods known as the kommerkion. tions to finance (and control) the new system.
As such, they continue to be attested until the 12th One consequence of the growing use of merce-
century [13415–418]. naries was the expansion of the practice of billet-
ing with the civilian population in the provinces
E. State property and taxation (which relentlessly increased the burden placed
Several categories of state property were upon them). The state needed to organize all this
crucially important to the state economy (and [25541]. By the second half of the 11th century at
to some parts of the financial administration). the latest, this and other factors ultimately over-
Among these, the domus divinae or theioi oikoi loaded the existing state system that provided the
(‘divine’ households) are particularly notewor- requisite subsistence [2680–119]; [88 f., 59–70]; [25541].
thy. Neither the evolution of these generally very → Alexios I Komnenos (2.5.; 1081–1118) attempted
substantial complexes of assets (which included to resolve the situation with diverse reforms that
landed estates) is not known to the last detail affected much of the administration and the
after the 4th century nor what their relationship mint [27513]. Despite all subsequent changes (espe-
was to various other state authorities (e.g. the cially under the Palaiologoi, 13th–15th cents.), these
comitiva rerum privatarum) over time. Dynamic reforms continued to underpinned the state until
223 5.2. basic features of government (7th–15th centuries)

the empire fell. The civil administration was now ment was already underway in the rump Byzan-
put in the hands of the logothetes of the sekreta tine states that emerged from the catastrophe of
(soon renamed the megas logothetes accordingly). 1204 (the Laskarid Empire of Nicaea, the Despo-
He oversaw all the financial authorities in Con- tate of Epirus and the Trapezuntine Empire), and
stantinople and the provinces, including financial it became established in the restored empire after
authorities in a broader sense, such as the impe- 1261. One notable development was the growing
rial vestiarion and the oikeiaka (responsible for role of the court and senior courtiers who had
the administration of state estates, the yields of the emperor’s ear, e.g. the protovestiarios on such
which were increasingly important to the public matters as finance. Over the last centuries of the
finances). The old genikon continued to exist but Byzantine state, the administration underwent so
had lost its central position. The administrators of many changes that exceptions overshadow the
the substantial assets of what had originally been appearance of ‘order’. At any time, the emperor
charitable institutions, like the orphanotrophos, could entrust certain duties to a person of his
now also became important [37228–237]; [9619–621]; choosing, regardless of that person’s offices and/
[25543–546]. or titles and in disregard of existing structures.
As in Late Antiquity, the imperial → court (1.3.) Although this was technically true in all periods
always played a vital part in the administration of of Byzantine history, it seems to have become
the empire. The parakoimomenos is first attested more widespread under the sway of the Palaiolo-
as the head of the imperial koiton (‘bedchamber’) gos dynasty.
in the 9th century. Like the praepositus sacri cubic-
uli of Late Antiquity (‘chamberlain’ of the ‘sacred G. Histories of individual offices
bedchamber’), court eunuchs (koubikoularioi)
sometimes acquired great influence, depending on G.1. Eparchos tes poleos (praefectus urbi, urban
the disposition of the emperor concerned (→ 5.1. prefect/eparch)
Central civil institutions D.3.) [17505 ff.]. G.2. Koiaistor (quaestor)
Since the concept of the separation of powers G.3. Logothetes ton agelon
in the modern sense was unknown to Byzantium, G.4. Logothetes tou dromou
the judiciary was always part of the state adminis- G.5. Logothetes tou genikou
tration. The emperor was always the supreme judi- G.6. Logothetes tou stratiotikou
cial instance and could preside over the highest G.7. Megas logariastes
court (basilikon sekreton, kriterion etc.). No appeal G.8. Mesazon
against his rulings was possible. Because various G.9. Protonotarios (of a theme)
senior magistrates were entrusted with judicial G.10. Sakellarios
duties but rarely had the legal expertise required
to fulfil them, legal experts were assigned to them On individual offices, cf. also figs. 3–5 after this
(e.g. assessores, paredroi, symponoi). The urban section.
prefect and the koiaistor (from the Latin quaestor)
may be viewed as the highest judges (see below, G.1. Eparchos tes poleos (praefectus urbi,
G.1., G.2.); this was also intermittently true of the urban prefect/eparch)
epi ton deeseon, who from the Middle Byzantine The office of urban prefect of Constantinople,
period on was responsible for receiving and deal- established in the 4th century on the Roman
ing with petitions, and who accordingly took part model, existed until the end of the Byzantine
in court proceedings. Empire (1453). After the emperor, the prefect was
A number of courts of law are known to have the highest-ranking imperial personage at Con-
existed at Constantinople, e.g. the court of the stantinople (Eisagoge 4,11 [1]). He had many duties
Magnaura (krites tes Magnauras), the ‘roofed’ Hip- and competences, with a large staff at his disposal
podrome (krites tou hippodromou) and the krites for fulfilling them (numbers and designations, of
tou velou. The droungarios of the bigla (‘Drungary course, varied over the centuries). These officials
of the Watch’, originally a palace guard) func- included a symponos, the logothetes tou praitor-
tioned as senior judge in the 11th and 12th centu- iou, geitoniarchai, the parathalassites and many
ries (→ 4.4. Courts and justice A.2.). Scholars have others [2319–321]. The urban prefect’s function as
not yet fully elucidated the relationships between supreme judge at Constantinople and in its envi-
these courts. Constantine IX Monomachos (1042– rons was always important. Another significant
1055) established a sekreton ton dikon to oversee role was his oversight of the trades and industries
the courts in the provinces. Alexios I Komnenos that were organized into ‘guilds’ (→ 10.5. Occupa-
founded three new courts (detailed information tional associations). This is all described clearly
and bibliographies in [21] and [22]). in the Book of the Eparch from the reign of Leo VI
Under the Palaiologoi, the mesazon, effec- [4]; [48]. The importance of the office declined
tively ‘minister-president’, stood at the apex of after 1204 [34545–579]; [20]; [43], but it never
all branches of the administration. This develop- disappeared.
5.2. basic features of government (7th–15th centuries) 224

G.2. Koiaistor (quaestor) The relevant literature is almost unanimous, how-

The office of quaestor (sacri palatii), created in ever, in defining the responsibilities of the logoth-
the 4th century, also existed without interruption esion tou genikou as ‘the assessment of taxes, the
until the fall of the Byzantine Empire. As in Late preparation, supplementation and maintenance
Antiquity, he was among other things the most of land tax lists and the collection of taxes and
important legal authority (legislation, jurisdiction). duties’ [1919 f.].
He was also one of the most important judges dur- The genikon also functioned as a fiscal court. It
ing the period of transformation that began in the and its logothetes waned in importance after the
7th century, and he continued to be responsible administrative reforms of the Komnenoi (espe-
for legislation. The only appeal against his rulings cially Alexios I Komnenos; 1081–1118). After 1204,
was direct to the emperor. He had a large legal the title logothesion tou genikou lost its administra-
staff (including the antigrapheis). The koiaistor tive reference and was bestowed purely as a nomi-
began losing competences in the 10th century, but nal title. It is last attested in 1380 [34129–194]; [2313 f.];
he remained one of the highest judges until the [13180–224]; [17694–696 et al.].
late 12th century. After 1204/1261, koiaistor became
an honorific title with no real remit [2321]; [22]. G.6. Logothetes tou stratiotikou
It is generally assumed that this high-ranking
G.3. Logothetes ton agelon state official, whose office is first attested in the
The logothetes ton agelon, attested as far back late 7th century, was responsible for a range of
as the 9th century or earlier (seals exist dating military matters, including soldiers’ pay, keeping
from the 8th) managed the imperial herds (age- muster rolls, and soldiers’ accommodation. It must
lai), particularly those of horses (and mules). be emphasized, however, that all these assump-
There were large studs, in western Asia Minor and tions are highly hypothetical and insufficiently
Phrygia in particular, where horse-breeding was supported in the sources. The office was combined
of considerable military importance for replenish- with that of a judge in the 11th century and ceases
ing stock for mounted units and military logistics to be mentioned after 1088 [34263–288]; [13225–238].
(transport). The logothetes ton agelon can be seen
as the ‘successor’ to the Late Antique praepositus G.7. Megas logariastes
gregum. The office remained important until the After 1091, as part of his comprehensive reforms
early 13th century, and a large staff of officials was [9619–621], Alexios I Komnenos founded the office of
attached to it [34289–299]; [2338]. the megas logariastes. It replaced that of the sakel-
larios (see below G.10.) as the senior supervisory
G.4. Logothetes tou dromou organ of the financial administration and became
Beginning around 760, this high-ranking offi- one of the most important ‘ministerial offices’ of
cial was the head of the sekreton of the dromos, the the Byzantine state. It waned in importance after
Byzantine state post (with concomitant responsi- 1261, but continues to be attested into the 14th
bility for roads, bridges etc.). He also had ceremo- century [34431].
nial duties at court and organized the emperor’s
personal protection. His responsibility for the G.8. Mesazon
empire’s external relations was particularly impor- Under the Palaiologoi, the mesazon was the
tant and often earns him the title of ‘foreign minis- emperor’s closest confidant and acted as super-
ter’. Holders of this office had a very high status at intendent of all branches of the administration,
court until the 12th century and were often close so that he is sometimes referred to as the ‘prime
confidants of the emperor. They had a large staff minister’. The office existed until 1453 and was
of officials [2311 f.]; [34195–262]. sometimes held by important figures (including
Theodore Metochites, Theodore Mouzalon and
G.5. Logothetes tou genikou John Apokaukos) [41]; [49]; [10]; [25545].
The logothetes tou genikou and the logothe-
sion and the large staff (sekretikoi) at his disposal G.9. Protonotarios (of a theme)
became the most important financial authority The thematic protonotarioi are attested dating
of the Byzantine state after the middle of the 7th back to the second half of the 8th century, primar-
century. In this respect in particular, the logothe- ily through their seals. They were responsible for
sion tou genikou inherited the mantle of the Late the civil administration of the themes (including
Antique praetorian prefectures (especially that of fiscal affairs). They were directly answerable to the
Oriens). Unlike them, however, only very inad- central sakellion and the sakellarios who headed
equate information survives about the internal it. To some extent, they thus had a double sta-
organization of the logothesion tou genikou. In tus, having on the one hand to interact with the
particular, the sources are unclear regarding the incumbent strategos of their theme, while also
logothetes’ responsibilities prior to the 9th century. being controlled from the capital. They disap-
225 5.2. basic features of government (7th–15th centuries)

peared in the course of the Komnenos adminis- tine Empire, c. 500–1492, 2008, 583–626 [10] H.-G.
trative reforms of the 11th century [13161–165]; [17esp. Beck, Der byzantinische ‘Ministerpräsident’, in: BZ
679–682, 710–716]. 48, 1955, 309–338 (reprinted in: H.-G. Beck, Ideen
und Realitäten in Byzanz, 1972, no. XIII) [11] H.-G.
Beck, Ideen und Realitäten in Byzanz, 1972 [12] W.
G.10. Sakellarios Brandes, Die Städte Kleinasiens im 7. und 8. Jahr-
The evolution of the office of sakellarios (estab- hundert (BBA 54), 1990 [13] W. Brandes, Finan-
lished late 5th century) and the institution called zverwaltung in Krisenzeiten. Untersuchungen zur
the sakelle/sakellion (first attested ca. 565) that he byzantinischen Administration im 6.–9. Jahrhundert
evidently headed can be traced only in broad out- (Forschungen zur byzantinischen Rechtsgeschichte
line before the 9th century, when he became the 25), 2002 [14] W. Brandes, Die τράπεζα/arca der
key supervisory instance of the civil administra- praefectura praetorio per Orientem und die Datier-
tion. The significance of this office in the actual ung von Justinians 13. Edikt, in: FM 11, 2005, 229–
administration of finances and taxation seems to 234 [15] W. Brandes, Georgios ἀπὸ ὑπάτων und
die Kommerkiariersiegel, in: C. Ludwig (ed.), Siegel
have consisted primarily in this supervisory func-
und Siegler (Akten des 8. Internationalen Symposions
tion (see above, G.7.) from the late 8th century für byzantinische Sigillographie, Berlin 2003), 2005,
on. Most of the early sakellarioi were eunuchs and 31–47 [16] W. Brandes, Das Schweigen des Liber
belonged to the sacrum cubiculum (see above, F.; Pontificalis. Die ‘Enteignung’ der päpstlichen Patri-
→ 1.5. Public finances and taxation B.). This guar- monien Siziliens und Unteritaliens in den 50er Jahren
anteed them close contact with the emperor. des 8. Jahrhunderts, in: FM 12, 2014, 97–204 [17] L.
Later (from the 9th century on), non-eunuchs also Brubaker / J. F. Haldon, Byzantium in the Icono-
began to hold this important office. As the cen- clast Era c. 680–850. A History, 2011 [18] J. B. Bury,
tral supervisory instance, the sakellarios also had The Imperial Administrative System in the Ninth
oversight of the civil and financial administration Century, with a Revised Text of the Kletorologion of
Philotheos (British Academy Supplementary Papers
in the themes and of the other (central) financial 1), 1911 [19] F. Dölger, Beiträge zur Geschichte
bodies at Constantinople. The sakellarios had a der byzantinischen Finanzverwaltung besonders des
representative in every sekreton (‘office’, ‘depart- 10. und 11. Jahrhunderts, 21960 [20] D. Feissel,
ment’), and the protonotarioi there were answer- Le préfet de Constantinople, les poids-étalons et
able to him. The last reference to a sakellarios l’estampillage de l’argenterie au VIe et au VIIe siècle,
dates from 1096. His powers passed to the megas in: Revue numismatique 6/28, 1986, 119–142 [21]
logariastes founded in the 11th century (see above, A. Gkoutzioukostas, Ο θεσμός του κοιαίστωρα
G.7.) [2312]; [13427–479]. του ιερού παλατίου. Η γένεση, οι αρμοδιότητες και η
Maps and plans: Map 1, Maps 4–7, Map 11; εξελιξή του, 2001 [22] A. Gkoutzioukostas, Η
απονομή δικαιοσύνης στο Βυζάντιο (9ος–12ος αιώνες),
Plans 1–2; BNP Suppl. 3, 239, 241, 243
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 Emperor’s private retinue protostrator
Emperor imperial stables

epi tes katastaseos imperial household

public finances (‘master of ceremonies’)

sakellarios logothete judiciary

imperial imperial
of the dromos chancellery
(superintendent of finances) purse/
urban prefect of quaestor table
wardrobe
Constantinople epi tou
military special state treasury/ curator transport imperial servants
finances treasury wardrobe of the judges kanikleiou privy purse
(logothesion tou (eidikon) (vestiarion) judges
Mangana epi ton deeseon parakoimomenos
stratiotikou) orphanotrophos ‘petitions’ (‛chamberlain’) palace
megas kurator logothetes ton
logothesion central financial administration
tou genikou imperial angelon (imperial
supervisory imperial
(general army and fleet mail herds; metata)
authority bedchamber
finances) (dromos) administration
(sakellion) optimatoi
thematic commanders non-thematic administration of of the Palace
(e.g. logistical
(strategoi) units the Magnaura of Daphne
duties)
kleisouarches doukes,
droungarios of the
5.2. basic features of government (7th–15th centuries)

katepanates kritai
protonotarioi chartoularioi imperial fleet
(administration
(thematic (military administration) of justice) domestikoi of the scholai
financial authorities) elite and palace troops
prisons of (tagmata)
Constantinople
Blues and Greens
(circus factions) scholai, exkoubita
noumera Chalke Gate praitorion

Legend: tagmata subordinate to themes

main sphere of activity
Bold central authorities, heads of offices and key staff

Fig. 3: State administration, ca. 700–ca. 1050 (diagram; after: [25549, fig. 3]).
226
 Emperor
227
mesazon (‘prime minister’)
logothetes ton sekreton imperial
(megas logothetes) mystikos court
megas doux protostrator (imperial private chancellery urban prefect
military (navy financial secretary)
commander) dikaiodotes administration
administration imperial
megas domestikos stables epi tou epi ton imperial protasekretis of justice
(for East and kanikleiou deeseon ‘wardrobe’
megas logariastes megas logariastes
West) (petitions)
palace of the sekreta of charitable authorities circus prisons
imperial (imperial estates) imperial
troops navy private imperial table factions
quaestor
treasury
provincial governors vestiarion oikeiaka logothetes tou dromou megas droungarios
(doukes) (imperial orphanotrophos (imperial mail) (court of the velon)
genikon fiscal estates) chartoularios parathalassites
(‘fifinance of the stables
provincial (maritime law)
ministry’)
tagmata administration curators of charitable transport
(provincial) institutions chartoularata and logistics
(military assembly points)
provincial financial episkepsis
administration (fiscal districts)
Legend:
main sphere of activity
Bold central authorities, heads of offices and key staff
direct relationship with emperor
indirect relationship
Fig. 4: Court and administration under the Komnenoi and Angeloi, ca. 1050–1204 (diagram; after: [25550, fig. 4]).
5.2. basic features of government (7th–15th centuries)
 Emperor
megas archon (court troops) court,
and protovestes court troops
court officials (tatas, skouterios etc.) mesazon
megas logothetes
Varangians Vardariotai megas megas tzaousios
konostablos
mourtatai tzakones
imperial court
epi tou kanikleiou city eparch
megas domestikos
judiciary mystikos (supreme commandant)
protasekretis
(head of chancellery) epi ton deeseon protovestiarios pin kernes epi tes protostrator
(petitions) (servants) trapezes
sekreton (imperial
banquets) parakoimomenos
(supreme court of justice) megas logariastes
financial (chamberlain)
megas chartoularios
logothetes tou logothetes of administration megas papias
dromou the oikeiaka (palace administration)
megas stratopedarches megas adnoumiastes imperial estates in administrators of the administrators
the provinces Blachernae Palace of the Great Palace
provincial fiscal officials
financial authorities provincial
5.2. basic features of government (7th–15th centuries)

of empresses military
resources/military supplies or co-emperors provincial
commanders
(allagatores, tzaousioi)
This overview is highly schematic (even more so than the earlier diagrams). It is not possible to follow and depict the constant changes. Empresses and
co-emperors had administrations similar in structure, albeit less large.

Legend:
main sphere of activity
Bold central authorities, heads of offices and key staff
direct relationship with emperor
indirect relationship
logothetes simple title
228

Fig. 5: Court and administration under the Laskarides and Palaiologoi, 1204–1453 (diagram; after: [25551, fig. 5]).
229 5.3. state budget

(Zu den Anfängen der Themenorganisation im 7. enue. By the late 13th century, the empire’s terri-
und 8. Jahrhundert), in: BSl 45, 1984, 27–39 [37] P. torial losses magnified the importance of trade in
Magdalino, The Empire of Manuel I Komnenos, the state budget: despite its weakness, the Byzan-
1143–1180, 1993 [38] D. A. Miller, The Logothete tine state was compelled to extend taxation to the
of the Drome in the Middle Byzantine Period, in:
Byz 36, 1966, 438–470 [39] F. Montinaro, Les
incomes of the Italian merchants [19].
premiers commerciaires byzantins, in: TM 17, 2013, It was a fundamental principle of Late Antique
351–558 [40] N. Oikonomidès, L’évolution de and Byzantine taxation (→ Public finances and
l’organisation administrative de l’Empire byzantin taxation (1.5.)) that the burden on taxpayers, and
au XIe siècle, in: TM 6, 1976, 126–152 [41] N. Oiko- hence tax revenues, should be maximized. In Late
nomidès, La chancellerie impériale de Byzance du Antiquity, this was achieved by means of a system
13e au 15e siècle, in: REB 43, 1985, 167–195 [42] G. known as adiectio sterilium. This procedure made
Ostrogorsky, Die ländliche Steuergemeinde des neighbouring landowners liable to pay tax on
byzantinischen Reiches im X. Jahrhundert, in: Viertel- lands that were registered as taxable but were not
jahrschrift für Sozial- und Wirtschaftsgeschichte 20,
in cultivation. The tax (annona) was calculated
1927–1928, 1–108 (also reprinted 1969) [43] W. Seibt
/ A.-K. Wassiliou, Die byzantinischen Bleisiegel in according to a formula called capitatio-iugatio,
Österreich, vol. 2: Zentral- und Provinzialverwaltung which appraised land in relation to the available
(Österreichische Akademie der Wissenschaften, Phi- labour force, taking into consideration location,
losophische-Historische Klasse, Denkschriften 324), quality and the crops cultivated (literature in
2004 [44] J. Shepard (ed.), The Cambridge History [15, note 21]). Land that was neither cultivated nor
of the Byzantine Empire, c. 500–1492, 2008 [45] E. grazed was not taxed directly. The tax burden was
Stein, Studien zur Geschichte des byzantinischen reassessed at intervals, originally on a five-yearly
Reiches, vornehmlich unter den Kaisern Justinus cycle, then every fifteen years (the cycle known as
II. und Tiberius Constantinus, 1919 [46] E. Stein, indictio, the ‘indiction’). In practice, however, this
Untersuchungen über das Officium der Prätorianer-
präfektur seit Diokletian, 1922 (reprint 1962) [47] E.
regular updating of the tax register was riddled
Stein, Histoire du Bas-Empire, vol. 2, 1949 (reprint with irregularities. The basis for the tax assess-
1968) [48] A. Stöckle, Spätrömische und byzan- ment was a body of detailed land registries that –
tinische Zünfte. Untersuchungen zum sogenannten until at least the late 6th century – enabled the
Eparchikon biblion Leos des Weisen, 1911 [49] J. state to set an annual budget. This would not
Verpeaux, Contribution à l’étude de l’administration become possible again in Europe until the early
byzantine: ό μεσάζων, in: BSl 16, 1955, 270–296 [50] modern period [171 f.].
F. Winkelmann, Byzantinische Rang- und Ämter-
struktur im 8. und 9. Jahrhundert (BBA 53), 1985 [51] B. Developments after ca. 600
K. E. Zachariae von Lingenthal, Geschichte des
The tax system began to undergo a series of
griechisch-römischen Rechts, 31892 (reprint 1955).
radical changes in the 7th century. It was now
Wolfram Brandes assumed that each tax unit produced a fixed
yield, and this sum was imposed on the taxpay-
ers, who were also made collectively liable for
5.3. State budget any shortfall. The tax unit – effectively the village
– was also responsible for paying taxes on land
A. Introduction that belonged to it but that for whatever reason
B. Developments after ca. 600 was not currently in cultivation. Tax relief could
C. Supplementary taxes and compulsory services be requested and granted in such cases, but if
D. Reforms after ca. 1100 the village then took over these lands, for which
E. The extent of tax revenue they were in any case responsible, and put them
F. The extent of government expenditure to agricultural use, it would have to reimburse the
G. Fiscal reserves tax shortfall caused by the previous relief. Since
cities (civitates, poleis) had lost their intermediary
A. Introduction administrative function by the 7th/8th centuries,
Until the last two centuries of the Byzantine the task of collecting taxes now fell to imperial
Empire’s existence, most state revenues came tax officials in the provinces and regions (dioi-
from the agricultural sector and associated pro- ketai, epoptai). On the one hand, these officials
duction sectors. Revenues from trade and customs came under the authority of the logothesion tou
duties varied across Byzantine history. In some genikou – now the ‘finance ministry’ (→ 5.2. Gov-
periods, such as in the 6th and 11th/12th centuries, ernment G.5.) – the late 7th century; on the other,
trade revenues may have been considerable, but that of village communities (chorion). The latter
tax revenues from agriculture always comfortably represented the real fiscal unit [1089–100, 186–193];
outstripped them. A dearth of quantifiable data, [2324–41, 46–66]; [14279–295]; [1180–238].
however, prevents us from assessing the exact Although the fundamental principles of this
relationship between these two sources of rev- system – including collective responsibility for
5.3. state budget 230

uncultivated land – did not change radically in was no longer in a position to pay its officials
the period of transformation that commenced in regularly [8102–111]; [2376–84]. State revenues from
the latter half of the 7th century, they certainly taxes on trade in the cities were sometimes con-
evolved. This led to the end of the combined land siderable, but it was only in the final years of the
and capitation tax. In place of capitatio-iugatio, empire’s existence, if at all, that they matched rev-
the land tax (kanon) was used as a separate unit to enues from duties in the agricultural sector (see
calculate the amount of taxes, while a ‘hearth tax’ above, A.) [8226–243]; [5].
(kapnikon), imposed on every household, replaced Although based on the land tax and the hearth
the capitation tax. These profound changes took tax that augmented it (kapnikon), the tax sys-
effect gradually. No imperial legislation survives tem became ever more complex as the number
to reveal the date at which the new system was of additional charges continued to increase. In
introduced or to allow us to reconstruct its origi- addition to the aforementioned taxation in kind
nal intentions. All that can be said is that this and service obligations, government tax officials
change was complete by the mid-9th century at increasingly began to demand ever more per-
the latest, and probably considerably earlier. The quisites. There was also an obligation to provide
dismal state of the sources makes it impossible to them accommodations, although a monetary pay-
trace the chronology or narrative of this change in ment could be made instead. Over time, the entire
any detail [7173–207]; [1]; [23]. system became ever more ramified and confusing.
Individual tax burdens began to be recorded By the 11th century, these supplementary taxes
in the tax registers in the 8th century (reigns of and tax officials’ additional demands amounted to
Leo III and Constantine V), but became clearly more than the regular levy based on the land tax.
apparent only in the 10th. On this basis, the Byz- The rapid depreciation of the currency combined
antine Empire succeeded in creating one of the with pervasive corruption brought the entire tax
most sophisticated taxation systems of the medi- system near to collapse after the 1060s [897–99, 105–
eval world, based on a meticulous registration of 114]; [2385–121, 143–145]; [251019–1026].

taxable land and individual property. This was

possible thanks to an extremely well-organized D. Reforms after ca. 1100
bureaucracy. The tax system was not fundamentally
reformed prior to the early 12th century, when
C. Supplementary taxes and → Alexios I Komnenos (2.5.; 1081–1118), confronted
compulsory services with rampant inflation and the well-nigh impene-
Numerous additional taxes and service obliga- trable complexity of the old system, found himself
tions augmented the regular land taxes. Service compelled to introduce far-reaching changes. Tra-
obligations included requirements to accommo- ditional duties were rationalized and the bureau-
date soldiers and various state officials, to par- cracy was cut back [20]; [896–102]. However, insofar
ticipate in the construction of fortresses or the as the wealthy and powerful extricated them-
financing thereof (kastroktisia) [27] and the build- selves from their financial obligations through tax
ing of bridges and fortifications, and to supply a exemptions, the state’s fiscal demands increas-
broad range of different products, such as fuels ingly devolved upon the ever more heavily taxed
(wood, charcoal). These burdens continued to be peasantry. Social divisions in the empire became
imposed on ordinary taxpayers throughout the ever more marked, as a new elite emerged in the
Middle and Late Byzantine periods. Middle Byzantine period, evolving into an aris-
Certain categories of land ownership were tocracy by ‘ownership’ of offices and gradually by
exempt from these service obligations, especially birth, (→ 1.4. Emperor, elite and subjects B.).
land that belonged to soldiers on active service or At the end of the 9th century, the system of
had been allotted to them by the state (→ 6.6. Sol- collective responsibility for uncultivated land was
diers and generals). This exemption also applied changed to allow land to be temporarily exempted
to people working for the public mail system. In from the taxes due on it. Such land was removed
both cases, the rationale was that to some extent from the fiscal district to which it properly belonged
at least, such people needed their land in order to and administered separately. Special reductions in
perform their duties. taxes were also possible. It appears that interven-
Financial officials also often imposed heavy tionist measures like this were intended to achieve
fees on those liable to pay tax. These fees went maximum control over the state’s fiscal resources
towards the officials’ salaries, the funding of which in regard to taxable land. It was during these cen-
the state thus passed on to taxpayers. These spe- turies that the government began to convert fis-
cial charges proliferated after 1000, increasing the cal land into state land, invariably in competition
aggregate burden imposed. By the late 12th cen- with the aristocratic elite and the ‘powerful’. The
tury if not before, this practice caused the entire result was that duties from state land became vir-
tax system to seize up. The central government tually indistinguishable from the land tax.
231 5.3. state budget

The emergence of the practice of pronoia (the E. The extent of tax revenue
granting of tax revenues in the medium or long Estimating Byzantine tax revenues is an almost
term, generally to support one soldier or sev- impossible task. It is untenable to regard the data
eral, e.g. for their equipment) in the late 11th and available as reliable (on [26] see e.g. [16]). All
12th centuries provided the Byzantine govern- assumptions are therefore relative. With this pro-
ment with another way of redistributing financial viso, it has been estimated that in the 6th century
resources (→ 1.5. Public finances and taxation C.). prior to the Plague of Justinian, the Eastern Roman
This, however, exacerbated the aforementioned Empire (including the African and Italian prefec-
conflation of land taxes and revenues from state tures) collected 5–6 million solidi/nomismata per
land [23153–224]; [17]; [10359–373]. year in minted coin, though it must be empha-
The government managed to sustain reason- sized that the lion’s share of this sum came from
able control over its fiscal resources until the late the territory of the praetorian prefecture of Oriens
12th century [25990–1019]. However, the aristocracy, (including Egypt; → 5.1. Central civil institutions
which had been hampering the state since the 10th D.2.). Recent studies stress the Byzantine Empire’s
century, continued its rise. The emperors began to dramatic loss of income after the 640s, when the
be recruited from this social elite in the late 11th expansion of the Islamic Arabs robbed the empire
century, and their power depended largely on of the provinces that supplied it with the most tax
their ability to organize wide-ranging family alli- (especially Egypt and Syria). It is estimated that
ances with the heads of the aristocratic ‘clans’ (by the state treasury now collected at most 1.5 million
marriage, sharing in power etc.). After 1204 in par- solidi/nomismata annually, although this too must
ticular, the devolution of imperial power became be accepted, if at all, with the prescribed grain of
the main tool by means of which the emperors salt. Revenues thereafter recovered very slowly,
ruled and governed, and imperial resources were reaching around 3 million solidi/nomismata in
mobilized. However, central taxation – the land the mid-9th century [9157–173 and 173–201]; [21936–946
tax and additional charges – remained the basis with table 6].

for the government finances. These figures, of course, give no indication of

Drastic territorial losses meant that trade the extent or importance of taxes in kind, which
became an ever more important source of rev- were a significant component between the mid-
enue. Such revenue was limited, however, by the 7th and the mid-8th centuries [1314 f. et al.]. Overcom-
power of the Italian city-states (Venice, Genoa, ing the grave crisis of the 7th century was a slow
Pisa) and their dominance of trade. The fact that process that only reached a kind of conclusion
the kommerkion (tariffs introduced in the 9th cen- in the first half of the 9th century. It is estimated
tury) became a more important source of revenue on reliable grounds that by the 12th century, tax
than the land tax in the empire’s final phase illus- revenues may have increased to 4 million solidi/
trates the insoluble fiscal problem that confronted nomismata (although exact figures cannot be
the emperors during the last century of the Byzan- ascertained), and this at a time when much of
tine Empire’s existence [18]; [251026–1039]. Anatolia had already slipped from Byzantine con-
Beginning in the late 13th century, the land tax trol. After further severe territorial losses in the
was calculated on the basis of a consolidated esti- years and decades that followed, tax revenues
mate that was made at regular intervals. It varied then shrank again, to approximately a quarter of
according to local conditions and other factors. 12th-century levels by the mid-14th century.
Meanwhile, the tax related to the labour force It must again be emphasized that these figures
reappeared after a long abeyance. It took into are rough estimates, particularly since they are
account those working in agriculture and their based on information preserved somewhat at ran-
households. Additional taxes and charges con- dom. Moreover, as discussed above, taxes paid in
tinued to be imposed, some by landowners, and kind and labour services performed for the state
some of these were intended to finance and facili- also invariably formed part of revenues, and natu-
tate specific government tasks, such as paying rally these cannot be converted into monetary
mercenaries or tributes to other states. During the sums. Attempts to achieve more precise figures by
late phase of the empire (in this context, the first reference to the quantity of coinage issued or via
half of the 15th century), hybrid forms of tax col- mathematical models of premodern production
lection occurred. A striking example is recorded must likewise always be treated with caution [6].
on the Peloponnese: in a region that had fallen
under Ottoman rule for sixteen years in 1404, the F. The extent of government
Byzantine financial administration subsequently expenditure
retained the Ottoman taxes and continued to col- Data on imperial expenditure is similarly
lect Islamic tithes (ushr) and the Ottoman land tax unreliable. Without question the largest item
(haradj) [13158–182]; [251033–1039]. was funding the army (including equipment and
5.3. state budget 232

alimentation), at least between the reigns of Jus- nomismata), meaning that one could amass con-
tin II (565–578) and Basil II (976–1025). At least siderable wealth in gold coin in a relatively short
35 % (but probably more) of state expenditure in time.
the 6th century went to the military, and the por- Liutprand of Cremona, in his 10th-century
tion may have been considerably greater in the far Relatio de legatione Constantinopolitana, tells of
grimmer economic conditions of the 7th and 8th the enormous sums paid to various leading offi-
centuries [9158 f., 168–172]; [251010–1016]. The imperial gov- cials before Easter as their annual salaries. Some
ernment spent enormous sums on building proj- even needed to enlist the help of servants to carry
ects, the important largitiones (special payments) their pay away (→ 1.4. Emperor, elite and subjects
to the army and – not to be forgotten – subsidies C.1.). Twenty-four pounds of gold coin would be
(often effectively tributes) to other states. Hugh paid to officials of the rank of a magistros, twelve
of Provence, King of Italy, for example, received to a patrikios and so on down to the lower ranks,
a cash payment of around 7,200 nomismata in who received at least one pound of gold. Whether
935/36, in addition to lavish gifts of silks and gold or not Liutprand is a reliable source, a surviving
and silver vessels, in exchange for representing list of salaries of leading army officers (strategoi)
Byzantine interests with the Lombard rebels. confirms the scale of the payments he reports.
Throughout Byzantine history, the court paid The Microasiatic and southern Balkan strategoi
sometimes vast sums to foreign rulers, especially received between 10 and 40 pounds of gold as
of the various nomadic tribes in the frontier rhogai or salaries per year, although they were
regions, to induce them to support the Byzantine required to finance their households and retinues
side or at least secure their neutrality. The many from this [24202 f.]. Regulations governing pay-
hoard finds from the steppes to the north and ments to holders of honorific titles began to be
northeast of the Danube offer ample illustration introduced in the early 7th century, but over the
of this [251016]; [12692–696]; [4]; [22]. centuries they proliferated to such a degree that
Large sums were also invested in the complex considerable cutbacks must have been necessary
system of rhogai, state payments to the holders depending on the economic and fiscal position. In
of titles and offices in the palace hierarchy (→ 1.5. the end, Alexios I Komnenos abolished the rhogai
Public finances and taxation F.). Plausible esti- for holders of honorific imperial titles altogether
mates suggest that annual payments to the sixty [24207 f.].
top officials in the central imperial administra- One sizeable expense was always the annual
tion and the provinces/themata alone amounted payments to the various army units, soldiers, offi-
to 60–80,000 solidi/nomismata in the 10th century. cers and their entourage. The army also had to
Payments to holders of the many imperial titles also be supplied with provisions, weapons, uniforms
totalled at least twice or three times this amount and so on, and these outgoing expenses were
[15]; [251010–1016]. Although generating wealth from always very substantial. Early in the 9th century,
land ownership was always highly important, a the annual costs for the theme of Armeniakon
great many members of the social elite – except amounted to around 93,600 nomismata, and for
a few grand families of Constantinople and its the theme of Makedonia ca. 79,200 nomismata.
environs – concentrated on the substantial sums There were at least twelve themes at this period,
they received in the form of gold coin (and other although they differed greatly in size and strength
valuable ‘gifts’ such as silks) as rhogai at court. (Armeniakon and Anatolikon were undoubtedly
This reflects the nature of the centralized imperial among the largest and most expensive). Still,
political hierarchy and the cultural dominance of these figures at least illustrate the scale of military
court and palace – and hence of the all-powerful expenditure.
capital city. A number of other factors must also Besides the thematic armies, other military
be taken into account, including the fact that, bodies also needed funding: the tagmata and
between the late 7th and 9th centuries, large parts mercenary units (individual mercenaries no doubt
of the inherently well-defended ‘inner’ provinces being better paid than ordinary thematic soldiers).
fell victim to economically devastating attacks by However, these units were much smaller than the
hostile forces, so that investing in land offered no thematic armies. Another item to be borne in mind
guarantee of gains. is the cost of the officials and bureaucratic institu-
Nikephoros I (802–811) bestowed very senior tions, of the central government at Constantinople
military positions and an array of imperial estates and in the provinces (especially in the capitals of
on Michael the Amorian (the future Michael II) the themata), engaged in the administration of the
and Leo the Armenian (the future Leo V) for Byzantine army [9181–201]. The enormous costs that
betraying the general Bardanes Tourkos [11]. The arose in wartime (which was frequent) must also
annual salary for leading military and civil posi- be added to regular expenditures for the army and
tions (e.g. strategos, logothetes, sakellarios) ranged navy. The burdens war placed on the public purse
from 10 to 40 pounds of gold (1 pound of gold = 72 and the population were considerable. The Syrian
233 5.3. state budget

campaigns of 910/11 and the expedition against tory of Byzantium. From the Seventh through the Fif-
Crete in 949, to cite only two examples, cost over teenth Century (DOS 39), vol. 2, 2002, 393–461 [6] F.
203,000 and 127,000 nomismata respectively, at Füeg, Corpus of the Nomismata from Anastasius II
very conservative estimates. Other campaigns to John I in Constantinople, 713–976, 2007 [7] J.
Haldon, Byzantium in the Seventh Century. The
will certainly have cost far more, notably that of Transformation of a Culture, 21997 [8] A. Harvey,
the year 1155 against the Normans in Sicily, which Economic Expansion in the Byzantine Empire, 900–
devoured at least 2,160,000 hyperpera (the stan- 1200, 1989 [9] M. F. Hendy, Studies in the Byzan-
dard gold coin after the abolition of the solidus/ tine Monetary Economy, c. 300–1450, 1985 [10] M.
nomisma in the late 11th century) [9221–223]. Kaplan, Les hommes et la terre à Byzance du VIe au
XIe siècle. Proprieté et exploitation du sol, 1992 [11]
G. Fiscal reserves M. Kaplan, Quelques aspects des maisons divines
Only a few emperors are known to have accu- du VIe au IXe siècle, in: M. Kaplan, Byzance. Villes
mulated meaningful financial reserves. Theophi- et campagnes, 2006, 138–156 [12] A. E. Laiou, Eco-
nomic and Non-Economic Exchange, in: A. E. Laiou
los (829–842) is said to have left around 7 million
(ed.), The Economic History of Byzantium. From the
nomismata, and → Basil II (2.4.; 976–1025) 14 mil- Seventh through the Fifteenth Century (DOS 39), vol. 2,
lion, most of it no doubt reaped from the spoils of 2002, 681–696 [13] A. E. Laiou-Thomadakis,
his victorious campaigns in the East and against Peasant Society in the Late Byzantine Empire. A Social
the Bulgars, as well as from various confiscations and Demographic Study, 1977 [14] J. Lefort, The
and tribute payments from dependent neighbour Rural Economy, Seventh–Twelfth Centuries, in: A. E.
states [251016–1018]. Laiou (ed.), The Economic History of Byzantium.
There was generally no equilibrium between From the Seventh through the Fifteenth Century (DOS
state expenditures and revenues, although we 39), vol. 1, 2002, 231–310 [15] P. Lemerle, ‘Roga’
must not forget the scale of material resources et rente d’État aux Xe–XIe siècles, in: REB 25, 1967,
77–100 [16] R.-J. Lilie, Die byzantinischen Staats-
delivered directly to armies on campaign or the finanzen im 8./9. Jahrhundert und die στρατιωτικὰ
demosios dromos, the state mail and transport κτήματα, in: BSl 48, 1987, 49–55 [17] P. Magdalino,
service (→ 9.1. Land routes D.1.). There were also The Byzantine Army and the Land. From ‘stratiotikon
duties in kind, as discussed above, services for the ktema’ to Military ‘pronoia’, in: N. Oikonomides
maintenance of bridges and roads, the production (ed.), Byzantium at War (9th–12th Century), 1997,
of certain elements of army weaponry (e.g. arrow 15–36 [18] L. Maksimović, The Byzantine Provin-
tips) and equipment for the navy and shipbuilding cial Administration under the Palaiologoi, 1988 [19]
(e.g. nails, timber), and much else besides. K.-P. Matschke, The Late Byzantine Urban Econ-
This discussion has not addressed the ‘national omy, Thirteenth–Fifteenth Centuries, in: A. E. Laiou
(ed.), The Economic History of Byzantium. From
product’ of the Byzantine Empire. Even estimating
the Seventh through the Fifteenth Century (DOS
this is impossible. Private individuals and certain 39), ed. 2, 2002, 463–495 [20] C. Morrisson, La
institutions, such as the many monasteries and Logarikè. Réforme monétaire et réforme fiscale sous
the Byzantine Church itself, generated consider- Alexis Ier Comnène, in: TM 7, 1979, 419–464 [21]
able incomes. Nor must it be forgotten that state C. Morrisson, Byzantine Money. Its Production
revenues represented only a fraction of the annual and Circulation, in: A. E. Laiou et al. (eds.), The
value created in the economy through agriculture, Economic History of Byzantium. From the Seventh
trade and industry. It must also be assumed that through the Fifteenth Century (DOS 39), ed. 3, 2002,
the state economy operated in many respects 909–966 [22] C. Morrisson et al., Les trésors
independently of the other economic activities of monétaires byzantins des Balkans et d’Asie Mineure
(491–713), 2006 [23] N. Oikonomidès, Fiscalité et
society as a whole [9]; [21]; [12]; [25]. exemption fiscale à Byzance (IXe–XIe s.), 1996 [24]
N. Oikonomidès, Title and Income at the Byzantine
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Herrschaft um 500, 2014, 239–265 [3] W. Brandes / Καστροκτισία. Einige Bemerkungen über die finanziel-
J. Haldon, Revenues and Expenditure, in: E. Jef- len Grundlagen des Festungsbaues im byzantinischen
freys et al. (eds.), The Oxford Handbook of Byzantine Reich, in: Byzantiná 1, 1969, 39–57.
Studies, 2008, 562–569 [4] F. Curta, Byzantium in
Dark-Age Greece (the Numismatic Evidence in Its Wolfram Brandes
Balkan Context), in: BMGS 29, 2005, 113–146 [5] John F. Haldon
G. Dagron, The Urban Economy, Seventh–Twelfth
Centuries, in: A. E. Laiou (ed.), The Economic His-
5.4. the chancellery, public documents and the written culture of the administration 234

5.4. The chancellery, public documents and the rulings. Finally, it was the responsibility of the
written culture of the administration koiaistor, the most important of them, as a jurist
to formulate laws and ordinances for issue and to
A. Introduction scrutinize foreign letters and treaties.
B. Key offices of the imperial chancellery The senior staff of the imperial chancellery
C. Preservation of documents also included the mystikos, whose remit often
D. Document types and structures overlapped with that of the epi tou kanikleiou or
protasekretes. He was the emperor’s privy sec-
A. Introduction retary, conducting the monarch’s confidential
Byzantium has no prehistory or early history in correspondence.
the sense in which these terms are used for the The most important position among the senior
Western Middle Ages. To side with Hans-Georg officials of the imperial chancellery was that of the
Beck, Byzantium lacks a historical period in which epi tou kanikleiou. The name of his office (which
there were no written monuments, but rather myth means ‘[keeper] of the imperial inkstand’) derives
and legend held sway. Instead, it entered history from the jar of red ink used by the emperor to
almost imperceptibly as a true continuation of sign the documents presented to him. The epi tou
the Roman Empire, the extension of a continuous kanikleiou had not only to write the most impor-
process of change in which Roman transformed tant documents from dictation, but he also took
into Byzantine. From the outset, then, the Byz- responsibility for the correctness of their content,
antine Empire was the heir, adaptor and modifier presenting each of them in turn to the emperor
of sophisticated and specialized administrative for signing, and on occasion he was responsible for
structures and apparatuses, complete with their the issue and authentication of copies of imperial
own written correspondence. It is all the more documents. By reason not only of the rhetorical
striking that only a relatively tiny fraction of the skills the office demanded, it was held by highly
written record of the sophisticated administrative erudite individuals of great influence elsewhere in
culture at work in this high-calibre administrative political life. It was often entrusted to the mesa-
system has survived. More documents have been zon (→ 5.2. Government G.8.), the senior official of
preserved in Western Europe, where the general the empire. Accordingly, the key responsibilities of
situation was far more precarious at first. the mesazon included the approval of completed
The paucity of the documentary record often documents.
means that our knowledge of the exact details of
the structure of the administration, even at the C. Preservation of documents
highest levels, is meagre. Even the evolution of the The preservation of documents produced in
Byzantine imperial chancellery can be discerned the imperial chancellery for the emperor began
only in broad outline from the sources [13]. belatedly in Byzantium compared to the medieval
West, and it remained comparatively meagre until
B. Key offices of the imperial the fall of the empire. Whereas western medi-
chancellery eval scholars have almost 900 original imperial
Between the 4th and 10th centuries, the various documents at their disposal to study the reign of
scrinia (chancellery bureaux) of the later Roman Emperor Frederick II alone (1212–1250), Byzantine
administration and their magistri (especially the scholars can consult the originals of only around
magister officiorum and the magistri epistularum, 250 such documents for the entire history of the
libellorum and memoriae answerable to him) Byzantine Empire (330–1453), the earliest of which
evolved into a system of eleven sekreta (depart- dates back only to the mid-11th century (leaving
ments), which were responsible for the objective aside the erratic ‘Kaiserbrief of St.-Denis’ from the
evaluation of the many spheres of government 9th century). Only thirty or so imperial documents
and administration. The resultant correspon- have survived in their original form from before
dence was regulated by the asekretai, successors the mid-13th century. Only at this point does
of the old notarioi. They were headed by the pro- the manuscript record slowly become somewhat
tasekretes, who supervised the scribal work of richer. This dire situation changes little even if the
the hypographeis. Occasionally, he would make transmission of copies is taken into consideration
annotations or deletions in red in document texts. in addition to originals. Even then, the number
Besides him, the koiaistor (cf. → 5.2. Government of imperial documents from the entire Byzantine
G.2.) occasionally appears dictating legal novellae. period whose wording is preserved still does not
Close colleagues in the chancellery included the match the number of original documents from the
epi ton deeseon, who processed petitions (deeseis, reign of Frederick II [2]; [3].
anaphorai), and the libellesios, responsible for put- This poor transmission has far-reaching conse-
ting into written form the emperor’s verbal legal quences for our knowledge of the nature and his-
235 5.4. the chancellery, public documents and the written culture of the administration

tory of Byzantine imperial documents, and much lines of the text (month, indiction number, parts
in this area must necessarily remain more or less of the universal year) and wrote the Latin word
obscure, purely because of a lack of study mate- legimus (literally: ‘we have read [it]’) in ornate
rial. That even includes crucial issues such as the script beneath the text to vouch for its factual
origins of the imperial privilege document. accuracy. Thus prepared, the great charter of priv-
ileges was presented to the emperor for signing.
D. Document types and structures This he invariably did in his own hand, by writ-
ing a name formula in red ink. From 1079 to the
D.1. Main types and their evolution fall of the empire, this unvaryingly followed the
D.2. Structure formula + N. N. en Christoi toi Theoi pistos basileus
kai autokrator Romaion ho Doukas, Angelos etc.;
D.1. Main types and their evolution ‘in Christ the Lord, pious emperor and autocrat
In general terms, it can be said of Byzantine of the Romans’) [4146 f.]. Finally, the document was
imperial documents that the originals surviving sealed by hanging a gold seal in a fold (plica) from
from between 1052 and 1451 fall into several main the lower edge, and it was handed to the recipient
groups: the ‘great charter of privileges’ known rolled up.
from the time of Alexios I Komnenos to the end Various forms of annotation are often found
of the empire as chrysoboullos logos (about 150 on the reverse of these documents [634–40]; [8].
originals are preserved); the ‘small charter of privi- One type was the ‘fixing mark’, where an official
leges’ known as sigillion or chrysoboullon sigillion either wrote a text or drew a simple undulating
(only a dozen originals survive from between 1092 line across the joins where sheets of paper or
and 1342) and the prostagma or horismos, a type parchment were glued together, to foil subsequent
of administrative document (of which 60 or so are manipulation (insertion or replacement of sheets).
extant, dating from between the early 13th century Occasionally, fixing marks are also ‘arrangement
and 1445). There are also items of foreign corre- marks’, i.e. the official is using the note to docu-
spondence and foreign treaties [2]; [3]; [11], which ment his part in arranging the charter concerned
from a certain date begin to depart more and (dia tou N. N.). In other cases, these arrangement
more from the form of the imperial act of grace, marks are also placed on the front of the docu-
and legislative texts [4]. ment, beneath the emperor’s signature. Another
As their names imply, the first two types were type found on the reverse of documents is the ‘reg-
furnished with a gold seal that hung down from istration mark’. These were notes made by officials
the lower edge of the document on a ribbon of of the departments of the imperial administration
purple silk. In most cases, this has been lost. In the through which the document passed on its way
form it took between the mid-11th and early 12th to be entered in the registers (katestrothe eis to
centuries, the great imperial charter of privileges sekreton/‘registered in the office’ etc.).
was, more than any other type of document, a The external form of the great charter of privi-
dignified expression of imperial majesty, in accor- leges was already noticeably simplified by the
dance with the ideology of the Byzantine ruler and end of the 12th century (and had probably been
the representational needs of that ideology. It was so since mid-century). The cultivated script and
composed of several sheets glued together, often reserved letter forms were gone, and the text was
reaching a considerable length (up to 7 m), and now written in something akin to the book script
at its head was the invocatio of the Trinity and the of the day, perhaps even everyday script. The
intitulatio of the issuing emperor, written in a lat- verbal invocation, intitulation and introductory
ticework of tall letters. This was followed by the promulgation fell out of use in the 12th century,
introductory promulgation, in Greek but written and by its end the legimus had also disappeared.
in a mixture of Greek and Latin letters, addressed The words written in red and the golden seal, on
to the entire world (+ Pasin hois to paron epi- the other hand, were kept to the last. Parchment
deiknytai sigillion/‘To all those to whom this sigil- replaced oriental paper as the preferred writing
lion is presented’) [9]. material in the 14th century, which also put a limit
Next comes the main body of the document on document length.
text in black ink, written in a minuscule at first The ‘small charter of privileges’, of which there
heavily, then less and less pervaded by letter forms are comparatively few surviving examples, does
reserved to the chancellery. Within the text itself, without the verbal invocation, intitulation and
the scribe left spaces for particular words (mostly introductory promulgation, but has the words in
logos) to be filled in later by the validating official red (here called sigillion), the legimus (until the
(epi tou kanikleiou) in the red ink reserved for the end of the 12th century) and the gold seal. The
imperial chancellery [12]. This official also filled in autograph subscription of the emperor here is not
dating elements omitted by the scribe in the last the signature of his name, but the appending of
5.4. the chancellery, public documents and the written culture of the administration 236

the so-called menologema, i.e. the date by month Those orders, where addressed to an individual,
and indiction (meni N., indiktionos N.), in red ink began by addressing the recipient, then set out the
[10]. Marks were added to these documents in the emperor’s instructions in simple language. They
same way as to the great charter of privileges. often concluded by asserting that the order had
The oldest surviving example of the third main been made di’ asphaleian (‘for the security’) of the
type of Byzantine imperial document, the pros- recipient, or by instructing the official concerned
tagma or horismos, dates back only to 1214. Being to take note of the prostagma di’ asphaleian and
administrative orders, these documents are gen- then pass it to the recipient, or notify him of the
erally brief. They are invariably written on paper order.
(oriental at first, then western), and in the utilitar-
ian script of the day, though sometimes exceed- Bibliography
ingly sketchy and cursive. The prostagma was
usually in horizontal format, with the autograph Sources
menologema in red ink by the emperor as its sub- [1] Aus den Schatzkammern des Heiligen Berges. 115
scription. Before the end of the 14th century, this Urkunden und 50 Urkundensiegel aus 10 Jahrhunder-
is generally the only indication of the document’s ten, 2 vols., edited by F. Dölger, 1948.
date.
Surviving originals show that the prostagma, Secondary literature
unlike the charters of privileges, was folded before [2] Regesten der Kaiserurkunden des Oströmischen
Reiches von 565–1453, vols. 4–5, edited by F. Döl-
despatch. Until the 13th century at least, it bore ger and P. Wirth, 1960–1965 [3] Regesten der Kai-
a wax seal, impressed with the emperor’s signet serurkunden des Oströmischen Reiches von 565–1453,
ring (the sphendone), which probably joined two vols. 1–3, edited by F. Dölger, reedited by P. Wirth
edges of the fold. The prostagma could also bear and A. E. Müller, 21977–2009 [4] F. Dölger, Byz-
the same chancellery marks as described above. antinische Diplomatik. 20 Aufsätze zum Urkunden-
wesen der Byzantiner, 1956 [5] F. Dölger, Ein
D.2. Structure Echtheitsmerkmal des byzantinischen Chrysobulls,
The three types of imperial document described in: Acta Antiqua Academiae Scientiarum Hungaricae
above differed markedly in their internal form. 10, 1962, 99–105 [6] F. Dölger / J. Karayannopu-
los, Byzantinische Urkundenlehre, Abschnitt 1: Die
The ‘great charter of privileges’ generally begins
Kaiserurkunden (HdA 12,3,1,1), 1968 [7] H. Hunger,
with a rhetorically stylized prooemium expressing Prooimion. Elemente der byzantinischen Kaiseridee
a general idea (the emperor as helper and sponsor in den Arengen der Urkunden (WBS 1), 1964 [8]
of all good things, etc.) and leading into the narra- J. Karayannopulos, Zu den ‘διά-Vermerken’ der
tio of the case, which usually concerned such mat- byzantinischen Kaiserurkunden, in: G. De Gre-
ters as the surrender or confirmation of property, gorio / O. Kresten (eds.), Documenti medievali
immunities or the remission of or exemption from greci e latini. Studi comparativi (Atti del seminario,
taxes. Following on from the narratio, the dispo- Erice 1995), 1998, 203–232 [9] O. Kresten, Zur
sitio usually repeated its factual sections verba- sogenannten Pertinenzzeile der byzantinischen Kai-
tim. Virtually unchanged from the 11th to the 15th serurkunde, in: Byzantina 3, 1971, 53–68 [10] O.
Kresten, Μηνολόγημα. Anmerkungen zu einem byz-
centuries, the heavily formulaic document text, in antinischen Unterfertigungstyp, in: MIÖG 102, 1994,
which the emperor regularly referred to himself 3–52 [11] O. Kresten / A. E. Müller, Die Aus-
in the third person (he basileia mou/hemon etc.), landsschreiben der byzantinischen Kaiser des 11. und
concluded with a statement on the handing over 12. Jahrhunderts. Specimen einer kritischen Ausgabe,
of the document, the date and the so-called kra- in: BZ 86–87, 1993–1994, 402–429 [12] A. E. Mül-
tos formula, announcing the emperor’s autograph ler, Die Entwicklung der roten Urkundenselbstbe-
subscription. zeichnungen in den Privilegien byzantinischer Kaiser,
The small charter of privileges was simpler in in: BZ 88, 1995, 85–104 [13] N. Oikonomidès, La
this respect as in its external form. It lacked the chancellerie impériale de Byzance du 13e au 15e siècle,
in: REB 43, 1985, 167–195.
ceremonial prooemium and the kratos formula,
and its text was more in the style of the sober Andreas E. Müller
administrative orders (prostagma, horismos).
6. War and warfare
6.1. The state’s basic attitude toward war depended on the deployment of a sophisticated
6.2. Society and war diplomatic arsenal.
6.3. Strategy This emphasis is reflected throughout the entire
6.4. The navy history of Byzantine foreign relations, as well as in
6.5. Tactics the theory and practice of Byzantine diplomacy.
6.6. Soldiers and generals Diplomacy naturally also had a military side: to
6.7. Weaponry and equipment protect their interests in the → Balkans (15.3.) and
→ Caucasus (15.4.) good relations with the vari-
6.1. The state’s basic attitude toward war ous peoples of the steppe proved to be indispens-
able, because they could be instrumentalized as a
A. General considerations weapon against the enemies of the empire. Such
B. Strategic and ideological purposes contacts were also essential as sources of informa-
tion; great pains were taken to gather clues that
A. General considerations might be important to the security (defence) of
Byzantine generals and rulers were fully aware the empire.
of the correlation between the provision and allo-
cation of resources (soldiers, supply goods, equip- B. Strategic and ideological
ment, livestock, etc.) and the empire’s ability to purposes
repel military attacks or strike back. Wars that were actively planned well in advance
Military manuals and treatises between the were rare, because the empire constantly threated
6th and 11th centuries (e.g. the Strategikon of from one side or another and was therefore in a
Emperor Maurice, written ca. 600, or the Taktika permanent state of military readiness. Reconquer-
of Leo VI, edited in the early 10th century) leave ing former territories was a permanent aspect of
no doubt that the imbalance between Byzantine Byzantine ideological discourse, but accomplish-
resources and those of the empire’s enemies was ing it generally was the result of a spontaneous
understood. Generals were exhorted to decline reaction to an unexpected advantage arising from
battle if conditions were unfavourable in order victories in battle and favourable conditions. In
to avoid unnecessary losses of human life and practice, the potential for reconquering and restor-
resources. Running through these works is the ing lost territories was extremely limited. Strat-
awareness that the Byzantines needed to resort to egy was determined by the interplay of material
feints, stalling tactics and ambushes if they were resources, political convictions and moderating
to give themselves an equal chance of victory. At ideological pragmatism. The principle of Byzan-
the same time, a crucial war aim was to achieve tine warfare was generally not to make a devas-
victory without fighting a decisive battle. It was tating strike, but rather to neutralize the enemy’s
better to win through a combination of delaying potential temporarily by means of attrition, raids
tactics and the skilful exploitation of enemy weak- and counterattacks. Members of the elite and the
nesses, terrain, season and diplomacy. Wars were imperial court may have shared an idealistic view
costly because they drained the labour force. A of the relations between their state and the rest of
state that depended for its basic revenues on the the world, but the strategic approaches of the late
yields of labour-intensive agriculture needed to Roman, then Byzantine Empire did not primarily
avoid war if possible, because this industry, rea- rest on such ideas.
sonably stable though it was in normal conditions, There is little to suggest that wars were fought
was vulnerable not only to natural catastrophes, to obtain resources that could then be used sys-
but also to man-made disasters. tematically for specific strategic purposes – except
The main priority for Byzantine rulers and in the general sense that territorial gains and the
generals was therefore defensive. Their military new wealth that generally resulted from them
planning rested on consistent and logistically were desirable in themselves. Wars were fought to
well-laid foundations, the main purpose of which do as much damage as possible to the enemy econ-
consisted in securing the continued existence of omy and material infrastructure, i.e. to enslave or
the empire by putting limited resources to opti- annihilate its population, destroy its fortresses or
mum use. The high esteem in which skilful and urban buildings and facilities and lay waste to its
prudent diplomacy was held by Byzantine authors countryside. This is not to say that there was never
and the court represents more than just a cultural any strategic goal or farther-reaching motive. One
preference deriving from a Christian aversion to might argue that such lay, for example, behind the
bloodshed. The continued existence of the state accelerated eastward expansion of the 10th century
6.2. society and war 238

and the somewhat later (and closely related) con- officers and men. The presence of an army invari-
quest of Bulgaria in the reign of → Basil II (2.4.). ably brought a plethora of onerous demands, by
Conflicts purely motivated by ideology, how- no means limited to services the local populace
ever, were a rarity. Of course, all defensive wars had to provide to the military. Interventions by
could be justified by an array of ideological ratio- central government into the local economy also
nales, such as a threat to the empire and popula- disrupted the economic balance of a region, for
tion or an assault on the authority of orthodoxy example when artificially low prices were set for
and the divinely appointed patriarch, the emperor the sale of agricultural produce to the military,
in Constantinople and Roman sovereignty. Offen- to the detriment of producers, or when sudden
sive wars were more difficult to justify in the high demand for certain products rapidly inflated
Christian Roman Empire, but the Byzantines were prices for civilians too. The civilian populace was
equal to the challenge when necessary. required to supply troops with various goods, for
Nevertheless, there is no doubt that Byzantine instance baking bread and rusks for them, and also
military thought throughout the empire’s long his- suffered plunder at the hands of undisciplined ele-
tory was dominated by a defensive mentality, and ments of the army. Furthermore, there was always
in view of the strategic situation, it was essential an inherent potential for conflict between soldiers
that it should be. Regardless of the details of its and civilians, and such conflicts seldom turned
contraction after 1204, the Byzantine Empire’s out well for the latter.
inexorable decline mirrored the deterioration of Economic and demographic collapses as a
its ability to muster the necessary resources for result of wars not only affected the inhabitants of
its own defence. Seen in perspective, the military provinces or cities suffering directly from the mili-
strategy became reduced to reacting pragmati- tary action, but also meant a direct threat to the
cally to events in the environs of the empire. The state’s control over resources and to the Church’s
political and ideological dictates of the Christian spiritual authority in the worst affected commu-
Roman Empire were at most a secondary consid- nities. Archaeological and textual evidence of
eration [1]; [2]; [3]. resettlement to safer locations or the flight of pop-
Maps: Map 4, Map 6, Map 8, Map 13; BNP ulation groups from invaders attests to the effects
Suppl. 3, 241, 245 of war in certain regions [212 f.]. It also took a very
long time for the regions that had been particu-
Bibliography larly severely affected to recover. Findings indicate
[1] H. Ahrweiler, Recherches sur l’administration that economic and demographic depression could
de l’Empire byzantin aux IXe–XIe siècles, in: BCH 84, last up to three centuries. The effects were visible
1960, 1–109 [2] J. F. Haldon, Warfare, State and everywhere in daily life – in the construction of
Society in the Byzantine World, 565–1204, 1999 [3] fortified settlements, the decline and abandon-
T. S. Miller / J. S. Nesbitt (eds.), Peace and War
in Byzantium, 1995.
ment of towns and cities, the ever-present forts
and fortresses for protecting key strategic places,
John F. Haldon junctions, passes, valleys and bridges.

B. War and cultural life

6.2. Society and war Wars not only tore apart social and cultural
life, they also altered the structure of everyday
A. War and economic life life. In regions that were regularly affected by war,
B. War and cultural life especially in the east, different types of cultural
traditions evolved. The seasonal nature of battle
A. War and economic life was important here. On both sides of the divide,
War was the normal condition for most of the an unmistakable frontier culture and society thus
Byzantine world throughout long periods of Byz- developed, nurturing a value system and lifestyle
antine history. In the least protected regions of that were in stark contrast to the mainstream
the empire, the ordinary population was directly cultures of the interior or the environs of Con-
exposed to hostile attacks. Their harvests were stantinople, and that also facilitated intercultural
wiped out, their houses destroyed and their live- contacts and traditions.
stock stolen or slaughtered. People taken captive Public acceptance of and enthusiasm for a war
faced death or enslavement. could be manipulated. At Constantinople, the
Yet the presence of friendly troops was also a emperor did this by means of court ceremonial.
burden, because they had to be cared for and sup- Triumphal processions, complete with the display
plied – with materials and livestock and, if they of spoils and captives, hymns of thanksgiving and
were on campaign, with board and lodging for acclamations in which the emperor (along with
239 6.3. strategy

the listening crowds) was reminded of his Chris- 6.3. Strategy

tian duty to defend the orthodox faith and the
empire, served the purpose of achieving approval A. Strategic geography
for a particular war and the emperor’s concomi- B. Recruitment and deployment of provincial
tant obligation to defend orthodoxy (→ 2.1. View of armed forces
the state B.2.2.). C. New strategic conditions
Poets were commissioned to capture the cour- D. New enemies, new problems
age, strategic skill and military success of the
emperor in verse and to declaim it. George of A. Strategic geography
Pisidia, for instance, in the 620s and 630s wrote Strategic aims emerged from the exigencies of
a series of panegyrics on the victories of Herak- given situations. From the 6th century until the era
leios over the Avars and Persians (→ 12.2. Litera- of the Arab invasions (mid-7th century), the units
ture C.2.), and Theodosios Diakonos celebrated garrisoned along and behind the frontiers of the
the victories of Nikephoros II Phokas in a similar empire were called limitanei (‘frontier [troops]’),
way in the 10th century. Other members of the and they were generally composed of older legions
cultural and political elite wrote epistles praising and auxiliary regiments. The ‘field armies’ (comita-
the emperor’s valour in action. The glorification tenses) consisted mostly, but not entirely, of units
of prowess in battle and of individual generals that had existed since the 4th century. They were
or emperors was a routine part of the arsenal of stationed across the provinces at strategic bases
authors of poetry and prose. It enabled war – a often far removed from the frontier, from which
regrettable but necessary means of attaining a goal they could move to counter any incursion into
approved by God – to be painted in a very favour- Eastern Roman territory.
able light. It is unlikely that the many thousands The imperial field armies withdrew to the line
of peasants and citizens who suffered the effects of formed by the Taurus and Antitaurus Mountains
warfare over the centuries shared such a euphoric after the defeats of the late 630s. They were sta-
view [1234–274]; [3]. tioned in various regions according to whether
The degree to which the structure of Late there were sufficient resources available to supply
Antique and Byzantine social system and its the soldiers with provisions etc. The imperial field
historical development were based on warfare army, which was now stationed in northwestern
emerges from the sources. The physical appear- Asia Minor and Thrace, went by the name opsikion
ance of the rural countryside (→ 8. Nature and (from the Latin obsequium, ‘retinue’). The armies
environment), social values and cultural attitudes, of Oriens and Armenia were based in south-central
the form of → government (5.2.), the organization Asia Minor (Anatolikon) and eastern and northern
of the administration and budget (→ 1.5. Public Asia Minor (Armeniakon) respectively. The Thra-
finances and taxation), and themes of → art (11.) cian army was moved to the eastern deployment
and → literature (12.2.) – all these aspects of cul- zone in the mid-630s and stationed in the heart of
tural and material life can be derived from the the rich provinces of western Anatolia as the army
siege mentality of the medieval Eastern Roman of the theme of Thrakesion.
State and its need to wage war. The regions around the Aegean continued to
serve as a source of soldiers, ships and resources. A
Bibliography marine unit called the ‘ship troops’ (karabisianoi)
[1] J. F. Haldon, Warfare, State and Society in the in the late 7th century appears initially to have
Byzantine World, 565–1204, 1999 [2] J. F. Haldon, been stationed on Rhodes (→ 6.4. The navy A.).
Die byzantinische Stadt. Verfall und Wiederaufle- These ship troops became the nucleus of the navy
ben vom 6. bis zum ausgehenden 11. Jahrhundert, of the central Byzantine provinces as the threat
in: F. Daim / J. Drauschke (eds.), Hinter den
Mauern und auf dem offenen Land – Leben im Byz-
to the empire’s exposed coasts and hinterlands
antinischen Reich (Byzanz zwischen Orient und Okzi- sharply intensified. In addition to these units, the
dent 3), 2016, 9–22 [3] F. Trombley, War, Society imperial fleet at Constantinople, which from the
and Popular Religion in Byzantine Anatolia (6th–13th 670s on was equipped with flamethrowers for pro-
Centuries), in: S. Lampakis (ed.), Η Βυζαντινή Μικρά ducing ‘Greek Fire’, was augmented by squadrons
Ασία (6ος–12ος αι.) / Byzantine Asia Minor (6th–12th from the military district of Hellas. The armies of
Cent.), 1998, 97–139. the magistri militum or exarchs of Italy and Africa
(including Sardinia) continued to be serviceable,
John F. Haldon although the African contingent dissolved when
the Arab conquest of North Africa was completed
in the 690s. The Italian forces continued to exist,
albeit with an increasingly limited range of action,
6.3. strategy 240

until the Exarchate of Ravenna fell in the mid- large military units were divided into multiple
8th century. ‘provincial’ armies (a process that began under
This distribution of forces was intended both Leo III in the early 8th century and continued
to meet logistical needs – every army required a under his successors), and partly in consequence
sufficient hinterland to furnish its supplies – and of the reconquest of parts of the southern Bal-
to satisfy strategic requirements for successful kans and the reestablishment of imperial author-
defence. This very defensive strategy, however, ity there (beginning under Irene and Constantine
caused colossal damage to the economy of the VI in the late 8th century). Augmenting the the-
hinterland near the frontier, which was regularly mata along the eastern frontier, a string of special
devastated. Accordingly, a no-man’s-land began military districts was charged with the task of
to appear in the early 8th century between the controlling key routes (kleisourai) such as passes
settled and economically better protected regions and roads that crossed the frontier. In the late 9th
to either side. At the same time, however, the new century, when the empire went on the offensive in
structures prevented the Arabs from creating per- the East again, these districts were converted into
manent bases in Asia Minor itself [2]; [15]; [14]; full-fledged themata [1].
[9208–253].
C. New strategic conditions
B. Recruitment and deployment of The offensive wars fought after the middle of
provincial armed forces the 9th century had a profound impact on the
By the end of the 7th century, the districts where organization of the Byzantine military. Because
these armies were stationed came to be named provincial forces no longer measured up to the
after the armies. These names acquired a clear, demands of offensive warfare, field armies emerged
geographical dimension around 730, although the to replace them, with more complex tactical struc-
names of the Late Antique provinces continued tures and more specialized battle techniques and
to exist alongside them. Such ‘command districts’ weaponry. This process was accelerated by (and
were called strategides (strategis in the singular) accelerated in return) the growth of a social elite
after the title of their commanding general (strat- of officers who owned land in the provinces. The
egos). During the reign of Nikephoros I (802–811), regional dominance and specialist competence of
a series of fiscal reforms were introduced con- this elite lent it political weight even on the level
cerning taxation during military service: soldiers of the imperial government. Units of full-time,
assigned to a particular region were now made professional soldiers became increasingly impor-
taxable there (→ 1.5. Public finances and taxation tant as the state began converting military service
D.). This was the period during which the word in the thema to a monetary payment that was then
thema came to denote the stationing of soldiers used to hire mercenaries.
in the provinces, or, more precisely, the creation By the latter part of the 10th century, the the-
of a new type of military unit in a specially ‘des- mata were of only minor military significance.
ignated district’ (this being the literal meaning of In the late 11th century, the meaning of the term
thema). It was also at this point that the generals thema was reduced to ‘province’, regardless of
of the provincial forces (strategoi) gradually began whether it had any military capacity. After this,
to accumulate powers that extended beyond the the word lost its immediate military connotation
purely military sphere [5723–771]. entirely. Under the Komnenoi (10th/11th cents.)
Local recruitment and the resultant military and until the fall of the empire, the armed forces
identities created a gulf in all themes (themata) in each of these regions were put under the com-
between the regular, full-time soldiers and less mand of a ‘duke’ (Byzantine Greek doux, plural
competent, less well-equipped militia-like ele- doukai), who also functioned as the governor of
ments. A small unit of hand-picked soldiers was his theme (thema) [6]; [12].
established in the 76s0, in the reign of Constan- Defensive strategy was based on the principle
tine V: this was the tagmata (‘regiments’), and it of cutting off attacks at the frontier and beating
rapidly developed into a specialist elite division back invaders with the help of domestic skirmish-
focused on campaigning. Soldiers in the tagmata ing troops. Numerous small forts and fortresses
were better paid and more disciplined than the were built to support local units at nodal points
full-time and part-time soldiers of the thematic along main roads and at locations suited to the
armies. This was the first step towards the recruit- establishment of depots, as well as on frontier
ment of domestic and foreign mercenaries for spe- passes that enemy forces would need to use. These
cial units that that performed military service for installations provided targets for enemy attacks,
the duration of one or more campaigns [8]. but also posed a threat to any invader. A series of
The number of themata grew in step with the frontier districts with autonomous authority was
improvement of the economic and political condi- also established to augment the thematic armies
tion of the empire. It did so partly as the originally in the 8th and 9th centuries. These ‘kleisourar-
241 6.4. the navy

chies’ (kleisourarchiai) emphasize the highly local- After the collapse of the empire as a result of
ized character of defensive response. the Fourth Crusade (1204), the recapture of Con-
A bigger strategic shift followed the successes stantinople from the ‘Latins’ in 1261 restored the
of the 10th century. As the empire now expanded, appearance of unity. From now on, however, the
the new territories were organized in smaller units empire amounted to little more than a ministate –
headed by doukai, each of whom commanded a consumed by murderous feuds between the grand
small mobile field unit. Central regions were aristocratic families, encircled by superior ene-
increasingly demilitarized, being surrounded by mies and largely dependent on a hotchpotch of
a protective ring of smaller military districts and domestic soldiers and foreign mercenary groups.
field armies. The establishment of a system of alli- Wars now were invariably local and defensive,
ances and buffer states – e.g. Armenian princes in except when they were fought internally against
the → Caucasus (15.4.) or the Serbs in the western other Byzantines. Fortifications kept the empire
→ Balkans (15.3.) – minimized the need to bur- alive long after it had ceased to be a functioning
den the public purse with the maintenance of state. Finally, in May 1453, it fell to the overwhelm-
expensive standing armies. Alongside the threat ing force of the army led by the Ottoman Sultan
of military action, it was now also possible to use Mehmed II [16]; [11]; [12]; [4]; [7]; [3]; [13].
economic and cultural influence to secure peace Maps: Map 4, Maps 6–8, Maps 14–16; BNP
along the Danube and in the East. Aiming to hus- Suppl. 3, 239, 241, 243, 249, 251
band their own imperial resources, the emperors
pursued a foreign policy that relied increasingly Bibliography
on the provision of troops by vassals and neigh- [1] H. Ahrweiler, Recherches sur l’administration
bouring powers. de l’Empire byzantin aux IXe–XIe siècles, in: BCH 84,
1960, 1–109 [2] H. Ahrweiler, Byzance et la mer.
D. New enemies, new problems La marine de guerre, la politique et les institutions
maritimes de Byzance aux VIIe–XVe siècles, 1966 [3]
This strategy, however, began breaking down M. C. Bartusis, The Late Byzantine Army. Arms and
in the 1040s, chiefly because civil war and pro- Society, 1204–1453, 1992 [4] J. Birkenmeier, The
vincial rebellions upset the equilibrium between Development of the Komnenian Army, 1081–1180,
diplomacy and military strength, in turn reflecting 2002 [5] L. Brubaker / J. F. Haldon, Byzantium
fateful changes in the social and political structure in the Iconoclast Era, c. 680–850. A History, 2011 [6]
of the empire. The provincial or thematic militias J.-C. Cheynet, The Byzantine Aristocracy and its Mil-
were neglected in favour of regionally recruited itary Function, 2006 [7] S. Franklin / J. Shepard
tagmata, which were better suited to the offensive (eds.), Byzantine Diplomacy, 1992 [8] J. F. Haldon,
wars the empire had been fighting since the 950s. Byzantine Praetorians, 1984 [9] J. F. Haldon, Byz-
antium in the Seventh Century. The Transforma-
Cuts to the military budget, meanwhile, made the
tion of a Culture, 1997 [10] J. F. Haldon, Warfare,
empire more dependent on foreign mercenaries, State and Society in the Byzantine World, 565–1204,
especially from the West – Frankish, Germanic and 1999 [11] J. F. Haldon, Approaches to an Alterna-
Norman knights. Such heavily armoured infantry tive Military History of the Period ca. 1025–1071, in: E.
and cavalry units, however, were far less mobile Chrysos (ed.), Byzantium in the Eleventh Century,
than nimble enemies like the Turks or Pechenegs. 2003, 45–74 [12] H.-J. Kühn, Die byzantinische
In 1071, a combined Byzantine and mercenary Armee im 10. Jahrhundert, 1991 [13] S. Kyriakides,
army led by Romanos IV was defeated near the Warfare in Late Byzantium, 1204–1453, 2011 [14] R.-J.
fortress of Manzikert in eastern Asia Minor by the Lilie, Die byzantinische Reaktion auf die Ausbrei-
troops of the Seljuk Sultan Alp Ārslān. tung der Araber (MBM 22), 1976 [15] J. H. Pryor /
E. Jeffreys, The Age of the Δρόμων. The Byzantine
Although this was, in military terms, far from Navy, ca. 500–1204, 2006 [16] M. Whittow, The
being a catastrophe as such, the civil war and Making of Orthodox Byzantium, 600–1025, 1996.
internal turbulence that ensued enabled the
Turkic invaders to spread out unhindered across John F. Haldon
central Anatolia, and Byzantium would never
recapture this territory in full. From 1080 to 1180,
→ Alexios I (2.5.) and his successors strove in vain 6.4. The navy
to reverse the loss (→ 15.5. The East A.2.).
The wars of this period were increasingly A. Origins
fought with western tactics and equipment, but B. Naval tactics and vessel types
still with elements of a distinctly Byzantine (or
Eastern Roman) tactical organization. Contempo- A. Origins
raries continued to marvel at the order, coordina- The navy of the Eastern Roman Empire in Late
tion and discipline with which the – ethnically Antiquity was comparatively limited. Small flotil-
diverse – Byzantine armies still fought [10]. las were deployed along the Danube. There was a
6.4. the navy 242

naval base at Ravenna, and a flotilla at Constanti- B. Naval tactics and vessel types
nople. Transport ships for the army were usually Little is known of Byzantine naval tactics or
requisitioned from private owners, and may also ship types – except for the late 9th and 10th cen-
have been taken from the fleet that usually sup- turies, when a combination of textual sources and
plied Constantinople with grain. Another transport archaeological finds shed at least some light on
fleet was stationed at what is now Varna when the ships [8]; [5]; [7123–406]. It appears that various cat-
quaestura was established there. Although the dis- egories of warships were used. Galeai were light,
tricts of this administrative region in the Balkans single-masted vessels around 30 m long, with a
did not survive the invasions of the Balkan prov- crew of 50 and benches for 25 oarsmen on each
inces by the Slavs and Avars in the late 6th cen- side. They were used for patrol missions. There
tury, the supply of seafarers, ships and resources were probably at least three types of larger war-
from the Aegean continued uninterrupted. ships: ‘manned’ ousiaka chelandia with a crew
Debate still surrounds the size of the impe- of 108 or 110, ‘fully manned’ pamphyla chelandia,
rial fleets, their composition and the different with between 120 and 160 seamen, and dromones,
types of vessels deployed before the Arab inva- seemingly larger and heavier ships with double
sions. Marine corps known as ‘ship troops’ (kara- the regular crew at 220, and scope for bolstering
bisianoi) began to appear in the late 7th century, that number to 300.
possible modelled on the logistical foundation Based on this information, it must be assumed
of the old Aegean quaestura, which thereby will that the dromon had a larger hull with much
have escaped abolition. Initially, the karabisia- greater draught than the chelandion, but was
noi were stationed on Rhodes, but some of their equipped like the other types with two masts, a
soldiers also came from the mainland. In view of large lateen foresail and a smaller but similarly
the overwhelming threat that Arab navies posed rigged sail amidships. All these ship types could be
to the coastal regions of the empire, especially fitted with flamethrowers for use with Greek Fire.
the Aegean, after the mid-7th century, this unit The terminology, however, was not consistent and
developed into the most important part of the changed over time [7]; [1408–439]; [481 ff., 133–151]; [3];
provincial navy of the Middle Byzantine period. A [2148–154]; [625–86]; [10].
fleet assigned to the theme of Hellas is attested by As with the land forces, it became possible
the 690s. The imperial fleet stationed at Constan- to purchase exemption from military service in
tinople was probably enlarged at the same time. exchange for a monetary payment. This prac-
Beginning in the 650s, it took part in numerous tice, introduced in the late 9th century, led to
skirmishes with Muslim naval detachments, and it a decline in provincial marine resources in the
played an important part in resisting the sieges of coastal regions. Beginning in the reign of Basil II
674–678 and 717/18 [9107–125]. (976–1025), it was cheaper for the emperors to
When the need for potent naval forces was have allies or client states, such as Venice, provide
recognized, the empire strengthened its mari- warships than to finance a standing fleet at Con-
time resources. There were three main marine stantinople. As a result, the imperial navy shrank
themata from around 830 on – of the Aegean, of considerably in the 11th century. In the late 11th
Samos and of the Kibyrrhaiotai – in addition to and early 12th centuries, the empire’s growing reli-
the imperial fleet and the small fleets of Hellas ance on foreign forces with potentially irreconcil-
and the Peloponnese. These measures sufficed to able interests contributed greatly to its political
stem seaborne attacks and occasionally to strike and military travails.
back. The position in the West was quite different. The imperial navy recovered briefly in the
The loss of Carthage and the entire North African reign of → Alexios I (2.5.; 1081–1118). During the
coast in the 690s stripped the empire of its naval first years of his reign, Alexios relied entirely on
bases in that region. The Byzantine navy may still the assistance of the Venetian navy in his conflict
have received support from Sicily. There are also a with the Normans. However, he reorganized the
few indications of Byzantine naval activity on the command structures of the navy, appointing a
Balearic Islands. In the late 840s, however, these new type of supreme commander (megas doux)
islands became a nest of pirates and privateers, and merging the remnants of the provincial fleets
and the Byzantine Empire seems to have lost with the imperial fleet stationed at Constantino-
interest in the western Mediterranean after the ple. Efforts were made to establish a respectable
early 9th century. Byzantium paid a heavy price Byzantine naval presence in the Aegean and Adri-
for the poor repair of its fleet in the 820s, when atic. The Aegean islands were explicitly required
first Sicily, then Crete were invaded: the latter in to provide a certain number of warships and crew
particular soon became a base for constant attacks or to support the imperial fleet with equipment
on the empire’s coasts. and provisions or equivalent monetary payments.
243 6.5. tactics

Manuel I (1143–1180) eased these obligations but 6th century, regiments were organized in various
was still able to assemble and sustain substantial forms. Traditional legions and auxiliaries had sur-
military and transport fleets for major operations. vived the 3rd and 4th centuries. They were sub-
Warships manned by mercenaries still played an divided into alae of (nominally) 500 cavalry and
important role. Manuel’s successors allowed the cohortes of 100 infantry. In many cases, however,
navy to fall into neglect again. cohortes were replaced by new infantry units (aux-
By the end of the 12th century, the empire was ilia) in the reign of → Constantine I (2.2.; 324–337).
helpless in the face of the naval superiority of Ven- A new form of legion comprising 1,000–1,500
ice and the other major Italian maritime republics. men had already been introduced in the 2nd and
There would be only one further, brief attempt 3rd centuries, and this order of size also appears
in the reign of Michael VIII (1252–1282) to re- to have applied to traditional legions by the
establish an independent imperial navy. It faltered 4th century. There were also vexillationes – origi-
as a result of the empire’s lack of resources and nally, roughly between the years 150 and 250, they
was sunk altogether by the disastrous civil wars of were special groupings of many different types of
the first half of the 14th century [1]; [7]. unit that were assembled for special operations
Maps and plans: Map 4, Map 6; Plans 1–2; BNP and ultimately became permanent. In the 4th
Suppl. 3, 237, 239 century, the term vexillatio applied to most of the
cavalry units newly recruited at the time.
Bibliography Although some of these technical distinctions
[1] H. Ahrweiler, Byzance et la mer. La marine survived until the 6th century, the Latin nume-
de guerre, la politique et les institutions maritimes rus and its Greek equivalents (arithmos or tagma
de Byzance aux VIIe–XVe siècles, 1966 [2] L. Cas- – ‘numeral’, ‘unit’) had by then become general
son, Ships and Seamanship in the Ancient World, terms applying to most units [6]; [7]; [11607–686];
1971 [3] R. H. Dolley, The Warships of the Later
Roman Empire, in: JRS 38, 1948, 47–53 [4] E. Eick-
[5211–237]; [4469–495].
hoff, Seekrieg und Seepolitik zwischen Islam und In the mid-7th century, it became urgently nec-
Abendland, 1966 [5] I. O. Kocabaş / U. Kocabaş, essary to adapt Byzantine tactics and strategies in
Technological and Constructional Features of response to the Arab campaigns of conquest. The
Yenikapı Shipwrecks. A Preliminary Evaluation, in: forces stationed on the frontiers are often called
U. Kocabaş (ed.), The ‘Old Ships’ of the ‘New Gate’ a ‘cavalry army’, reflecting the fact that light cav-
/ Yenikapı’nın Eski gemileri (Yenikapı Shipwrecks / alry dominated warfare at this period, even if the
Yenikapı batıkları 1), 2008, 99–183 [6] J. H. Pryor, infantry remained indispensable and played a vital
Geography, Technology and War. Studies in the role in many campaigns. The value attached to
Maritime History of the Mediterranean, 649–1571,
infantry, however, seems to have been in gradual
1988 [7] J. H. Pryor / E. Jeffreys, The Age of the
Δρόμων. The Byzantine Navy, ca. 500–1204, 2006 [8] decline. There was a social aspect to this, as well,
C. Pulak et al., The Shipwrecks of Yeni Kapı and because infantry soldiers came from the poorest
their Contribution to the Study of Ship Construc- backgrounds in the provincial military. The evo-
tion, in: Z. Kızıltan (ed.), Stories from the Hidden lution of infantry tactics after the first Islamic
Harbor. Shipwrecks of Yeni Kapı, 2013, 22–34 [9] C. conquests and the more prominent role of cav-
Zuckerman, Learning from the Enemy and More. alry warfare reflected the strategic situation the
Studies in ‘Dark Centuries’ Byzantium, in: Mill 2, 2006, empire found itself in. Between the late 7th cen-
79–135 [10] C. Zuckerman, On the Byzantine tury and the 9th or early 10th, the distinctions
Dromon (with Special Regard to De cerim. II, 44–45), between different weapon classes were lost. The
in: REB 73, 2015, 57–98.
only heavy cavalry was provided by the tagmata
John F. Haldon at Constantinople.
The size of units on the battlefield varied
according to immediate tactical needs – there was
6.5. Tactics no prescribed strength for the respective forma-
tions. The recommended strength of the smallest
A. From late Roman to ‘Byzantine’ structures infantry unit, the bandon, for instance, ranged from
B. Offensive wars and their tactical and strategic just 150 soldiers to 400. Several tourmai could join
effects battle together as one large division, or divided up
C. Role of the generals into many small formations. The armies usually
D. Influences from outside the empire comprised two or three divisions of tourmai, but
that does not mean that they were all the same
A. From late Roman to ‘Byzantine’ size or of equal strength.
structures In modern terminology, provincial forces were
There were important developments in tactics organized into divisions, brigades and regiments
between the 6th and 11th centuries, and again in (tourmai, droungoi, banda). By the early 9th cen-
the 11th and 12th centuries and later. In the mid- tury, tourma and bandon were also the words for
6.5. tactics 244

districts within the military region concerned, tics of the day. As a result of the need for uniform
illustrating their close association with the fis- tactics with equipment and weaponry to match,
cal resources that financed them. Each tourma the Byzantine infantry of this period resembled
had a headquarters or base in a fortified town its classical Roman ancestor far more closely than
or fortress. The identity of a bandon arose from any other formation of the intervening years.
the place where its soldiers were recruited. Every One new cavalry formation that appeared in
tourmarches (tourma commander) was an impor- the second half of the 10th century was the heav-
tant figure in the military administration of his ily armoured troops of the kataphraktoi or kliba-
province. He was responsible not only for forti- nophoroi. These were protected from head to foot
fications and ramparts, but also for the safety of with lamellar armour, chainmail and padding; so
the local populace and their property [8208–253]; were their horses. Their faces, throats, flanks and
[979, 139–148]; [3723–771]; [16113–125]. fronts were armoured to prevent wounding by
projectiles or sword thrusts. Although relatively
B. Offensive wars and their tactical few in number because of the high costs of their
and strategic effects equipment, this heavy cavalry was the elite unit
The army developed far more aggressive tac- of the imperial field army. They adopted a broad
tics in the 10th century. The main reasons for wedge formation, the sole purpose of which was
this were the need to recruit more professional to break through the front of the enemy cavalry or
soldiers and to operate more efficiently during infantry, disrupting their formation for the infan-
campaigns to which the seasonal thematic armies try and cavalry units in their wake to exploit. Con-
were not suited. This demanded the introduction temporary Byzantine and Arab written sources
of a heavy cavalry corps equipped with lances attest to the impact of this formation on the
and maces, which greatly increased the impact enemy [9220–222].
of Byzantine mounted divisions. Detachments of
disciplined and effective infantry were also reac- C. Role of the generals
tivated, capable of countering enemy infantry and Although these successes resulted from highly
cavalry units. These troops could cover long dis- sophisticated organization and logistics, intel-
tances and function as long-term garrison forces ligent tactics, the use of well-armed, trained and
far away from their home territories. Old division disciplined soldiers and good battlefield morale,
names, titles and ranks were superseded by new, the key to them ultimately lay in the competence
often heavily stylized classicizing terms (e.g. the and effectiveness of the commanding general. An
taxiarchos or stratopedarches replaced the older army is only ever as good as its leader. Although
droungarios or tourmarches). Tactical innovations the tactical organization and training of the Byz-
on the battlefield followed, and commanders now antine armies gave them a conspicuous advantage
had at their disposal flexible and potent armed over much of the history of the empire, incompe-
forces capable of reacting appropriately to a wide tent officers meant the ruin of the system. Depen-
variety of different situations. dence on the charisma and intelligence of army
The striking Byzantine successes attested in his- leaders was one of the most obvious systemic
torical texts particularly for the second half of the weaknesses of the tactical organization, but it also
10th century, under a series of exceedingly capable reflected the imperial system of rank and prece-
generals (e.g. John Kourkouas, Nikephoros Phokas dence, palace intrigue and cronyism. In the mid-
and John Tzimiskes), confirm the evidence of the 11th century, short-sighted planning and internal
tactical treatises. In stark contrast to the preceding political conflict gave rise to serious problems that
centuries, the infantry again occupied a key posi- undermined the effectiveness of the field armies
tion in the army, both in terms of numbers and of and the provincial defence [13197–224]; [974–85].
tactics. At the heart of these tactical innovations Because offensive warfare made it necessary to
was a new kind of formation that combined infan- recruit ever more professional domestic and for-
try and cavalry. Essentially, it comprised a hollow eign mercenaries, many units of the provincial the-
square or rectangle (depending on terrain) that mata fell into neglect, particularly after the death
made it possible to counter encirclement manoeu- of Basil II (1025). A witness to the Battle of Manzik-
vres by enemy cavalry. ert (1071), Michael Attaleiates, who was travelling
One the one hand, this formation provided as a with the imperial retinue, paints a pitiful picture of
place of respite for Byzantine cavalry units under the state of the thematic forces mustered there. He
pressure; on the other, it served as a means of rein- describes the provincial troops as wholly unsuited
forcing the cohesion and morale of the infantry, to military service and states they had neither
which was no longer consigned to a long, deep for- been inspected nor paid nor even supplied with
mation with primarily defensive duties, but rather the usual provisions for years. Yet his report of the
was actively involved in the offensive cavalry tac- campaigns of the dynamic emperor Romanos IV in
245 6.6. soldiers and generals

the years 1068–1071 shows that, when competently The Development of the Komnenian Army, 1081–1180,
led, the imperial armies still had order, discipline 2002 [3] L. Brubaker / J. F. Haldon, Byzantium
and cohesion [10]. in the Iconoclast Era, c. 680–850. A History, 2011 [4]
A. Cameron et al., The Cambridge Ancient History,
vol. 14: Late Antiquity. Empire and Successors, a.d.
D. Influences from outside the 425–600, 2000 [5] A. Cameron / P. Garnsey, The
empire Cambridge Ancient History, vol. 13: The Late Empire,
In the mid-to-late 11th century, Byzantine a.d. 337–425, 1998 [6] K. R. Dixon / P. South-
armies were made up of a mixture of regular mer- ern, The Late Roman Army, 1996 [7] H. Elton,
cenary units from various parts of the empire, tra- Warfare in Roman Europe, a.d. 350–425, 1996 [8]
ditional thematic soldiers and foreign units. The J. F. Haldon, Byzantium in the Seventh Century. The
growing political and cultural influence of the Transformation of a Culture, 1997 [9] J. F. Haldon,
lands bordering on Byzantium (→ 15. The Byzan- Warfare, State and Society in the Byzantine World,
tines and the outside world), which had been held 565–1204, 1999 [10] J. F. Haldon, Approaches to
an Alternative Military History of the Period ca. 1025–
at bay for so long, meant that the empire had to
1071, in: E. Chrysos (ed.), Byzantium in the Eleventh
adapt itself to an ever greater degree to the tac- Century, 2003, 45–74 [11] A. H. M. Jones, The Later
tics of those regions. Although order and disci- Roman Empire 284–602. A Social and Administrative
pline remained the hallmarks of Byzantine armed Survey, 1964 [12] H.-J. Kühn, Die byzantinische
forces, they now comprised a multilingual, multi- Armee im 10. Jahrhundert, 1991 [13] E. McGeer,
ethnic medley of Seljuk, Pecheneg and Cuman Sowing the Dragon’s Teeth. Byzantine Warfare in the
mounted archers; Norman, Germanic and Frank- Tenth Century, 1995 [14] J. Shepard, The English
ish knights; Bulgar, Micrasiatic and Caucasian and Byzantium. A Study of their Role in the Byzan-
(Georgian and Alan) light infantry and imperial tine Army in the Later Eleventh Century, in: Traditio
guards recruited from outside the empire (e.g. the 29, 1973, 53–92 [15] S. Vryonis jr., The Decline of
Medieval Hellenism in Asia Minor and the Process of
Varangian Guard, most of whom after 1070 were Islamization from the Eleventh through the Fifteenth
Anglo-Saxons from England, recently conquered Century, 1971 [16] M. Whittow, The Making of
by the Normans) [14]. Orthodox Byzantium, 600–1025, 1996.
One tactical innovation of this period that
Byzantine soldiers and generals struggled to John F. Haldon
implement was the heavy cavalry assault in the
Norman style. Although they were familiar with 6.6. Soldiers and generals
Norman tactics (Normans had served in the
imperial armies in Italy and Sicily in the 1030s A. Legal status of soldiers
and 1040s), they had rarely had to face them on B. Social status: ordinary soldiers
the battlefield. Most wars in which Byzantium C. Social status: officers
was involved after the 1050s were fought against
lightly armed, extremely mobile enemies like the A. Legal status of soldiers
Turks and Pechenegs [12]; [985–93]; [10]; [15]. Many Soldiers in the Roman world enjoyed spe-
domestic units were reoutfitted and trained in the cial legal privileges, and these were maintained
western way of fighting. The eventual result was throughout the Byzantine era. Their property, like
an army whose tactics and formation differed in that of certain other public servants, was protected
no respect from any other multi-ethnic, multilin- by a law according to the principle in integrum res-
gual mercenary force [2]. One difference, however, titutio (‘restitution of the entirety’ or ‘restitution
lay in the superior order and tactical disposition of of the previous condition’), by which the state
the imperial troops, if they could be properly used replaced property that was lost or damaged if the
by a capable general, as sometimes still happened owner had been absent on state business. This also
even in the late 12th century. was the basis for the principle of compensation
In the mid-13th century, after the conquest of that was laid down in 10th-century legislation on
Constantinople in the Fourth Crusade, Byzantine land owned by soldiers. Active soldiers received
technical terms, titles and unit names were still donativa (‘donatives’, special largesses) and a
used in the steadily shrinking territories of the share of spoils. They and their immediate families
empire, but the tactics, armour and weaponry (and thus all forms of their direct property) were
were no different from those of the surrounding categorically exempt from extraordinary fiscal
cultures and states with which the Byzantines charges and bonded labour. In Late Antiquity and
alternately coexisted in peace or faced in war [1]. the Byzantine era, they paid only the basic tax: the
Maps: Map 6, Map 15; BNP Suppl. 3, 243 land tax until the 7th century, and later the land
tax and hearth tax (kapnikon).
Bibliography The Middle Byzantine distinction between a
[1] M. C. Bartusis, The Late Byzantine Army. Arms ‘military’ and a ‘civil’ household was not a new
and Society, 1204–1453, 1992 [2] J. Birkenmeier, development of the Middle Ages, but dated back
6.6. soldiers and generals 246

to a differentiation that was already customary own equipment and provisions by the time they
in Rome between groups that enjoyed specific entered service. Others made payments in lieu of
exemptions from certain state demands and military service. A third group had to be equipped
groups that did not. The privileges of military sta- and provided for by the thematic administration.
tus and the principle of the restitution of property Military service for thematic troops was seasonal.
thus gave soldiers a distinctly advantageous posi- The system became increasingly fiscalized in the
tion. They and their families also had the right to 10th century, as military service was replaced by
have cases over misconduct in service or offences a financial contribution, each household paying
committed against them tried before their own a sum equivalent to the military service it would
superiors. In Late Antiquity, soldiers even had have provided. Demands varied here: sometimes
the right of praescriptio fori (‘prescription of the a sum of money was requisitioned from each reg-
forum’; i.e. privilege of venue, an objection citing istered household, but sometimes other contribu-
lack of jurisdiction) in criminal cases, but it is not tions, e.g. of livestock, cavalry horses or equipment.
known whether this right continued in practice Every thema had a core force of full-time sol-
after the 7th century. diers stationed in the fortified headquarters of the
All these privileges are codified in legal texts strategos (general) or doux (duke) at a key loca-
and imperial → legislation (4.3.) and can also be tion. These soldiers were either registered own-
found in military treatises. In practice, depend- ers of a strateia (military land) or unregistered
ing on their actual status and position and on volunteers paid out of state taxes. Around the
historical conditions, soldiers were sometimes mid-10th century, it became customary to buy
treated very differently. There is ample indirect oneself out of military service, because the state
evidence that certain categories of soldiers suf- was now increasingly focusing on a professional
fered injustice at the hands of imperial officials, army. There were also units of mercenaries hired
for example, or powerful landowners. Apart from for a limited period or for a single campaign, serv-
their protected status in tax law, soldiers received ing under the command of their own leader (e.g.
no social benefits from the state. There is nothing Franks, Alans, Varangians). In the 12th century,
to suggest the existence of any system of state pen- the emperors began selling licences for tax collec-
sions or annual stipends after the mid-7th century tion (pronoia) to private individuals to finance the
that compare with those still in place in the late military (→ 1.5. Public finances and taxation C.).
6th century. Nevertheless, regular recruitment on the basis of
bounties, wages or annual payments remained the
B. Social status: ordinary soldiers norm. It was only after 1261 and the recapture of
For ordinary soldiers in the provincial field Constantinople from the Latins that the pronoia
armies, this meant accepting (presumably with became more widespread, eventually becoming to
the encouragement of the state) the need to sup- some extent heritable [4]; [894 f.]; [5].
port themselves (with provisions for a limited
period, equipment, weapons and horses) directly C. Social status: officers
from their own household resources wherever Late Antique officers also came from diverse
they were stationed. By the late 8th century, if not backgrounds. Many appear to have worked their
before, this resulted in a considerable number of way up through the ranks, and this probably
provincial soldiers owning land, from which they remained the case throughout the Middle Byzan-
could provide for their own needs. tine period. Wit a few notable exceptions, how-
One popular form of retirement for soldiers ever, the highest ranks were generally reserved for
who had served their time (and others seeking members of a socially and economically privileged
to avoid doing so, or who had deserted) was to elite. In the Late Antique army, promotions to the
enter a monastery. Although most of the attested lower officers’ ranks normally came as a result
instances involve high-ranking officers, there are of long service and/or on merit, and they came
indications that ordinary soldiers also chose this slowly, step by step. Personal advantage and pro-
form of pension, particularly if they had no fam- tection also potentially played an important part
ily. Officially, serving soldiers were forbidden to [9641–643, 676].
enter monasteries, but the evidence of various Various texts that mention promotion on merit
saints’ lives supports the supposition that some (including to officer rank) indicate that the same
did. Apart from providing some financial security, applied in the Eastern Roman military [8270 f.].
monastic life could also be spiritually beneficial, A speech by Constantine VII from the 10th cen-
enabling former soldiers to atone for sins commit- tury explicitly refers to promotion as a means
ted on military service. of rewarding valour or military aplomb. Careers
The social backgrounds of soldiers of the consisted of rising through the available ranks of
Middle Byzantine period varied. Some were so service. Common soldiers could thus ascend to a
wealthy that they had already obtained their higher rank and officers attain independent com-
247 6.7. weaponry and equipment

mands, while thematic or other district command- ‘in the family’, as a result both of the overweening
ers could look forward to the command of a tagma power of the dominant military clans, whose sup-
or similar position [2252]; [3]. port no emperor could afford to jeopardize, and
Most of the officers on whom the sources of the state’s complete military dependence on
provide information appear to have come from these men. The history of the Phokas clan in the
relatively wealthy strata of society, now as in Late 10th century offers the best-known example, but
Antiquity. This was inevitable, given the advan- even a relatively unknown family could bargain
tage offered by the ability to read and write and for posts. The Arabic historian Ibn Hawqal (10th
the possibilities for bearing higher personal costs cent.) observed that the tourmarchai of the impe-
that financial independence created. In the prov- rial army were without exception members of the
inces, a clearly identifiable stratum of officers and aristocracy – the social dividing lines were thus
state officials with land and influence developed, clearly visible even to an outsider [6207–248]; [1413].
practising patronage and building their clienteles This effective monopoly was already the norm
and retinues. Their background gave them the in the 12th century. Although it was still possible
necessary education and experience. The keys to ascend rank by rank by virtue of military prow-
to such careers were family conditions, educa- ess, family background and social status played an
tion and ties (via relatives) to the military or the ever more important part in the allocation of lead-
→ court (1.3.). On the level of individual units or ing military positions [7].
squadrons, merit and competence also played a
part in the disbursal of lower and middle-ranking Bibliography
commands or positions of power [8271].
On a higher level, the administrative machin- Sources
ery (→ 5.2. Government) in both the civil and [1] Byzance et les Arabes, vol. 2/1: Les relations poli-
military spheres was more clearly dominated by tiques de Byzance et des Arabes à l’époque de la
rich families and their protégés. Although literacy dynastie macédonienne. Première période, de 867 à
was an important cultural basis for anyone wish- 959, edited by A. A. Vasiliev, re-edited by M. Canard,
1968 [2] Stephanos Diakonos, La vie d’Étienne
ing to attain high office in the provinces too, and le Jeune, edited by M.-F. Auzépy, 1997.
although it was absolutely indispensable for an
administrative official, it was not so important for Secondary literature
officers. The crucial quality for them was familiar- [3] H. Ahrweiler, Un discours inédit de Constan-
ity with the land, its society, the enemy and its tin VII Porphyrogénète, in: TM 2, 1967, 393–404 [4]
soldiers, although sons of the rich and powerful H. Ahrweiler, La Pronoia à Byzance, in: Structures
tended to have some level of education and could féodales et féodalisme dans l’Occident méditerranéen
certainly read and write. In the late 9th century, (Xe–XIIIe siècles). Bilan et perspectives de recherches
they and their clients had a virtual monopoly on (Kolloquium, Rom 1978), 1980, 681–689 [5] M. C.
senior military posts in the provinces – the result Bartusis, Land and Privilege in Byzantium. The
of a long and carefully nurtured tradition of mili- Institution of Pronoia, 2012 [6] J.-C. Cheynet, Pou-
voir et contestations à Byzance (963–1210), 1990 [7]
tary service and a tightly woven system of interfa-
J.-C. Cheynet, The Byzantine Aristocracy and its
milial patronage and client relationships. Military Function, 2006 [8] J. F. Haldon, Warfare,
Most high-ranking officers came from the State and Society in the Byzantine World, 565–1204,
wealthy provincial landowning class, i.e. families 1999 [9] A. H. M. Jones, The Later Roman Empire
that had accumulated power and wealth over gen- 284–602. A Social and Administrative Survey, 1964.
erations by having members appointed to senior
military positions in the locality. Such provincial John F. Haldon
officers embodied generations of experience and
were ideally qualified for implementing the state’s 6.7. Weaponry and equipment
military policy. The clearest evidence of this
clique’s monopoly over senior military posts is the A. Context
names of the commanding officers of the impe- B. Weapon and armament production
rial tagmata, which with few exceptions identify C. Armour and weapons, 6th–10th centuries
them with a tiny group of families, including the D. Armour and weapons, 10th–11th centuries
Doukai, Skleroi and Phokai, and their relatives or E. The cataphracts of the 10th century
clients [7]. F. The bow
The growth of the Middle Byzantine provincial G. Outside influences
→ elite (1.4.) in the 10th century greatly compro-
mised meritocratic principles in assigning middle- A. Context
ranking and senior military functions. During the Byzantine military technology belonged to a
reign of Leo VI (886–912), leading military officers broad Western Eurasian spectrum. The Byzantines
were increasingly able to keep important positions availed themselves of technological developments
6.7. weaponry and equipment 248

in defensive and offensive weaponry from across weapons produced, and to deliver them to collec-
this macroregion and made their own contribu- tion or distribution centres. An imperial arsenal
tions to them. On the one hand, they adopted and at Constantinople supplemented this system, and
adapted defensive technologies and equipment there may also have been other arsenals of which
from the East; and, on the other, Byzantine types no evidence survives. This method of procure-
of offensive technology found their way to neigh- ment continued everywhere thereafter. The only
bouring cultures. Through its contacts with the exception was that foreign mercenaries generally
various peoples who inhabited or passed through brought their own equipment.
the steppe regions north of the Danube and Black
Sea, the Byzantine Empire maintained lasting C. Armour and weapons, 6th–10th
connections with more distant societies, with the centuries
result that elements of weaponry from Central The influence of the Avar cavalry was unmis-
Asia and even farther east reached the Balkans, takable by the end of the 6th century. Heavy cav-
Asia Minor and the Near East. alry were protected with long chainmail shirts
The stirrup was adopted from the Avars in the (lorikia or zabai), padding, chainmail cowls, neck
6th century, who had in turn brought it from the protectors, spiked helmets and a small round
eastern steppes and China. It also seems to have shield. Elite units also had arm protectors. They
been the Avars who stimulated the much more also wore a long, thick felt cloak and used stirrups,
widespread use of lamellar armour. In the 8th or an innovation adopted from the Avars. Equip-
9th centuries, the single-edged sabre and lamel- ment also included a composite reflex bow, with
lar cuirass (with attendant splinted arm protec- quiver and bow case imitating the Persian style.
tion) were probably also introduced from the A cavalry sword completed the equipment. Horses
steppes via the Khazars and Magyars. Treatises wore front aprons and neck protection made of
of the 6th and especially 10th centuries contain a chainmail, scale armour, felt or leather. Lamellar
plethora of descriptions of Byzantine armour, and armour does not appear to have been widely used,
the picture is further enhanced by archaeological although its design for protecting rider and horse
material, including original finds of weapons and was certainly known.
armour. Illustrations of various types of weaponry Infantry were less well equipped. Elite troops
and armour, from the Byzantine world and its wore zabai, where available, and first-rank sol-
major spheres of influence, also supply important diers had shin protectors (iron or wood, probably
information. splinted) and helmets. All were equipped with a
spear and a ‘Herulian’ sword (ring-pommel sword) –
B. Weapon and armament production the Herulian infantry plays an important role in
Until the 7th century, weapons were produced Procopius’ account of the war in Italy (Procopius,
in a number of imperial armaments factories, Histories, 3,11,11–13; ca. 550), and the sword to some
which maintained a degree of uniformity within degree influenced the fighting technique of this
and between units. However, many items, such as class of troops. The light infantry carried a small
helmets, shields and arrows, were commissioned shield, a slingshot, javelins and a bow with an
from provincial manufacturers, which conversely arrow notch that could fire short, heavy bolts as
promoted a measure of diversity. Such, at least, is well as arrows of normal length (a common piece
the inference from archaeological evidence of the of equipment in the Islamic world, possibly intro-
4th–6th centuries, which also shows that many duced to Byzantium and the West via the Avars).
towns and cities had private centres of produc- ‘Barbarian’ influence is as undeniable here as in
tion independent of the imperial factories, mak- the cavalry. The Strategikon (a military handbook
ing arrows, bows, helmets and components for of the 6th century attributed to Emperor Mau-
artillery weapons. Fortresses and towns near the rice) notes that the infantry wore ‘Gothic’ boots
frontier in particular seem to have practised the and short coats rather than the long, impractical
small-scale manufacture of weapons tailored to ‘Bulgarian’ (i.e. Hunnish) capes, and that some
the needs of the units permanently garrisoned in light infantry were equipped with Slavic spears.
the vicinity. It appears that the basic equipment of heavy and
Although weapons were still produced under light infantry scarcely changed between the 5th
the direction of the central imperial authorities and early 7th centuries, with the exception of
after the mid-7th century, the territorial losses the admission in the Strategikon that most heavy
and radically altered economic conditions of this infantry did not have the more expensive chain-
period meant that most armaments, including mail that first-rank infantry wore in battle. The
weapons, were commissioned or exacted as ser- equipment of the heavy and middle-weight cav-
vices by the thematic or provincial administration. alry was in turn influenced by the steppe peoples
Commanders and provincial governors would and the tactics and armaments of the Sassanid
receive instructions to have a certain number of mounted forces.
249 6.7. weaponry and equipment

D. Armour and weapons, 10th–11th equipped directly by the central government,

centuries were much more heavily armed from the outset
This basic equipment was still unchanged in than the thematic forces, and even their horses
the 10th century, although a series of develop- may have worn armour. A heavy cavalryman
ments in the design and appearance of armour of the mid-10th century, as described in several
and weapons, and also in battle techniques, had sources, wore a lamellar klibanion with splinted
taken place during the 7th, 8th and 9th centu- arm protection, sleeves and gloves, the latter made
ries. The most obvious reflection of the changes of coarse silk or padded cotton. He wore a thick
in fighting techniques may be the introduction of felt cape reaching from waist to knees that was
the single-edged sabre for the cavalry, as well as reinforced with chainmail. Over the klibanion, he
the increased use of felt and padding for protec- wore a sleeveless padded or upholstered jacket
tion. The second change was certainly a function (epilorikon). Head and neck were protected by an
of the aforementioned general shortage of money iron helmet, with chainmail or padding protecting
for equipping the thematic infantry and cavalry. his face. Lower thighs were covered with splinted
Depending on specific financial conditions, the bronze leg armour.
armour provided to provincial cavalry was either The heavy cavalryman’s weapons consisted of
chainmail, lamellar armour or padding. an iron mace with three, four or six flanges on
The waist-length lamellar klibanion was prob- its head (bardoukion), and the standard sword
ably the normal armour, but long chainmail (spathion). The mace was the weapon of choice
overshirts (lorikia) were also worn. Helmets were for cavalry and heavy infantry. Horses were also
probably also standard issue. Some soldiers, how- armoured, outfitted with felt padding with lamel-
ever, probably got by with felt caps and neck pro- lar or scale armour of boiled leather or skins that
tectors. The most common weapons were lances protected the animal’s head, neck, front, flanks
and spears, along with a sword and light cavalry and back. Hooves appear also to have been pro-
shield, supplemented with bows and arrows on tected against projectile injury by means of metal
the Persian model. Light cavalry wore less armour plates.
and carried javelins, bows or both.
Infantry wore padded or lamellar body armour F. The bow
or chainmail shirts. Those who could afford expen- In addition to the regular reflex bow, infantry
sive chainmail or lamellar armour may also have may also have used a variant fitted with a grooved
had horses and been considered as cavalry. Most tube as an arrow guide, allowing short bolts to be
infantrymen, even in the heavy infantry, wore fired off in quick succession. Such a weapon was
felt caps rather than metal helmets. The round, certainly in use in Muslim regions after the 7th
rectangular or triangular shields of the infantry century. It is first mentioned in the Strategikon
were up to 137 cm across, and the round shields of Maurice in the late 6th century. According to
of the light infantry were around 76 cm in diam- later Arab sources, steppe peoples adopted it. It
eter. Light cavalrymen’s round shields were 68 cm is doubtful whether Byzantine soldiers also used
across, heavy cavalrymen’s 101 cm. portable crossbows, although there are indications
Weapons included heavy javelins, various types of such weapons in Late Antiquity (and the much
of maces and battle-axes (single-edged, double- larger variant of this weapon mounted on a stand
edged, edged or pointed etc.) in combination with or carriage certainly remained in use). It is unclear
traditional swords, although not all heavy infantry why the crossbow would not have been used. The
carried one. The standardized infantry spear of answer must be sought in the conditions and char-
the mid-to-late 10th century described in the mili- acter of infantry battle after the late 5th century.
tary treatises seems to have been longer in earlier At all events, the crossbow seems to have been
times and probably reflected the higher status and quite surprising for the Byzantines when they
greater importance of the heavy infantry of that encountered it in the hands of Western soldiers in
period, when these units squared off against heavy the late 11th century.
cavalry and had to fend off enemy spears in their
‘hedgehog formation’. G. Outside influences
Like the Normans and Franks, the Seljuks and
E. The cataphracts of the 10th Pechenegs began to influence the equipment of
century Byzantine cavalry in the 11th century. Byzantine
The elite units of the imperial tagmata and armies continued to equip themselves in their own
later the soldiers of the heavy cavalry, especially way, while the foreign mercenary armies (e.g. Nor-
the small corps of cataphracts (kataphraktoi; mans, Pecheneg, Varangians) arrived and fought in
→ 6.5. Tactics B.) recruited by Nikephoros II Pho- their traditional gear. Over time, especially in the
kas (960–969), had far more massive armour. It 12th century, as more and more foreign mercenar-
is likely that the tagmata, who were armed and ies joined the imperial field armies, the traditional
6.7. weaponry and equipment 250

Byzantine equipment yielded to foreign stylistic Rome, 1993 [2] J. C. N. Coulston, Roman Archery
influences, especially those of Western Europe Equipment, in: M. C. Bishop (ed.), The Production
(even in the 1150s and 1160s, the court of Manuel and Distribution of Roman Military Equipment (Pro-
I already preferred the Western tournament of ceedings of the Second Roman Military Equipment
Research Seminar) (BAR S275), 1985, 220–236 [3]
knights with lances to the traditional horse and K. R. Dixon / P. Southern, The Late Roman Army,
chariot-racing at the Hippodrome) and the Ana- 1996 [4] H. Elton, Warfare in Roman Europe, a.d.
tolian Seljuks. 350–425, 1996 [5] J. F. Haldon, Some Aspects of
As far as it could afford to do so, Byzantine Byzantine Military Technology from the Sixth to the
heavy cavalry modelled itself on its Western coun- Tenth Centuries, in: BMGS 1, 1975, 11–47 [6] J. F.
terparts. The light cavalry, meanwhile, like their Haldon, Warfare, State and Society in the Byzan-
Seljuk and Saracen enemies, continued to fight tine World, 565–1204, 1999 [7] J. F. Haldon, Some
in a traditional combination of lamellar corset or Aspects of Early Byzantine Arms and Armour, in:
armour, padded textiles, boiled leather and felt D. Nicolle (ed.), Companion to Medieval Arms
and Armour, 2002, 65–87 [8] A. B. Hoffmeyer,
and cotton headgear, together with the weapons
Military Equipment in the Byzantine Manuscript of
described above. In fact, by the late 12th century, Scylitzes in the Biblioteca Nacional in Madrid, in: Gla-
Byzantium’s almost complete reliance on merce- dius 5, 1966, 11–160 [9] T. G. Kolias, Byzantinische
naries meant that domestic Eastern Roman units Waffen. Ein Beitrag zur byzantinischen Waffenkunde
were no longer always capable of facing their von den Anfängen bis zur lateinischen Eroberung,
enemies on equal terms. A foreign warlord could 1988 [10] D. Nicolle, Arms in the Umayyad Era.
plausibly attribute Byzantine defeats to the inferi- Military Technology in a Time of Change, in: Y. Lev
ority of their armaments and artillery [1]; [2]; [3]; (ed.), War and Society in the Eastern Mediterranean,
[4]; [9]; [8]; [10]; [11]; [5]; [6134 f.]; [7]. 7th–15th Centuries, 1997, 9–100 [11] D. Nicolle
(ed.), Companion to Medieval Arms and Armour,
2002.
Bibliography
[1] M. C. Bishop / J. C. N. Coulston, Roman Mili-
John F. Haldon
tary Equipment, from the Punic Wars to the Fall of
7. Church and religion
7.1. Doctrinal history, 4th–15th centuries to the Christian faith during the persecutions –
7.2. Sacraments, liturgy and pastoral care into the Church.
7.3. Sanctity, piety and deviance Constantine’s special preference for the Chris-
7.4. Church organization and personnel tians aroused the suspicions of Licinius. When
(non-monastic) tensions between the two emperors intensified,
7.5. Monasticism and monastic institutions Licinius used force against the Christians, giving
7.6. Relations with other churches and religions Constantine a pretext for war. Constantine’s vic-
tory in 324 gave him control of the entire empire,
7.1. Doctrinal history, 4th–15th centuries and he immortalized his triumph by founding a
new capital. → Constantinople (8.10.) was not,
A. The establishment of the Church under the however, planned as a purely Christian city. In
Later Roman Empire addition to churches, it also acquired pagan mon-
B. Discussions on the divinity and nature(s) of uments. Even so, churches built in the new capital,
Jesus Christ (4th–7th centuries) the old capital of Rome and Jerusalem were a very
C. Iconoclasm visible sign of the emperor’s favour and the rising
D. Theological engagement with the Western influence of Christianity.
Church
E. The Palamite Controversy B. Discussions on the divinity
and nature(s) of Jesus Christ
A. The establishment of the Church (4th–7th centuries)
under the Later Roman Empire
The importance of the conversion of Constan- B.1. The debate over the doctrine of Arius
tine (Konstantinische Wende) that heralded the B.2. The dispute over the relationship between
transformation of the Roman Empire into a Chris- the divine and human nature in Christ
tian state is undisputed. In the reign of → Con-
stantine I (2.2.), the Christian Church transformed B.1. The debate over the doctrine of
from a persecuted religious institution into one Arius
that was not merely tolerated, but privileged. The Soon after defeating Licinius, Constantine
question of whether Constantine personally con- found himself faced with a church controversy
verted to Christianity, however, is still vigorously triggered by the teachings of the priest Arius of
debated today. There are Christian and pagan Alexandria, who considered Christ merely ‘of simi-
interpretations of the divine vision that suppos- lar substance’ (homoiousios) to God, but not ‘of the
edly came to Constantine before his victory over same substance’ (homoousios): God alone was God
Maxentius, his rival occupying Rome, at the Battle [7]. Seeking a resolution of this issue, Constantine
of the Milvian Bridge (October 28, 312). How he convened a general (‘ecumenical’) council of more
himself interpreted these events and what reli- than 200 bishops at Nicaea in northwestern Asia
gious convictions he may have drawn from them Minor in 325. This had the effect of putting the
remain controversial [12]. Church on display as an organization that encom-
What is certain is that the ‘Edict of Toleration’ passed all the provinces of the empire. The council
issued in 311 by Galerius, who ruled the eastern half condemned the Arian doctrine and countered it
of the empire, put an end to the persecution of the with the dogma of the Trinity, with God the Father,
Christians initiated by Diocletian in 303. Following God the Son and God the Holy Spirit three-in-one
this, Constantine in the west and Licinius in the and of one and same substance. The First Council
east guaranteed full freedom of conscience to all of Nicaea also finally established the emperor as a
subjects by the famous ‘Edict of Milan’ of 313. Con- crucial element in the edifice of the Church. Chris-
stantine went on to grant the Church far-reaching tian authors went on to develop a Christian → con-
privileges in his half of the empire. The clergy cept of the emperor (1.2.; albeit also incorporating
was exempted from all taxes in 319, and Sunday pagan models) and sought to integrate the empire
was legally established as a day of rest in 321. The into the divine plan of salvation.
emperor, meanwhile, became not only the spon- The debate over Arianism, however, also
sor, but also the director of the Church. In 314, he revealed the limits of the emperor’s ability to
was already affirming the vote of a council he had impose a religious policy. The Arian doctrine by
convened at Arles condemning the Donatist doc- no means disappeared, and continued to gain sup-
trine, which was particularly widespread in North porters (later especially among Germanic groups)
Africa. The Donatists had rejected the readmission [7]. Moreover, Constantine himself showed sym-
of ‘traditors’ – Christians who had not stayed loyal pathy for Arian teachings, as did his successor,
7.1. doctrinal history, 4th–15th centuries 252

Constantius II (337–361). Constantius likewise, at Ephesus in 431, accused Nestorius and his fol-
however, was unable to impose his preferred lowers of strictly segregating the two natures and
doctrinal interpretation in the face of opposition insinuating ‘two persons in Christ’, but there is
from the Trinitarians. Despite these disagree- no evidence that they did. Regardless, the council
ments, however, Christianity continued steadily condemned and deposed Nestorius. His followers
to gain in influence, and its adherents within the subsequently found refuge mostly in the Persian
empire’s elite grew in number. Even Julian (‘the Empire, where a ‘Nestorian’ Church of the East
Apostate’, 361–363), Constantine’s nephew, had to formed [20vol. 1].
face this fact, when he espoused a heavily Neopla- The triumph of the ‘one-nature doctrine’,
tonist, philosophical form of paganism and sought however, was short-lived. Another council met
to curtail the influence of Christians in public and at Chalcedon in 451, soon after Cyril’s death, and
educational life. His early death put an end to such it established a ‘two-nature doctrine’ (dyophysit-
efforts. Valens (364–378), who succeeded him in ism) as mandatory. This declared that there was
the east, returned to Christianity, albeit the Arian a divine and a human nature in Christ, ‘unmixed,
variant. unaltered, undivided and unseparated’. Again,
The Trinitarian doctrine did not begin to gain however, the emperor was unable to enforce gen-
the upper hand until the 370s, not least through eral acceptance of the council’s rulings throughout
the influence of figures like the ‘Three Cappado- the empire. The ‘one-nature doctrine’ remained
cians’ (Basil of Caesarea, Gregory of Nazianzus and strong particularly in the wealthy provinces of
Gregory of Nyssa), and it finally triumphed in the Egypt and Syria, as well as in parts of Asia Minor.
reign of Theodosius I (379–395), who had himself An attempted compromise authored by Emperor
baptized in 380. A Second Ecumenical Council, at Zeno and Patriarch Acacius of Constantinople
Constantinople in 381, declared a new version of in 484 (called the Henotikon), seeking to defuse
the Nicene Creed mandatory for the entire Impe- the debate by suspending the most controversial
rial Church. Finally, a law of 391 not only banned issues, brought some respite, but also led to a
any religious practice at odds with it, but also split between the churches of Constantinople and
ended imperial support for all non-Christian cult. Rome, where the popes were unwilling to deviate
Christianity was now the only state-supported from Chalcedon.
religion. When Justin I withdrew the Henotikon in 519,
he restored the unity of Rome and Constantinople,
B.2. The dispute over the but also reignited the conflict with the supporters
relationship between the divine and of the one-nature doctrine, which became particu-
human nature in Christ larly vitriolic during the reign of → Justinian I (2.3.;
After the death of Theodosius I in 395, the 527–565), although Justinian’s own wife Theodora
west-east divide became permanent, although it expressed sympathy for the miaphysite position.
was still assumed that the empire was entire and She also lent support to clerics of the same per-
singular. Divergent developments also began to suasion, such as Jacob Baradaeus (after whom
make themselves felt in church debates, not least the Syrian Orthodox Church became known as
because of language differences (the dominance of ‘Jacobite’), who set up their own ecclesiastical
Latin in the West and of Greek in the East). The organization parallel to that of the Chalcedonian
fiercest theological disputes in the centuries that Imperial Church. Over the course of the 6th and
followed were fought out in the Eastern Church. 7th centuries, autonomous miaphysite churches
Most revolved around the relationship between were established in Egypt and Syria and out-
the divine and human nature of Christ (Chris- side the empire in Armenia, Nubia and Ethiopia
tology) [23]. The doctrinal dispute here became [20vol. 2]; [14].
intermingled with confrontations between the The reign of Justinian also saw a final ban
rival patriarchates of Alexandria in Egypt, Antioch imposed on all pagan cults, and all remaining
in Syria and Constantinople. pagan educational institutions were closed, includ-
Patriarch Cyril of Alexandria (in office 412–444) ing the Academy of Athens (529). After war with
espoused a ‘one-nature doctrine’ (miaphysitism, Persia devastated the eastern provinces between
which its opponents also called monophysitism), 602 and 630, Herakleios (610–641) tried once more
which held that the divine and human in Christ to restore church unity, this time by means of the
constituted a single nature. Mary could thus also compromise formula known as monotheletism
be called theotokos (‘[she who] gave birth to God’). (which held that Christ had two natures, but only
It was this latter formulation in particular that one will or energy), but this did not gain last-
Nestorius opposed, Patriarch of Constantinople ing support from the miaphysite churches and it
from 428 to 431. Nestorius advocated a doctrine caused another schism between Constantinople
of two natures (one divine, one human) [13]. Cyril and Rome [24]. The Sixth Ecumenical Council,
and his party at the Third Ecumenical Council, held at Constantinople in 680, condemned mono-
253 7.1. doctrinal history, 4th–15th centuries

theletism and made the Chalcedonian Creed The council recognized a theology of icon venera-
mandatory. By now, however, the Arab conquest tion (that the object of worship was not the mate-
of the mainly miaphysite regions in the east of the rial image, but the saint it portrayed) as the official
empire had made agreement less urgent. doctrine [22]. This did not result in a final iconod-
ule victory, however, not least because Irene and
C. Iconoclasm her successors as regent had no military success.
The Arab conquests of the 7th century plunged In 814, Leo V revived the ban on the veneration
the Eastern Roman Empire into the severest crisis of images, and this time the ban was associated
it had ever known. The very survival of the Chris- with a more determined persecution of dissident
tian empire seemed in jeopardy while fortune in views. That provoked determined iconodule resis-
battle favoured the followers of Islam. It was thus tance, especially from the monastic party around
also possible to see the political crisis as a religious Abbot Theodore of the Monastery at Stoudios in
one, which opened existing religious practices to Constantinople. Michael II (820–829) and his son
scrutiny. Such practices included the depiction Theophilos (829–842) continued the iconoclastic
and veneration of Christ and the saints on images, line [18], but Theophilos’ wife Theodora, like Irene
which had become increasingly widespread since before her, had iconodule sympathies. Once wid-
the crises of the 6th century. If Christ was entirely owed and acting as regent for her son Michael III,
human and entirely divine, could the divine be she had iconodulism declared official doctrine at a
portrayed in an image? Scholars formerly summa- synod held in Constantinople in 843.
rized the debate over this question, and in particu-
lar the answer in the negative reflected in imperial D. Theological engagement with the
religious policy of the 8th and 9th centuries, which Western Church
resulted in the temporary banning of the venera-
tion of sacred images (icons) and their destruc- D.1. Conflicts between the Eastern and
tion, as the ‘Iconoclasm’. Western Church before 1000
In more recent studies, critical analysis of the D.2. Schisms and attempted unions,
surviving sources, which exclusively view the ‘bat- 11th–15th centuries
tle of images’ (Greek: eikonomachia) from the per-
spective of the ‘iconodules’ (eikonodouloi, ‘image D.1. Conflicts between the Eastern
worshippers’) who emerged ‘victorious’ from it in and Western Church before 1000
843, has tended to revise traditional viewpoints. Constantinople’s attempts to work out a com-
For example, the Iconoclasm was traditionally promise formula with the miaphysite congrega-
said to have started in 726, when Leo III, whose tions of the East in the 5th–7th centuries (see
background in the eastern frontier region has above, B.2.) had already temporarily disrupted the
led some to suppose that he was influenced by Church communion with the popes. The recon-
the Islamic prohibition of images, had the icon quest of Italy under Justinian in the 6th century,
of Christ removed from the Chalke Gate of the however, meant that Rome was part of the Byz-
Great Palace in Constantinople. This was said to antine Empire, and Greek and Syrian-speaking
have heralded a ban on the veneration of icons. monks from the East maintained a sizeable pres-
In fact, there is no reliable evidence that Leo III ence in Rome until the mid-8th century, when
pursued any systematic iconoclastic policy. In the the political influence of Constantinople began
reign of his son and successor Constantine V, how- to wane after the Lombard conquest of Ravenna
ever, the Council of Hieria near Constantinople in (751). This put an end to the Byzantine Exarchate,
754 condemned the veneration of icons and its just as the papacy was seeking a new protector
leading advocates, such as the theologian John of in the guise of the Carolingian Kingdom of the
Damascus (who lived in what was now Arab ter- Franks. Theological estrangement ensued espe-
ritory) [1]. In this case too, however, scholars now cially as a result of the debate on the veneration
doubt the truth of the sources that report system- of sacred images. Emissaries of the pope took part
atic and cruel persecutions of the iconodules [9]. in the iconodule Council of Nicaea in 787, and the
Leo III and Constantine V seem to have been pop- Frankish Church condemned both eastern doc-
ular with the army and people throughout their trines, iconodulism and iconoclasm, at the Council
reigns, especially thanks to their military successes of Frankfurt in 794. There were also differences in
in repelling the Arabs. ecclesiastical policy and power politics. Over the
Whereas Constantine V and his successor course of the 8th century, the Byzantine emper-
Leo IV (775–780) really did try to curtail the ven- ors stripped the popes of the jurisdiction they had
eration of icons, the regency of the iconodule held since the 4th century over the episcopal sees
Irene on behalf of her son Constantine VI brought in Southern Italy, Sicily and the western Balkans
about a reversal of religious policy, which was (Illyricum) and transferred it to the patriarchs at
completed in 787 at another Council of Nicaea. Constantinople.
7.1. doctrinal history, 4th–15th centuries 254

The coronation of Charlemagne by Pope Leo III Pope Leo IX to assert his claim to jurisdiction. In
in 800 added a new dimension to the political 1050, he named Humberto da Silva Candida Titu-
and ideological confrontation. It was also around lar Archbishop of Sicily. Humberto was the very
this time that disputes between Greek and Latin man the pope had sent to Constantinople in 1054
monks at Jerusalem triggered the first debate over to negotiate with Constantine IX Monomachos
the insertion of the word filioque by some ele- over a possible alliance against the Normans –
ments of the Western Church into the passage of and to discuss the ecclesiastical affiliation of
the Credo that deals with the origin of the Holy Southern Italy. Byzantine ecclesiastical policy at
Spirit (qui ex patre filioque procedit; ‘who from the the time was in the hands of the power-hungry
Father and the Son proceeds’), placing it in both patriarch Michael I Keroularios (1043–1059), who
the other persons of the Trinity and not in God the had recently spoken out against the practices of
Father alone. The Byzantine Church rejected this the Western Church. The meeting between Hum-
as an inadmissible innovation [3]; [10]. berto and the patriarch ended in a heated con-
The estrangement deepened in the second half frontation, as each excommunicated the other.
of the 9th century, as the dispute over the demar- The significance of this so-called ‘Great Schism’ of
cation line between the jurisdictions of the patri- 1054, however, has been overstated. To contem-
archates of Rome and Constantinople became poraries, it was just another milestone in the long
urgent as both sides strove to Christianize the series of ‘breakdowns in communication’ between
Slavic realms. Constantinople sent Constantine- Rome and Constantinople: they did not see it as
Cyril and Methodius to Great Moravia (now Czech the beginning of a lasting split in the Church [4].
Republic and Slovakia) – directly bordering the Far more important in the long term was the
Roman episcopates of Central Europe – at the intensified contact between members of the two
request of its ducal ruler Rastislav, but the Bulgar churches that resulted from the growing presence
Khan Boris-Michael, baptized by the Byzantines of ‘Latin’ Christians in the Byzantine world as trad-
in 864, turned to Rome in the hopes of building a ers and crusaders. The concept of ‘holy war’ was
church independent of his Byzantine neighbours. alien to the Eastern Church, while the crusaders
The conflict with Rome was brought to a tempo- often suspected the Byzantines of collaborating
rary end at another Council of Constantinople with the Muslims. In general, both sides were ever
in 879, when the jurisdictional boundaries were more vividly aware of the differences between
redefined. In accordance with geographical ‘logic’, them. To the Byzantines in particular, however,
the church in Great Moravia was now assigned to the permanent break between the churches was
Rome, and that in Bulgaria to Constantinople [21]. again the result of a political event: the conquest
and sack of Constantinople by the crusaders and
D.2. Schisms and attempted unions, Venetians in 1204 [6147–181]; [16].
11th–15th centuries The Latin Empire, installed in 1204, came to an
However, this settlement failed to address end when Constantinople was recaptured in 1261,
the causes of the growing estrangement between but various powers in Italy were already plan-
Constantinople and Rome. On the contrary: the ning a new crusade against Byzantium. Hoping to
imbroglio of ecclesiastical, theological and liturgi- deprive these efforts of papal support, Michael VIII
cal differences only intensified. The papacy, which Palaiologos (1258–1282) entered into negotiations
claimed comprehensive primacy – far exceeding aimed at restoring church unity. This union, under
an honorific presidency – over the five patriarch- the supremacy of the pope, was recognized by rep-
ates, confronted a patriarchate that was no less resentatives of the Byzantine Emperor at a coun-
‘ecumenical’ in aspiration. The dispute over the cil held at Lyon in 1274. Much of the Byzantine
affiliation of Illyricum and Southern Italy remained populace, however, was vehemently opposed, and
fierce. Differences over the insertion of filioque Patriarch Joseph I (1267–1275) resigned in protest.
in the Credo were exacerbated by the Byzantine Michael VIII used force against opponents of the
rejection of the Roman use of unleavened bread union, but failed to achieve general approval for it.
(azyma) in the liturgy, and in the 13th century, The union lost its political relevance towards the
the western concept of Purgatory became another end of Michael’s reign, and soon after his death
point of contention. There were also differences in a synod chaired by his son Andronikos II (1282–
the practice of faith and in church customs, such 1328) declared it void [19].
as celibacy in the West and priestly marriage in The Byzantine Church of the East, however,
the East, the design of liturgical garments, the per- resumed negotiations with the papacy in the
formance of the sign of the Cross and the rite of 1320s, the political aim this time being to secure
baptism [3]; [10]. military assistance against the Turkic emirates,
Another confrontation broke out when the especially the Ottomans, who were posing an
balance of power shifted in Italy. The weakening ever greater threat to the empire. However, these
of Byzantine authority in Southern Italy enabled negotiations came to nothing. Rome continued
255 7.1. doctrinal history, 4th–15th centuries

to demand recognition of its primacy, while Con- excommunicated. These rulings were confirmed
stantinople saw military aid as a necessary precon- in 1354 [2nos. 2270, 2289, 2324]; [5716–742]. Hesychast mysti-
dition for any negotiations over a church union, cism also spread into the Orthodox world beyond
which from the perspective of the Eastern Church the empire through monastic networks, reaching
could take place only at an ecumenical council Southeastern Europe and Russia [17].
involving all the patriarchs of the East. Even so, Maps and plans: Maps 2–4, Maps 9–10, Map 14;
John V (1341/1354–1391) travelled to Rome and rec- Plans 1–2; BNP Suppl. 3, 227, 229, 239, 249, 251
ognized the primacy of the pope in person, but he
too proved unable to bring about union with the Bibliography
Western Church [11]. The victory of the Palamite
party (see below, E.) worsened the ecclesiastical Sources
conditions for such a step still further. [1] Die ikonoklastische Synode von Hiereia 754, edited
In 1438, as the empire was reduced almost by T. Krannich et al., 2002.
exclusively to Constantinople and faced its
impending downfall, John VIII decided to travel Secondary literature
with Patriarch Joseph II and a delegation of bish- [2] Les regestes des actes du patriarcat de Constanti-
nople, vol. 1: Les actes des patriarces, fascicle 7, edited
ops to a council with Pope Eugene IV at Ferrara. by V. Grumel et al., 1932–1991 [3] G. Avvakumov,
When the patriarch died at Florence, where the Die Entstehung des Unionsgedankens. Die latein-
council had transferred, the emperor succeeded ische Theologie des Hochmittelalters in Auseinander-
in persuading most of the bishops to recognize setzung mit dem Ritus der Ostkirche, 2002 [4] A.
the union. However, fierce resistance flared up Bayer, Spaltung der Christenheit. Das sogenannte
soon after his return from Italy. Even so, the union Morgenländische Schisma von 1054, 2002 [5] H.-G.
remained technically in force until the Fall of Beck, Kirche und theologische Literatur im byzan-
Constantinople in 1453, whereupon Gennadios II tinischen Reich (HdA 12,2,1), 1977 [6] H.-G. Beck,
Scholarios, the ringleader of the anti-union party, Geschichte der orthodoxen Kirche im byzantinischen
Reich (Die Kirche in ihrer Geschichte, vol. 1, Liefer-
was named (in 1454) the first patriarch under
ung D1), 1980 [7] G. M. Berndt / R. Steinacher
Ottoman rule [8]. (eds.), Arianism. Roman Heresy and Barbarian Creed,
2014 [8] M.-H. Blanchet, Georges-Gennadios
E. The Palamite Controversy Scholarios (vers 1400–vers 1472). Un intellectuel
The Palamite Controversy was the last major orthodoxe face à la disparition de l’Empire byzantin,
internal theological dispute in the history of the 2008 [9] L. Brubaker / J. Haldon, Byzantium in
Byzantine Empire. It arose from the Calabrian the Iconoclast Era, c. 680–850. A History, 2011 [10]
scholar Barlaam’s criticism of certain methods of H. Chadwick, East and West. The Making of a Rift
prayer among the monks of Mount Athos. Bar- in the Church. From Apostolic Times until the Coun-
laam found it theologically problematic, given that cil of Florence, 2003 [11] J. Gill, Byzantium and the
Papacy, 1198–1400, 1979 [12] K. M. Girardet, Der
God was categorically beyond perception, that Kaiser und sein Gott. Das Christentum im Denken
Hesychast monks claimed to obtain in a trance a und in der Religionspolitik Konstantins des Großen,
vision of the divine light said to have surrounded 2010 [13] A. Grillmeier, Jesus der Christus im
Christ at his transfiguration (cf. Mt 17,1–13) on Glauben der Kirche, 2 vols. (5 partial vols.), 1979–
Mount Tabor. The monk and future archbishop 2002 [14] P. Maraval, Das Scheitern im Osten. Die
of Thessalonica, Gregory Palamas, defended the Entwicklung der Sonderkirchen im römischen Reich,
Hesychasts, arguing that although the essence in: L. Piétri (ed.), Der lateinische Westen und der
of God could not be perceived, his energies or byzantinische Osten, 431–642 (Die Geschichte des
workings could. Palamas’ opponents in turn saw Christentums 3), 2001, 491–518 [15] J. Meyendorff,
A Study of Gregory Palamas, 1974 [16] É. Patlag-
this distinction between essence and energies as
ean, Die Beziehungen zwischen Konstantinopel und
a dilution of the unity of the three-in-one God Rom von der Mitte des 11. bis zum Ende des 12. Jahr-
established since Nicaea [15]. Nevertheless, Pala- hunderts, in: A. Vauchez (ed.), Machtfülle des Pap-
mas’ opinion carried the day at a synod of 1341. sttums, 1054–1274 (Die Geschichte des Christentums
The debate soon took on a political dimension, 5), 1994, 372–390 [17] G. Podskalsky, Theologie
when civil war broke out between the regency und Philosophie in Byzanz, 1977 [18] T. Pratsch,
of John V Palaiologos and the party of John VI Theodoros Studites (759–826). Zwischen Dogma und
Kantakouzenos (1341/1347–1354). The ecclesias- Pragma, 1998 [19] A. Riebe, Rom in Gemeinschaft
tical partisans around Patriarch John XIV Kale- mit Konstantinopel. Patriarch Johannes XI. Bekkos
kas (1334–1347), who supported John V, declared als Verteidiger der Kirchenunion von Lyon (1274),
2005 [20] W. Selb, Orientalisches Kirchenrecht,
Palamas a heretic, while the Palamites sided with vol. 1: Die Geschichte des Kirchenrechts der Nestori-
John VI. After his victory, John VI had Palamism aner (von den Anfängen bis zur Mongolenzeit); vol. 2:
proclaimed official doctrine at synods held in 1347 Die Geschichte des Kirchenrechts der Westsyrer (von
and 1351. Opponents among the bishops and in the den Anfängen bis zur Mongolenzeit), 1981–1989 [21]
general population were respectively deposed and L. Simeonova, Diplomacy of the Letter and the
7.2. sacraments, liturgy and pastoral care 256

Cross. Photios, Bulgaria and the Papacy, 860 s–880 s, regarded as complete unless it was immediately
1998 [22] H. G. Thümmel, Die Konzilien zur followed by chrismation.
Bilderfrage im 8. und 9. Jahrhundert. Das 7. Öku- The earliest references to infant baptism date
menische Konzil in Nikaia 787, 2005 [23] F. Win- back to the 3rd century. It was obligatory by the
kelmann, Die östlichen Kirchen in der Epoche der
christologischen Auseinandersetzungen (5. bis 7. Jah-
6th. The baptismal formula became established as
rhundert), 1980 [24] F. Winkelmann, Der monen- ‘the servant of God, N.N., is baptized in the name
ergetisch-monotheletische Streit, 2001. of the Father, the Son and the Holy Spirit’. In con-
trast to the West, the Orthodox tradition began to
Johannes Preiser-Kapeller prescribe the threefold immersion of the bapti-
zand, intended to symbolize the three days Christ
7.2. Sacraments, liturgy and pastoral care spent in the tomb. In the Byzantine tradition, the
priest then used the sacred myron (anointing oil)
A. Sacraments to anoint the forehead, eyes, ears, nostrils, chest,
B. Liturgy and the church interior back, hands and feet with the sign of the Cross, to
C. Pastoral care seal the gift of the Holy Spirit [5194].
D. The Church Year
A.3. Matrimony
A. Sacraments In general, Christian doctrine regarded virgin-
ity as more desirable than matrimony, but the
A.1. Content and rites Church followed Paul (1 Cor 7,9) in recognizing
A.2. Baptism and chrismation that marriage had an intrinsic worth, not least as
A.3. Matrimony a safeguard against fornication. The rite of matri-
A.4. Penance mony consisted of the actual wedding and the cor-
onation of the marital couple, the latter becoming
A.1. Content and rites a regular part of the ceremony in the 6th century.
The exact number of sacraments was not fixed The canons of the Quinisext Council (691/92),
in Byzantium until at least the 13th century. Only the Isaurian Ekloge (726) and various patriarchal
at the Council of Lyon (1274) were seven myster- rulings are the most important sources for the
ies specified (baptism, confirmation/chrismation, regulation of the marriage sacrament by state
eucharist/communion, ordination, matrimony, and Church (→ 4.2. Canon law; → 4.3. Legislation
penance and extreme unction), while Theodore B.3.). Marriage required a permit (boulla), which
Stoudites in the 9th century, for example, listed the chartophylax (head of the episcopal or patri-
only six: ‘illumination’ (baptism), synaxis (eucha- archal chancellery; → 7.4. Church organization and
rist), the preparation of the holy chrism, ordina- personnel D.) issued after rigorous controls. The
tion, monastic tonsure and burial. Joasaph of marital age for girls was 12, for boys 14. A second
Ephesus in the 15th century even argued for ten, marriage (after death or divorce) was permitted
adding the dedication of the church, burial and (except for priests), but a third marriage required
the monastic tonsure to the seven identified in the special penance. Consanguineous marriage (to
13th century [5]. One reason for this discrepancy the seventh degree) was forbidden, as was mar-
was a specific theological understanding of human riage between Orthodox Christians and ‘heretics’
participation in the divine, which was seen as a or those of other religions [6116].
single mystery bringing salvation to humankind,
rather than as a number of clearly distinct acts A.4. Penance
and rites [5191 f.]. The sacrament of penance was based on a
number of passages of the New Testament, e.g.
A.2. Baptism and chrismation Jo 20,21–23 (‘Receive the Holy Spirit: If you for-
The requirement of a brief catechesis (instruc- give anyone’s sins, their sins are forgiven; if you
tion) for young Christians awaiting baptism dated do not forgive them, they are not forgiven’.). In
back to the post-apostolic period. Preparations early times, the confession of sins was made pub-
also included a brief fast and the avowal of the licly before the congregation, but private penance
creed. Baptism originally took place in public, then probably began to replace this in the 2nd century
in rooms dedicated to the purpose, known as bap- and certainly did so in the 5th. Monastic com-
tistries. The baptismal candidate (catechumen) munities, particularly after the reforms of Theo-
was only allowed to attend part of the holy liturgy dore Stoudites (9th cent.), performed exagoreusis
and was excluded from the eucharist proper. Cat- (‘speaking out’), whereby the monks confessed
echumens were originally baptized at the Easter their sins to the abbot. It was problematic, though,
vigil, but in the East the rite later also began to be that not all abbots were priests; nor were all cler-
held at other Christian festivals. Baptism was not ics entitled to hear confessions. The patriarch or
257 7.2. sacraments, liturgy and pastoral care

bishop entrusted this task to specially chosen latest. Important changes of the 6th/7th centuries
‘spiritual fathers’ with an aptitude for it [5]. included the introduction of the prothesis (formal-
ized preparation of the bread and wine) and the
B. Liturgy and the church interior insertion of three prayers or antiphons and one
litany in the beginning of the liturgy. The rites for
B.1. Evolution of the rite the Small and Great Entrances were also altered
B.2. The church interior before the end of the 8th century, so that the latter
no longer began outside the church but took place
B.1. Evolution of the rite entirely within it. Elements from the monastic tra-
The liturgy originated from the earliest Chris- dition had also been adopted by the 11th century,
tian gatherings in private houses on Saturdays in including the use of psalms rather than antiphons.
solemn memory of the Last Supper. The commu- The full-fledged Byzantine rite emerged in the 11th
nal meal included the sharing of bread and wine century, replacing the older liturgies of Antioch,
while repeating Christ’s Words of Institution (cf. Alexandria and Jerusalem. It acquired its present
Mt 26,26–28). The sources already record an estab- form in the 14th century [10]; [9]; [7].
lished ceremony requiring the presence of a con-
gregation leader by the end of the 1st century. The B.2. The church interior
texts from the four Gospels that were to be read The basilica became the standard church
during the ceremony were laid down in the 2nd building type in the 4th century. It had several
century. By the time the state officially recognized long naves linking a vestibule (narthex) with the
Christianity in the 4th century, there was already area for the altar and the bishop’s cathedra, thus
a distinction between a general liturgy, in which facilitating liturgical processions. A number of
unbaptized catechumens could take part, and the important modifications were made to church
liturgy of the Eucharist proper [10]. Among the architecture between the 6th and 8th centuries
earliest documented rites (albeit not fully recon- in association with changes to the liturgy. These
structed by scholars) is that of Jerusalem, which included the construction of rooms alongside the
developed in the days of the original Christian bema (raised platform for the altar): the prothesis
congregations and was superseded by the Byzan- to the north (for preparing the Eucharist) and the
tine rite in the 11th century. diakonikon to the south (sacristy for deacons). At
The rite of Antioch is recorded in the late 4th- the same time, the scale of processions within
century Apostolic Constitutions. The liturgy began the church was reduced (→ 11.2. Architecture A.)
when the bishop summoned the Christians, while [7]; [4].
deacons conducted men and women to their Another important element in Byzantine
seats. The reading of Holy Scripture began once church architecture, especially after the Hagia
the bishop had taken up his position, and hymns Sophia, was the cupola (→ 11.2. Architecture A.2.2.).
were then sung (→ 14.1. Liturgical music), followed At first, it was a component of the mausoleum,
by further readings and the bishop’s sermon. At which originally served as the tomb of a martyr
this point, the catechumens left the church and and later often served as a baptistry. The cupola
the doors were locked. The liturgy of the Eucha- represented heaven, from where Christ could look
rist now began, with prayers and litanies and the down and observe the divine liturgy. The separa-
sign and kiss of peace, before the deacons brought tion of the Most High from the congregation was
bread and wine to the altar table to prepare com- also heightened: what had originally been a low
munion. There were regional variations on the barrier became a row of pillars with icons between
precise sequence of events in the rite. At Constan- them. This then evolved into a wall of icons (the
tinople, the ‘Divine Liturgy’ of Basil the Great was iconostasis/ikonostasion), which in the 12th cen-
used, or else that of John Chrysostom, which in tury increasingly began to separate the altar
due course became the most widespread liturgy area from the lay area, ultimately cutting it off
of the Byzantine rite [10]; [9]; [7]. entirely [7].
The ceremonial of the liturgy of the Eucha- Byzantine churches are closely associated with
rist began to become more complex in the late the liturgy in terms not only of their architec-
4th century. Maximos Homologetes described ture, but also of the representations of the divine
the liturgy of the 7th century, already mention- in their wall paintings and mosaics. From a very
ing the Small Entrance (during the liturgy of the early date, Christians decorated the rooms where
catechumens with the Book of the Gospels) and they met with depictions of episodes of the life of
Great Entrance (with the gifts of bread and wine Christ and symbolic scenes. The question of how
in the liturgy of the Eucharist), which acquired far it was possible to portray the divine by mate-
their now familiar forms in later centuries. The rial means was a constant bone of contention
Credo was part of the Great Entrance by 511 at the until the time of the Eikonomachia (8th/9th cents.;
7.2. sacraments, liturgy and pastoral care 258

→ 7.1. Doctrinal history C.). After the Iconoclasm, a 4th and 5th centuries could fascinate their congre-
complete iconographic programme was developed gations and the ‘heathen’ alike. A great many such
for the decoration of church interiors, acquiring homilies were brought together in compilations
its fundamental form in the 11th century. Upper (homiliaria, menologia etc.), especially in the late
levels were decorated with scenes from the life 8th and early 9th centuries and thereafter. Some
of Christ. Lower levels, closer to the worshippers, emperors were great sermonizers, and in contrast
bore images of the saints, the mediators between to other laymen, they could claim the right to give
people and God. Christ as ‘ruler of all’ (pantokra- sermons as an imperial privilege. The compilation
tor) was enthroned in the cupola, accompanied of sermons given over a period of twenty years by
by the Evangelists who wrote of his life, and the Leo VI (886–912), for instance, represents – along-
Prophets who foretold his coming. The area of side that of Theodore Stoudites (9th cent.) – one
the altar for the sacred liturgy, in contrast, tended of the most complete collections of Middle Byzan-
to contain images of the Virgin Mary (theotokos, tine homilies [1].
‘Mother of God’) above the Church Fathers, and In monastic contexts, it became customary
liturgical themes like the melismos (the portrayal at an early date for the heads of communities to
of the Christ child as eucharistic offering) or the deliver sermons on certain days. In the Pachomian
communion of the Apostles. Church interiors thus monasteries of Egypt, the abbots of the individual
harboured a plethora of Christological and theo- houses did so every Wednesday and Friday, and the
logical material (→ 11.2. Architecture A.) [3]. spiritual leader of the whole community preached
once on Saturdays and twice on Sundays. Sessions
C. Pastoral care for spiritual instruction in small groups also were
held every evening. Theodore Stoudites adopted
C.1. Sermons and instruction in the Pachomian tradition and wrote the Great Cat-
the faith echesis and Little Catechesis for his monks. After
Another part of the church, the ambo (chan- his death, the monks read his catecheses after the
cel), was devoted to instruction in the faith (cate- orthros (early Mass) on Wednesdays, Fridays and
chesis). This evolved out of the catechesis of those Sundays. Failure to attend catechesis was punish-
aspiring to baptism (catechumens), as the regular able for monks.
instruction of the faithful also emerged as a func- For fear of the spread of heretical ideas, the
tion of the establishment of the liturgical Church Quinisext Council (691/92) forbade laymen from
Year (in the 3rd and 4th centuries; see below, D.). giving sermons in public. The right to sermonize
Initially, the bishop gave sermons from his cathe- lay in the first place with the bishops and especially
dra (throne) in the apse. Later, the word of God the patriarchs. In addition to traditional homiletic
was proclaimed from the ambo and the sermon topics (economy of salvation and redemption),
was more thoroughly integrated into the liturgy [7]. some authors of the crisis-plagued 14th century
The homily (sermon) had its roots in the ser- broached new themes related to contempo-
monizing of Christ and the Apostle Paul, and its rary social and political problems. The patriarch
original purpose was the exegesis of a passage of could also delegate the task of proclaiming the
Holy Scripture. During the Early Byzantine period, faith to subordinate church officials, and – after
several clerics might give sermons over the course 1200 – particularly to the didaskaloi (‘teachers’)
of a service, but there is no evidence of this in [2689–691, 774–779].
later periods. Sermons took a variety of forms,
and sometimes were even designed as dialogues D. The Church Year
between the sermonizer and people. The kind of Christianity after 400 did more than simply
language used by preachers also varied over his- commandeer public spaces with its church build-
tory. Sermons in the first Christian centuries were ings. The division of the year into periods of feast
still generally delivered in simple language, but the and fasting, of the week into days of work and days
Cappadocian Fathers (Basil of Caesarea, Gregory of rest and of the day into times for prayer and the
of Nazianzus and Gregory of Nyssa) introduced observance of the Mass also resulted in a Christian
the rules of classical rhetoric in the 4th century. reorganization of time itself [8690–693].
Nevertheless, the authors of sermons still tried Sunday was acknowledged as the Lord’s day,
to make their texts as readily comprehensible as and Constantine had already enshrined its obser-
possible. They used analogies from agriculture, vance in law. Wednesday and Friday became
commerce and other spheres of daily life. Accord- established as days of fasting in many regions,
ing to sources of the time, the great preachers of the and Saturday was also a day of fasting in Rome
259 7.3. sanctity, piety and deviance

and possibly Alexandria. Local traditions, how- 7.3. Sanctity, piety and deviance
ever, contradicted one another, the most serious
disagreements flaring up in the 2nd century over A. Sanctity and the veneration of saints
the date of Easter. It became customary for Easter B. Pilgrimage
to be celebrated on a Sunday and on a date other C. Mysticism and mystical practice
than the Jewish Passover (Pesach). Exactly what D. Sanctioned and forbidden forms of piety, magic
date that should be, however, was a constant bone and astrology
of contention, for instance between Rome and E. Heretical movements
Alexandria. An attempt was made at the Council
of Nicaea (325) to establish a uniform method of A. Sanctity and the veneration of
calculation, but it failed to prevent further devia- saints
tions. A fasting period of three (or, after the late All Byzantine saints’ cults began on the local
4th century, six) weeks before Easter became cus- level. A monk to whom miracles were attributed
tomary, and Pentecost (Whitsun) was established after his death, for example, would slowly become
as another fixed point, fifty days after Easter [8]. the focus of a local cult fostered by his pupils or fol-
The first reference to Christmas as the feast of lowers, confined to a single monastery or church.
Christ’s birth on December 25 occurs in a Roman The key mechanisms by which such a cult began to
source of 354. The choice of the date was related to spread, and the saint in question achieved general
the pagan festival of the winter solstice and based recognition beyond the regional level, included
on a 3rd-century calculation. An Alexandrian cal- the composition of a vita and hymns, the celebra-
culation placed Christ’s baptism on January 6, but, tion of the day of a saint’s death, the veneration
at Rome, this was the date on which the Visit of of his relics and the creation of an icon. The icons
the Magi was celebrated (Epiphany) [8]. and images of a saint served to memorialize this
The cult of saints developed parallel to the exemplary individual. The path to sainthood was
liturgical year, and their feast days also found a completed with official recognition, as the Church
place in the Church calendar. Lists of martyrs and declared him an ‘exceptional religious person’. At
their feast days are already attested for the 4th no stage in the Byzantine period was there any
century and were elaborated into comprehensive sophisticated process of canonization. Sanctity
liturgical handbooks like the synaxarion (→ 7.3. became evident, and was affirmed, through gener-
Sanctity, piety and deviance A.). ally posthumous miracles. The final act of recog-
nition was an entry made in the church diptycha
Bibliography or the liturgical calendar (synaxarion), particularly
[1] T. Antonopoulou, Βυζαντινή Ομιλητική. those of Constantinople. The synaxarion of Con-
Συγγραφείς και κείμενα, 2013 [2] H.-G. Beck, Kirche stantinople was composed in the 10th and 11th
und theologische Literatur im byzantinischen Reich centuries, and contains more than 2,000 entries
(HdA 12,2,1), 1977 [3] H. Maguire, The Icons of [1]. Only a few new names were added after these
their Bodies. Saints and their Images in Byzantium,
1996 [4] V. Marinis, Architecture and Ritual in
centuries. A formal ruling of the patriarch and
the Churches of Constantinople, Ninth to Fifteenth synod permitting the cult also became customary
Centuries, 2014 [5] J. Meyendorff, Byzantine in the 13th century [1383–86].
Theology. Historical Trends and Doctrinal Themes, Saints’ lives were texts written with the inten-
21983 [6] É. Patlagean, Ο Ελληνικός Μεσαίωνας. tion of proving the sanctity of their protagonists
Βυζάντιο, 9ος–15ος αιώνας, 2014 (first published in by narrating their pious and ascetic life and mirac-
French 2007) [7] N. N. Patricios, The Sacred ulous deeds. Most narratives of the 2nd to 4th
Architecture of Byzantium. Art, Liturgy and Sym- centuries concerned the sufferings of the martyrs
bolism in Early Christian Churches, 2013 [8] M.-Y. (acta martyrium; ‘Acts of the Martyrs’). They por-
Perrin, Die neue Form der Missionierung. Die Ero-
tray the death (passio) of saints, usually involving
berung von Raum und Zeit, in: L. Piétri / C. Pié-
tri (eds.), Das Entstehen der einen Christenheit, his or her interrogation by an authority, followed
250–430 (Die Geschichte des Christentums 2), 1996, by torture and execution.
667–704 [9] R. E. Taft, The Byzantine Rite. A Short After the 4th century, other saints became the
History, 1992 [10] H. Wybrew, The Orthodox Lit- focus of such works, especially ascetics. The ideal
urgy. The Development of the Eucharistic Liturgy in ‘holy man’ of Late Antiquity [7] lived on the edge
the Byzantine Rite, 22013. of a village or retreated to the desert to come
closer to God. He renounced his family and all
Ekaterini Mitsiou contact with his relations for the sake of Christ.
Cities and monasteries in Egypt, Syria and Palaes-
tina were centres for the production of such hagio-
graphic texts in this period.
7.3. sanctity, piety and deviance 260

The number of surviving saints’ lives declines opponents – especially demons, but also evil peo-
between the 7th century and the late 8th, but Byz- ple [15].
antine hagiography enjoyed its golden age between According to the topical depiction of the vitae,
the 9th and 11th centuries. The saintly hermit was saints generally first won the respect and loyalty
now superseded by the monastery founder as the of a small circle of pupils, before they went on to
preferred type, e.g. Athanasios Athonites or Laz- convince members of their wider social context
aros of Mount Galesios; while the type of the wild not only as moral paragons, but also through the
‘holy fool’ gave way to that of the pious monk, performance of miracles. Often, this ability already
and the type of the former prostitute, such as began to manifest itself in childhood; for others,
Mary of Egypt, gave way to the pious housewife it appeared later. Miracles were expressions of
and mother, such as Mary the Younger of Bizye. A divine mercy, and saints were agents of God’s
pronounced emphasis was also now placed on the power on earth. Through their hands and their
political and ecclesiastical role of the saints and touch, they could channel the power of God and
their influence on emperors and patriarchs. Criti- heal various types of illness. Saints were also dis-
cism of the ‘holy man’ also began to be voiced, par- tinguished by their ability to see the future or read
ticularly in the 12th century. Old saints’ lives were minds. For example, they might warn neighbour-
revised in the Palaiologan period (1261–1453), and ing districts of impending natural disasters and
figures from politics and the Church appeared as invasions. They helped the needy when govern-
saints. A new group of saints in the 14th century ment authorities did not, for instance during fam-
emerged from the ascetic monastic movement of ines or after catastrophes like earthquakes. Luke of
the Palamites, who now dominated ecclesiasti- Steiris, for example, arranged for the distribution
cal life (→ 7.1. Doctrinal history E.). Saints’ social of large quantities of wheat to those in need dur-
background ranged from lowly to aristocratic. ing the famine of 928. In the mid-10th century, pil-
Geographically speaking, they tended between grims from 40 villages gathered and went to Paul
the 4th and 6th centuries to come from different the Younger on Mount Latmos (in western Asia
urban centres, whereas most originated later from Minor) to request help during a drought. Peter of
the countryside or Constantinople [15]. Atroa was said to have filled dry wells with water
Far fewer woman became saints in Byzantium or to have made water pour forth as if from a
than men. After the early period, with its female spring. Many saints supported the poor and beg-
martyrs and ascetics, female saints dwindled in gars through charitable work [16]; [15].
number, particularly after 600. Only a few are One of the most important functions of saints
recorded from the 11th to the 14th century. Rea- (especially monastic saints) was their role as spiri-
sons for this may include the church’s ambiva- tual fathers to simple people – as well as to emper-
lence towards women in general, their exclusion ors and empresses. Basil the Younger in the 10th
from ecclesiastical offices, the greater preponder- century was a spiritual guide to several women in
ance of monks over nuns and the monastic form Constantinople, including Empress Helena, wife
of the coenobium/koinobion, which remained the of Constantine VII. This lent greater weight to the
only acceptable form of monastic life for women recognition of their sanctity after their deaths.
and made the performance of heroic individual
ascetic feats more difficult. B. Pilgrimage
The vitae convey sanctity by means of vari- Pilgrimage, journeying to sacred places, is not
ous motifs (topoi). Such sanctity would have attested on a large scale in Christianity until after
announced itself in a saint’s childhood [1783–92], or 400 (→ 9.7. Pilgrimage). Christianity adopted exist-
even before birth, with various signs and dreams ing traditions, including some existing places of
given first to the mother and then to a wider pilgrimage that were given new meanings. The
circle. The next station was the moment of one’s general organization of the Church also gave more
vocation to asceticism, to retreat from the world concrete form to this type of veneration, especially
or to a life of wandering. The saint’s rejection of to the pilgrimage to the Holy Places of the Holy
the world was symbolized by various initiation Land, notably Jerusalem. The status of Jerusalem
rites (e.g. monastic tonsure and dedication) [17]. was further enhanced by the discovery of the tomb
According to the topoi of the saints’ lives, sanc- of Christ and the Holy Cross in 325. → Constantine
tity developed slowly during years of asceticism, (2.2.) and his successors from the 4th to the 6th
which could take extreme forms. Such self-denial centuries had several large churches built and
and asceticism might be performed on the top of expanded there, including the Church of the Holy
pillars (stylites, ‘pillar-saint’; → 7.5. Monasticism Sepulchre and a basilica on the Mount of Olives,
and monastic institutions B.), in caves, deserts, and others at Bethlehem, on Mount Zion and in
monasteries or towns. Ascetics also had to assert Gethsemane. A particular allure was exerted not
their sanctity in the face of various categories of only by the sites of the life and death of Christ, but
261 7.3. sanctity, piety and deviance

also those of Old Testament, such as Jericho and theologia, i.e. the highest level of knowledge of
the site of the ‘burning bush’ in Sinai (cf. Ex 2,3 f.), God. Like many mystical theologians, however,
where → Justinian (2.3.) had a monastery built in Evagrius came into conflict with official doctrines,
557. Originally dedicated to the Theotokos (mother and he was posthumously condemned as a false
of God), it was rededicated to St. Catherine in the teacher.
11th century [14]. Pseudo-Dionysius Areopagites developed a
Relics of the martyrs also attracted many pil- strict hierarchy of the celestial and terrestrial
grims, e.g. those at the Abu Mena monastery in spheres, with God at the top level followed by the
Egypt and the sanctuaries of St. Nicholas in Myra triad of wisdom, power and peace. After this came
(Lycia) and St. Demetrius and St. Theodora at the angels, then, on the earthly plane, the cleri-
Thessalonica. The more widely the fame of a saint cal hierarchy followed by the laity. In his system,
spread, the greater the number of pilgrims visiting the divine light became progressively weaker as it
his or her place of burial. Apart from the spiritual descended through the levels [5].
aspects, pilgrims also brought distinctly practical Maximos Homologetes developed the theology
financial benefits to churches and monasteries, of Origen and Evagrius within an Orthodox frame-
and sometimes even to entire cities, such as Thes- work. He did not regard humankind as tainted
salonica, where the festival of St. Demetrius was since the expulsion from Eden, but as ever con-
associated with panegyreis that resembled annual nected to God, being the last work of Creation and
fairs [4]. Apart from experiencing the presence a link between Paradise and the material world.
of the saint, pilgrims also wanted to take physi- Although original sin had disrupted this connec-
cal mementos of spiritual power home with them. tion, the incarnation of Christ had restored it [20].
Such memorabilia might consist of small flasks Symeon the New Theologian finally claimed
(ampullae) of oil or myrrh, like those from Jerusa- that the activity of God could be perceived by
lem or the tomb of St. Menas in Egypt [21]. the senses. Sensory perception of the divine, for
Pilgrims of the 4th and 5th centuries not only him, was proof of divine grace. Whoever obeyed
visited the Holy Land, but also journeyed on from and followed all the commandments could attain
there to Egypt, Syria and the Sinai. They used apatheia, although the support of a spiritual father
→ sea routes (9.2.) and → land routes (9.1.) alike. whom the disciple was obliged to obey was always
Major pilgrimage sites were often very close to essential. One would then see God in a vision of
ports or nodes of the road network, and some- light – the same light seen by the apostles Peter,
times such sites were even ‘transplanted’ to loca- James and John on Mount Tabor at the Transfigu-
tions that were more convenient for travel. The ration of Christ [2208–250].
Holy Land and Sinai remained important places Symeon’s ideas exercised a strong influence
of pilgrimage even after the Arab conquest of the on the development of Hesychasm in the late
7th century. Meanwhile, Constantinople itself, 13th and early 14th centuries, a movement associ-
with its many churches holding famous relics, also ated with the abbots Gregory of Sinai and, later,
attracted many pilgrims from across the Orthodox Gregory Palamas. According to the Hesychasts, it
world and the West. Other centres included mon- was possible to attain a connection with God and
asteries and holy mountains, such as Patmos and see his light by means of constant prayer and the
Athos, and cities like Ephesus (John the Theolo- practice of certain breathing techniques (a form
gian) and Thessalonica (Sts. Demetrius and Theo- of meditation). Palamas sought to interpret this
dora) [4]; [14]; [19]. in theological terms as an experience of divine
energies, and this triggered violent ecclesiastical
C. Mysticism and mystical practice disputes – which the Hesychasts ultimately won
Mysticism made it possible to experience God (→ 7.1. Doctrinal history E.). Their teachings spread
not only through logic, but also through intuition throughout the Orthodox world, emanating in
and the senses. The great mystics of the eastern particular from Mount Athos [6].
tradition included Origen (3rd cent.), Gregory of
Nyssa (4th cent.), Evagrius Ponticus (4th cent.), D. Sanctioned and forbidden forms
Pseudo-Dionysius Areopagites (ca. 500), Maximos of piety, magic and astrology
Homologetes (7th cent.) and Symeon the New Individual piety could manifest itself in various
Theologian (ca. 1000) [5]. ways. The veneration of relics was very important,
Evagrius Ponticus was heavily influenced by the arising from a need for direct contact with the
theology of Origen. According to Evagrius’ teach- holy. In addition to visiting tombs, pilgrims also
ing, the human soul could return to God by attain- sought to obtain oils, myrrh and other memora-
ing apatheia (‘dispassion’) and hesychia (‘stillness’) bilia to take home with them (see above, B.). Such
through asceticism. Hesychia allowed the indi- objects also had an apotropaic function that was
vidual to see God, the ultimate aim of which was further emphasized by depictions of the Cross and
7.3. sanctity, piety and deviance 262

the saint concerned. Following the Christianiza- lar points but still stood on the proper foundations
tion of the Roman Empire, they had supplanted of Christianity, heretics (from hairesis, ‘choice’,
magical objects to a certain extent. Rings were ‘course of action’, hence ‘school’, ‘sect’) abandoned
also now decorated with Christian rather than those foundations altogether.
magical symbols. At this period, accusations of heresy were lev-
The veneration of icons also developed into a elled against the adherents of other religions, such
generally permitted form of piety, although when as pagans and Jews, and against movements that
taken to excess (even extending to anthropomor- adopted elements of Christianity into their teach-
phization) it provoked criticism from opponents ings (Gnostics, Manichaeans) or even saw them-
of image-worship, particularly during the Eikono- selves as true Christians, such as the Montanists
machia (8th–9th cents.; → 7.1. Doctrinal history C.). who emerged in Phrygia, Asia Minor, in the 2nd
Later, icons were even enlisted in the performance century. The Montanists followed the teachings
of magical rituals. The mystic Symeon the New of the Church in many respects, but asserted the
Theologian (see above, C.) was criticized by the validity of the annunciation of the new prophet
synod of Constantinople for venerating an icon Montanus and rejected many aspects of the estab-
of his spiritual father, Symeon Stoudites, who was lished church structure. Montanism gained a
not generally recognized as a saint. Private cults of widespread following and, despite repeated per-
this nature stoked fears of emergent heresies [11]. secutions, survived until the 8th/9th centuries.
The State had legislated against sorcerers Overall, there was a plethora of such movements
and astrologers even before Christianization. in the early Christian and early Byzantine cen-
The Church also condemned such practices: the turies. There were also major splits, for instance
Council of Laodicea (363–364) regarded sorcerers over Christological issues (→ 7.1. Doctrinal history
and astrologers as cut from the same cloth. The B.2.), and Chalcedonian and miaphysite churches
Quinisext (691/92) regulated the punishment of emerged, each accusing the other of heresy.
sorcerers and their clients. Priests who turned to Towards the end of this period, John of Damas-
sorcerers were dismissed, while laymen were pre- cus wrote a catalogue of heresies that remained
scribed six years of penance. The canonist Theo- standard for centuries to come. It was even sub-
dore Balsamon in the 12th century and the court sequently found possible to integrate new aber-
decisions of the Patriarchate of Constantinople in rant teachings into John’s system and to name
the 14th century report several cases in which cler- them accordingly by reference to their similarity
ics were involved in magical practices and in which to known sects [10]; [18].
superstition and accepted pious rituals were com- One of the most influential ‘heresies’ of the
bined (e.g. the use of icons or other sacred objects Middle Byzantine period was the Paulician move-
for magical practices). Mention is also made of the ment (named after its invocation of the Apostle
use of magical or astrological texts, some of which Paul and Bishop Paul of Samosata, condemned as
are preserved in manuscripts, e.g. in Codex Vindo- a heretic in the 3rd century). The surviving sources,
bonensis phil. gr. 115 (13th cent.). which reflect only the viewpoints of the hostile
The clientele of sorcerers and astrologers came Byzantine and Armenian Churches, make it dif-
from all social classes. Great interest in astrology ficult to form an objective view of the Paulicians’
could be found at the highest levels of Byzantine actual doctrines and history. While Armenian
society, e.g. in Emperor Manuel I Komnenos (1143– texts see the movement as dating all the way back
1180), at whose court astrological treatises were to the 5th century and accuse it of an ‘adoption-
written. Yet several sorcerers were condemned ist’ doctrine (the human Jesus Christ was adopted
during Manuel’s reign. Both in everyday ritual by God at his baptism), Greek sources identify the
practice and in scholarship, it was difficult to draw origins of the heresy in the eastern provinces of
a clear distinction between what was permitted, the empire in the late 7th century, describing a
tolerated and forbidden. When it was thought that highly dualistic doctrine under Manichaean influ-
the line had been crossed, however, Church and ence, setting a God ruling the immaterial sphere
state often reacted with great severity. of the afterlife against an evil deity that dominates
the material world. The Paulicians thus rejected
E. Heretical movements all external signs of faith and especially the insti-
The first attempts to define universal doctrines tutions and sacraments of the Church.
and to enforce them as mandatory were under- Since the Paulicians’ radical positions brought
taken in the reign of Constantine, and heterodox them into conflict with the state in the eastern
views necessarily had to be regarded as false. The frontier zone of the Byzantine Empire, they with-
Church Fathers, especially Basil of Caesarea in the drew eastwards, where they won the support of
4th century, differentiated two degrees of error. the Emir of Melitene and even established their
Whereas schismatics (from Greek schisma, ‘split’) own ‘state’ in the environs of Tephrike around
departed from the orthodox doctrine on particu- 840. Joining forces with the Arabs, the Paulicians
263 7.4. church organization and personnel (non-monastic)

undertook wide-ranging plundering campaigns as Demetrios, 2013 [5] H.-G. Beck, Das byzantinische
far afield as western Asia Minor between 843 and Jahrtausend, 1994 [6] G. G. Blum, Byzantinische
879, until they were defeated by Basil I (867–886). Mystik. Ihre Praxis und Theologie vom 7. Jahrhun-
Many Paulicians were subsequently resettled else- dert bis zum Beginn der Turkokratie, ihre Fortdauer
in der Neuzeit, 2009 [7] P. Brown, The Rise and
where in the empire, especially in the Balkans, Function of the Holy Man in Late Antiquity, in:
where the movement seems to have persisted JRS 61, 1971, 80–101 [8] M.-H. Congourdeau,
until the 11th century [9]; [12]. Die Glaubensunterweisung in der byzantinischen
In their new settlement areas in Southeastern Kirche, in: M. Mollat du Jourdin / A. Vauchez
Europe, the Paulicians probably influenced the (eds.), Die Zeit der Zerreißproben, 1274–1449 (Die
emergence of a dualist movement in Bulgaria that Geschichte des Christentums 6), 1991, 393–411 [9]
became associated with the name of the priest N. G. Garsoïan, The Paulician Heresy. A Study
Bogomil, who is said to have been active in the of the Origin and Development of Paulicianism in
reign of Tsar Peter I of Bulgaria (927–969). The Armenia and the Eastern Provinces of the Byzantine
Empire, 1967 [10] J. Gouillard, L’hérésie dans
Bogomils also rejected the material world and all
l’Empire byzantin des origines au XIIe siècle, in: TM 1,
its works as of the Devil. A minority of chosen 1965, 299–324 [11] A. P. Kazhdan, Holy and Unholy
ones refrained from sexual intercourse and the Miracle Workers, in: H. Maguire (ed.), Byzantine
consumption of flesh and wine and were cared for Magic (Colloquium, Dumbarton Oaks 1993), 1995,
by the majority of group members. Although the 73–82 [12] P. Lemerle, L’histoire des Pauliciens
Bogomils also came into frequent conflict with the d’Asie Mineure d’après les sources grecques, in: TM 5,
state, they did not embark on large-scale actions 1973, 1–144 [13] R. Macrides, Saints and Sainthood
of violence as the Paulicians had. After the Byz- in the Early Palaiologan Period, in: S. Hackel (ed.),
antine conquest of Bulgaria in 1018, the doctrine The Byzantine Saint, 1981, 67–87 (reprint 2001) [14]
spread to other provinces of the empire, and it P. Maraval, The Development of Holy Sites in the
Byzantine Orient between the 4th and the 7th Cen-
even found followers in elite circles at Constan- tury, in: M. Kazaku (ed.), Egeria. Mediterranean
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condemnation, the movement survived until Mitsiou, Heilige und Mönche in Byzanz. Außen-
the 15th century. From its heartland in western seiter oder Leitfiguren?, in: Ostkirchliche Studien 59,
Southeastern Europe, Bogomilism is also said to 2010, 215–238 [16] R. Morris, Monks and Laymen
have influenced the emergence of the Cathars in in Byzantium, 843–1118, 1995 [17] T. Pratsch, Der
Italy and France. Its influence on the teachings of hagiographische Topos. Griechische Heiligenviten in
the ‘Bosnian Church’, which had an independent mittelbyzantinischer Zeit, 2005 [18] D. J. Sahas,
existence from the 12th to the 15th century, is dis- John of Damascus on Islam. The ‘Heresy of the Ishma-
elites’, 1972 [19] A.-M. Talbot, Pilgrimage in the
puted [3].
Eastern Mediterranean between the 7th and 15th Cen-
Canon and secular law forbade those con- turies, in: M. Kazaku (ed.), Egeria. Mediterranean
victed of heresy to hold any public or ecclesias- Medieval Places of Pilgrimage, 2008, 37–46 [20] M.
tical office, and they were also unable to marry Törönen, Union and Distinction in the Thought
officially. Orthodox Christians were required to of St. Maximus the Confessor, 2007 [21] J. Witt,
avoid contact with them as far as possible. Pres- Werke der Alltagskultur, Teil 1: Menasampullen (Sta-
sure and violence were employed to convert such atlichen Museen zu Berlin – Preußischer Kulturbesitz,
groups to Orthodoxy, even where they had not Skulpturensammlung und Museum für Byzantinische
joined together in sufficient numbers to question Kunst, Bestandskataloge 2), 2000.
the authority of Church and state. If such coer-
Ekaterini Mitsiou
cion failed, they might be punished by incarcera-
tion, banishment or death. Church congregations
were ‘immunized’ against heretical teachings by 7.4. Church organization and personnel
sermons refuting them [8408]. (non-monastic)
Maps: Maps 9–10; BNP Suppl. 3, 229
A. The patriarchate
B. The episcopate
Bibliography
C. Priests and other degrees of ordination
D. Ecclesiastical administration and offices
Sources
[1] Synaxarium ecclesiae Constantinopolitanae (Pro- E. Assemblies: Synods and councils
pylaeum ad Acta Sanctorum Novembris), edited by F. The Church and state power
H. Delehaye, 1902 (reprint 1985).
A. The patriarchate
Secondary literature As the episcopate became established as leading
[2] I. Alfeev, St. Symeon the New Theologian and central authority of the Church in the 2nd century
Orthodox Tradition, 2000 [3] D. S. Angelov, The (see below, B.). particular cities that served as
Bogomil Movement, 1987 [4] F. A. Bauer, Eine centres of the secular administration gradually
Stadt und ihr Patron. Thessaloniki und der Heilige acquired a higher honorific status. The authority
7.4. church organization and personnel (non-monastic) 264

of the bishop of Rome as ‘bishop-in-chief’ over the Constantinople, whom the sultan recognized as
western prefectures of the empire (including North the sole supreme head of the Orthodox Christians
Africa) and Illyricum, that of the bishop of Alexan- in his empire, profited from this position until the
dria over Egypt and that of the bishop of Antioch emergence of new national patriarchates in the
over the diocese of Oriens (Syria) was transformed 19th century [16]. In 1448, however, the Russian
into jurisdictional competence after the Council of metropolis (seat originally at Kiev before moving
Nicaea (325). The new capital of Constantinople to Moscow in the 14th century), hitherto under the
was incorporated into this system at the council authority of Constantinople, effectively declared
held there in 381, receiving jurisdiction over the itself autocephalous, partly in response to Con-
dioceses of Asia Minor and the diocese of Thrace stantinople’s entry into union with Rome, which
(eastern Balkans). The Council of Chalcedon of 451 it rejected (→ 7.6. Relations with other churches
finally established the ‘Pentarchy’, in which the and religions D.).
senior bishops, now five in number with the addi-
tion of Jerusalem, were called ‘patriarchs’ and were B. The episcopate
equal in rank, but stood in an honorific hierarchy The leadership of bishops over Christian con-
of seniority (Rome, Constantinople, Alexandria, gregations became established in the 2nd century.
Antioch, Jerusalem) [9545–556]. The single patriarch Thereafter, the importance of bishops was empha-
in the West thus had four counterparts in the East. sized across the entire spectrum of ecclesiastical
In the East, the patriarch of Constantinople sought life. A bishop was seen not only as an successor to
to emphasize his higher honorific status with the the Apostles, but also as a likeness of Christ, espe-
attribute ‘ecumenical’, which in turn led to discord cially in his liturgical function and as the ‘fount’
with Rome. of all priestly work in his diocese. Ecclesiastically
The structure of the Church in the East became speaking, no one outstripped the degree of ordi-
even more complicated after 600, as parallel patri- nation of a bishop. Within the higher echelons of
archates were founded by non-Chalcedonian the church hierarchy, i.e. among deacons, priests
congregations in the empire at Alexandria and and bishops, the special status of bishops was
Antioch, and outside it in the form of the katho- emphasized insofar as a bishop had to be elected
likoi of the Armenians and the eastern Syrian and consecrated by several bishops. He held the
(‘Nestorian’) Church in the Sassanid capital Ctesi- supreme teaching office (sermon), pastoral office
phon [20]. Even after the Arab conquest of the 7th (supervision of all clergy, pious foundations and
century, a Chalcedonian hierarchy was preserved monasteries) and judicial office in his diocese. He
with patriarchs of Alexandria, Antioch and Jerusa- also had the exclusive right to ordain deacons and
lem, even though at various times these dignitar- priests [19]; [13].
ies resided in imperial territory, while their seats The canon law conditions for admission to the
were under Arab occupation. Orthodox patriarch- clergy applied in greater measure to the office of
ates proliferated again as states hostile to Byzan- bishop. It was reserved to baptized, male Ortho-
tium emerged in Southern and Eastern Europe, dox Christians who had to be physically, mentally
determined to secede from the direct ecclesiasti- and morally healthy, of good reputation and of at
cal supremacy of Constantinople. least the prescribed minimum age: 35 in the reign
A short-lived Bulgarian patriarchate recognized of Justinian, later 30. A candidate’s knowledge of
by Constantinople under military pressure existed church doctrine and his general level of education
from 927 to 1018, when the Byzantine conquest were thoroughly examined at the synod responsi-
of Bulgaria put an end to it. A Second Bulgarian ble (see below, E.), as was the compatibility of his
Empire rose in 1185, however, and its ruler Ivan life as so far lived with episcopal dignity. Celibacy
Asen II established a new patriarchate, whose was finally prescribed for bishops at the Quinisext
autocephaly (autonomy) Patriarch Germanos II Council of 691/92. If a candidate was married, he
Nauplios of Constantinople, in exile in Nicaea, had to become a monk and separate from his wife.
recognized for diplomatic reasons in 1235. As a result, it became customary for monks to be
The autocephaly of the Serbian Church as ordained as bishops. During the 11th and 12th cen-
an archbishopric was also recognized in 1219. In turies, some bishops were still recruited from the
1346, however, when the Serbian ruler Stefan IV patriarchal clergy of Hagia Sophia, but after 1200,
Dušan elevated it to a patriarchate without con- the custom of ordaining monks became the rule.
sulting Constantinople and gave it authority over Spiritual and personal suitability aside, the selec-
several bishoprics that were actually affiliated to tion of bishops also always depended heavily on
Constantinople, a rupture of the church commu- the favour of the emperor, other secular officials
nion between Byzantium and Serbia ensued, last- and church authorities [15]; [17].
ing until 1375 [16]. The Ottoman conquest then Strictly speaking, the electorate was the bish-
put an end to the Bulgarian patriarchate in 1393 ops of the ecclesiastical province concerned,
and Serbian autocephaly in 1459. The patriarch of presided over by the metropolitan (and for met-
265 7.4. church organization and personnel (non-monastic)

ropolitans, the patriarch and the Constantinople special episcopal services, the hypodeacon had no
synod). Over the centuries, however, the partici- specific function in the liturgy, and his office often
pation of the clergy and congregation evolved. At served merely as a stepping stone from anagnost
first, they had to affirm the election by giving their to deacon. The anagnost, for his part, was respon-
consent [19]. The participation of the people was sible for the readings and assisting during certain
quickly limited to their most eminent representa- parts of the service. In preparation for divine wor-
tives. → Justinian (2.3.) in 546 established that the ship and especially for receiving communion,
clergy and the most prominent citizens should priests and deacons had to fast and practice sexual
submit a list of three candidates to the metropoli- abstinence at least on the preceding day [11].
tan synod, which would then elect the most wor- Qualifications for these orders were physical
thy candidate. The Church, however, increasingly and mental health, orthodox faith and a respect-
disdained lay participation, and simple election by able lifestyle, particularly with reference to obser-
the metropolitan synod became the norm [17]. vance of the ecclesiastical marriage rules, although
Within the episcopal degree of ordination, all clerics other than bishops were permitted to
those ordained in principle had equal rights. Hier- marry. They had to do so, however, before they
archical differences, however, arose in regard to were ordained hypodeacon. Degrees of ordina-
the scope of judicial competence. The Council of tion from hypodeacon up were prohibited from
Nicaea of 325 already stipulated the special role marrying, unlike the laity. The minimum age for
of the bishop of a provincial capital (metropolis), ordination as anagnost or hypodeacon was 20, as
and the importance of metropolitans continued to deacon 25 and as priest or bishop 30. Although
grow over the course of the 4th century. Metropoli- women were ordained as deaconesses in the early
tan dioceses originally mirrored secular provinces, centuries and occasionally even as late as the 12th
but ecclesiastical provinces also continued to exist century, ordination was later reserved exclusively
even after they had ceased to exist as divisions of for men [14].
the state administration. The metropolitan was Certain occupations were excluded from ordi-
the senior bishop of his region and was respon- nation, including actors, innkeepers and surgeons.
sible for supervising all bishops in his ecclesiasti- By the same token, clerics were not permitted to
cal province, just as the patriarch was supposed practise these professions, whereas some pursued
to direct all metropolitans in his region [15]; [17]. a trade or worked their fields in the countryside.
As a rule, every large town had a bishop in the They were sometimes given land by the Church to
Early Byzantine period, so that in the 6th cen- cover their material needs. There were also spe-
tury, the episcopate numbered over 900 members cial incomes for clergymen who had positions in
(approximately in line with the list of Hierocles the administration or conducted episcopal liturgy,
and later registers of bishoprics) [1]. Several epis- as well as various gratuities (money, foodstuffs)
copates disappeared in the turmoil of the 7th and from the congregation, including for the adminis-
8th centuries, and many bishops became unable to tration of sacraments. In addition to the prestige
visit their own sees, which were no longer under associated with service at the altar, clerics were
Byzantine control, a situation that was exacer- also exempt from military service and could be
bated after the Turkic conquest of Asia Minor in tried only before ecclesiastical courts. The main
the 11th century and the further territorial losses of source of information on the living conditions of
the 13th and 14th centuries. Nevertheless, the Byz- the ordinary clergy derives from incidences of mis-
antine Church succeeded in preserving the core of conduct and deviation from norms, which became
its episcopal structure after 1453 [17]. matters for church jurisdiction and were therefore
recorded in writing [11].
C. Priests and other degrees of
ordination D. Ecclesiastical administration and
The Quinisext Council (691/92) largely finalized offices
ecclesiastical regulations for the clergy [3]. The To support him in pastoral care and adminis-
bishop stood at the apex of the higher degrees of tration, the bishop had a dedicated staff, generally
ordination, above priests and deacons. Priests and recruited from the clergy. After 1100, this staff was
deacons could be ordained only by a bishop, while headed by six functionaries, some of whose posts
a priest could, with the permission of the local are already attested in the Early Byzantine period:
bishop, ordain the minor orders of the hypodea- (1) the oikonomos, responsible for managing
con (subdeacon) and anagnost (reader). In wor- church assets, (2) the sakellarios, responsible for
ship, the priest was responsible for the liturgy and the monasteries under the bishop’s jurisdiction,
the administering of the sacraments. Although he (3) the skeuophylax who managed the ecclesias-
alone was empowered to administer them, he was tical treasury, including its liturgical equipment,
generally assisted by a deacon, particularly in the (4) the chartophylax as head of the chancellery,
recitation of the litanies and the Gospel. Except at (5) the sakkeliou responsible for parish clergy
7.4. church organization and personnel (non-monastic) 266

and (6) the protekdikos as representative of those politans and archbishops present in the capital).
accused in trials before the episcopal court. The Originally convened twice a year (June and Sep-
chartophylax was particularly important as the tember), the patriarchal synod became a perma-
‘right hand’ of the bishop. In the bishop’s absence, nent institution (certainly from the 13th century
he presided over the episcopal court, and he rep- on). The synod elected the patriarch and metro-
resented the metropolitan at the provincial synod politans and could promote bishops to a higher
for the election of the bishop and verified and rank (metropolitan or archbishop), found new
administered the testimonies in support of candi- metropolises, fuse dioceses or relocate episcopal
dates for ordination [7]; [12]; [8]. sees. It had jurisdiction over all metropolitans,
There were also representatives of individual archbishops and even the patriarch. As far as the
churches and dioceses, such as the protopresby- laity was concerned, the Church considered itself
ter or protopapas of the episcopal church and the responsible for all matters of religious life and
protopapades of particular parishes. Bishops might morality. The most important field here was the
have a synkellos (literally ‘cellmate’; originally he complex of marriage law. In the 14th and 15th cen-
shared the bishop’s monastic cell as a special con- turies, as the secular legal system decayed, greater
fidant), or several synkelloi under one protosynkel- recourse was made to ecclesiastical jurisdiction at
los, to assist them with their personal agendas. Constantinople [18].
There were sometimes also other liturgical and A ‘great synod’ or council was a distinct second
administrative functionaries, as the size of a bish- form of patriarchal synod, to which all metropoli-
opric’s staff naturally depended on its wealth [7]; tans of the patriarchate were invited to decide on
[12]. The personnel of the Great Church of the matters of particular importance. It was responsi-
Patriarch of Constantinople, Hagia Sophia, is par- ble for the fundamental regulation of religious life
ticularly well documented [7]. The emperors also and church discipline. Beginning with the Council
felt the need to intervene here against the exces- of Nicaea in 325, such gatherings tended to be con-
sively generous bestowal of offices, reserving a vened by the emperor in person. A special author-
right of consultation for the selection of important ity dwelt in the decisions of the great ‘ecumenical’
employees of the patriarch [12]. councils of the 4th–9th centuries (Nicaea I 325,
Constantinople I 381, Ephesus 431, Chalcedon 451,
E. Assemblies: Synods and councils Constantinople II 553, Constantinople III 680,
Just as the Apostles were said to have received Council in Trullo/Quinisext Council, Constanti-
their mission as a group, so too the bishops were nople 691/92, Nicaea II 787, Constantinople IV
to advise jointly on the direction of the Church, 879 – the last of these not recognized by the
following the precedent set by the Apostolic Coun- Roman Church) [2].
cil held at Jerusalem around ad 50 (Acts 15,6–29).
In accordance with the ideal of a Church under F. The Church and state power
communal direction, the highest organ within a Under → Constantine (2.2.), the Church began
metropolitan archdiocese was the metropolitan allowing the emperor considerable influence over
synod, comprising the metropolitan and the bish- it, and it continued to do so throughout Byzantine
ops (quorum: two) answerable to him. The canons history. ‘Whereas in the West, secular and spiritual
prescribed that such a synod must be convened powers were divided between different authori-
at least twice a year. It exercised the highest juris- ties, in Byzantium there was only one empire,
diction in the metropolis and was responsible for with the emperor presiding over its secular sphere
the election and appointment (and dismissal) of and the patriarch over its spiritual sphere. This
bishops within the borders of the metropolis, the gave rise to a mutual dependence that constantly
supervision of each bishop’s conduct in office and raised the question of who had the leading role.
of the religious life and orthodox faith of the clergy […] Comparing the collaboration of the two pow-
and populace. Although the synod had the right to ers with a symphony orchestra, the battle for the
dismiss a bishop, dismissal required the votes of at conductor’s podium was generally decided by the
least twelve bishops. personalities of the two candidates’ [4610].
A patriarchal synod emerged corresponding The ideal of essentially equal collaboration
to the metropolitan synod. Novel 137 of Justin- between the state (emperor) and the Church
ian (565) required all spiritual leaders under the (patriarch) was advanced, for instance, in the
authority of the patriarchate who had no bishops parts of the lawbook Eisagoge tou nomou (pub-
under their authority (the archiepiskopoi / ‘arch- lished 886) that were written by Patriarch Photios.
bishops’) to attend. Later, all bishops present at The reality was usually less harmonious, with the
the venue of the synod (generally Constantinople) balance of power long weighted heavily in favour
were also required to attend (the Greek term of the emperor [10].
being the endemountes, ‘resident’ – cf. the name Constantine began the process of establishing
endemousa synodos for the gathering of all metro- a Christian → concept of the emperor (1.2.) that
267 7.4. church organization and personnel (non-monastic)

granted him a singular status and a unique rela- influence in such remote regions only by virtue of
tionship with God (→ 2.1. The Byzantine view of the his function as patron of the Church. The fall of
state A.2.). It became customary in the 5th century Constantinople in 1453 then revealed the possibil-
for the patriarch to crown the emperor, and later ity of an Orthodox Church with no emperor.
also anoint him. The emperor also enjoyed liturgi- Maps: Map 4, Map 6, Map 8, Map 15; BNP
cal privileges such as access to the sanctum sancto- Suppl. 3, 241, 243
rum of the church during divine service, ordinarily
out of bounds to the laity. He also enjoyed rights Bibliography
normally reserved to the priesthood, such as the
right to preach sermons [6]. Sources
The emperor’s scope to intervene in the busi- [1] Notitiae episcopatuum ecclesiae Constantinop-
ness of the Church had clear political implications. olitanae, edited by J. Darrouzès, 1981 [2] Concilio-
The canonist Demetrios Chomatenos, archbishop rum oecumenicorum generaliumque decreta, vol. 1:
of Ohrid from 1217 to 1235, formulated these rights The Oecumenical Councils from Nicaea I to Nicaea
II (325–787), edited by G. Alberigo et al., 2006 [3]
of the emperor as follows: ‘The emperor super- Concilium Quinisextum, edited by H. Ohme, 2006.
vises […] synodal decisions and ratifies them. He
regulates the arrangement of ecclesiastical ranks Secondary literature
and issues laws on the clergy’s way of living and [4] M.-H. Congourdeau, Kirche und weltliche
conduct, on episcopal and clerical matters and on Macht in Byzanz – Patriarch und Kaiser, in: M. Mol-
appointments to vacant episcopal sees. He has the lat du Jourdin / A. Vauchez (eds.), Die Zeit
right to effect promotions, for instance to elevate der Zerreißproben, 1274–1449 (Die Geschichte des
an episcopal see to a metropolis, to celebrate the Christentums 6), 1991, 610–625 [5] G. Dagron,
virtue of a man or a city’ (quoted from [4614]). In Kirche und Staat – Von der Mitte des 9. bis zum
particular, the emperor cast the deciding vote in Ende des 10. Jahrhunderts, in: G. Dagron et al.
the election of the patriarch of Constantinople, (eds.), Bischöfe, Mönche und Kaiser, 642–1054 (Die
Geschichte des Christentums 4), 1994, 176–313 [6]
after the synod presented him with the names of
G. Dagron, Emperor and Priest. The Imperial Office
three candidates (and even these he could reject). in Byzantium, 2003 [7] J. Darrouzès, Recherches
Emperors also repeatedly forced patriarchs who sur les ΟΦΦΙΚΙΑ de l’Église byzantine, 1970 [8]
had fallen from favour to resign or required the J. Darrouzès, Le registre synodal du patriarcat
synod to dismiss them (→ 2.1. The Byzantine view byzantin au XIVe siècle. Étude paléographique et
of the state B.2.). diplomatique, 1971 [9] B. Flusin, Bischöfe und
Even beyond the sphere of ecclesiastical admin- Patriarchen. Die Strukturen der Reichskirche, in: L.
istration, the Church was required to function Piétri (ed.), Der lateinische Westen und der byzan-
as an aid to the emperor and his policies. It was tinische Osten, 431–642 (Die Geschichte des Chris-
charged, for example, with imposing ecclesiastical tentums 3), 2001, 521–583 [10] M. Grünbart et al.
(eds.), Zwei Sonnen am Goldenen Horn? Kaiserliche
penalties on those found guilty of insubordination und patriarchale Macht im byzantinischen Mittelal-
to the emperor. Imperial and ecclesiastical foreign ter (Akten der internationalen Tagung, 2010), 2 vol.,
policy were also tightly interwoven. The baptism 2011–2013 [11] C. R. Kraus, Kleriker im späten
of a neighbouring pagan prince, for instance, or Byzanz. Anagnosten, Hypodiakone, Diakone und
the appointment of bishops to such a prince’s ter- Priester, 1261–1453, 2007 [12] B. A. Leontaritou,
ritories, would invariably also serve the interests of Εκκλησιαστικά αξιώματα και υπηρεσίες στην πρώιμη
the emperor. On the other hand, this growing role και μέση Βυζαντινή περίοδο, 1996 [13] N. Milaš, Das
of the Church as guarantor of imperial authority Kirchenrecht der morgenländischen Kirche. Nach den
at home and abroad can also be seen as an indica- allgemeinen Kirchenrechtsquellen und nach den in
den autokephalen Kirchen geltenden Spezial-Geset-
tor of its own increasing importance [5228–238]; [18].
zen, 21905 [14] E. Mitsiou, Weibliches Mönch-
Voices also began to be raised in protest at tum und Diakonat in der byzantinischen Zeit, in: D.
the emperor’s influence over the Church, particu- Winkler (ed.), Diakonat der Frau, 2010, 59–70 [15]
larly on matters of doctrine. In fact, the emperors B. Moulet, Évêques, pouvoir et société à Byzance
throughout Byzantine history were frequently (VIIIe–XIe siècle). Territoires, communautés et indi-
unable to impose their preferred theological posi- vidus dans la société provincial byzantine, 2011 [16]
tions in the face of resistance from the broader M. Popović / J. Preiser-Kapeller, Das Patri-
populace (Arianism, miaphysitism, iconodulism, archat von Konstantinopel und die Kirchen Bulgar-
rejection of the union with Rome). Particularly iens und Serbiens vom 13. bis zum 15. Jahrhundert., in:
in the last centuries of the empire, though, the Historicum. Zeitschrift für Geschichte (2007) 96, 2008,
62–70 [17] J. Preiser-Kapeller, Der Episkopat im
balance of power was shifting from a weaken- späten Byzanz. Ein Verzeichnis der Metropoliten und
ing imperial monarchy towards a Church whose Bischöfe des Patriarchats von Konstantinopel in der
jurisdiction still included much of the Balkans and Zeit von 1204 bis 1453, 2008 [18] J. Preiser-Kapel-
Black Sea coast, the whole of Asia Minor and the ler, Die hauptstädtische Synode von Konstantinopel
metropolis of all Russia. The emperor could exert (Synodos endemusa). Zur Geschichte und Funktion
7.5. monasticism and monastic institutions 268

einer zentralen Institution der (spät)byzantinischen to live together without sexual intercourse. In
Kirche, in: Historicum. Zeitschrift für Geschichte addition to chastity, however, the outright rejec-
(2007) 96, 2008, 20–31 [19] C. Rapp, Holy Bishops tion of marriage emerged as a cardinal virtue of
in Late Antiquity. The Nature of Christian Leadership the ascetic life [6]. Origen of Alexandria in the 3rd
in an Age of Transition, 2005 [20] W. Selb, Ori-
entalisches Kirchenrecht, vol. 1: Die Geschichte des
century developed a theology centred on sexual
Kirchenrechts der Nestorianer (von den Anfängen bis abstinence and the emulation of the angels. Even
zur Mongolenzeit); vol. 2: Die Geschichte des Kirch- at this period, hermits were probably already liv-
enrechts der Westsyrer (von den Anfängen bis zur ing in the desert in Egypt after withdrawing from
Mongolenzeit), 1981–1989. the cities into solitude.
The tendency to withdraw from the world
Johannes Preiser-Kapeller gained momentum as Christianity was recognized
in the early 4th century and as the Church was
7.5. Monasticism and monastic institutions increasingly integrated into the Roman Empire.
Some anchorites (from anachorein, ‘to withdraw’)
A. Models and sources of inspiration who had fled into the desert during the preceding
B. Hermits and ascetics era of persecution maintained their established
C. Monastic communities way of life, after the violent oppression of Christi-
D. Female monasticism anity came to an end; others sought a now blood-
E. Monasticism and the Church less martyrdom in the renunciation of the world
F. Centres of monasticism [12819–824].
The first anchorites lived on the periphery of
A. Models and sources of inspiration inhabited regions. Later, they pushed ever deeper
As old theories attributing the emergence of into the desert [5]. Other anchorites lived rela-
monasticism to individuals or regions have been tively close together and formed a kind of ascetic
refuted in recent years, so the near-simultaneous community, as at Nitria and Kellia in Lower Egypt.
appearance of similar phenomena of monastic life At the heart of this community was a church with
in different regions has become a focus of interest one or more priests, who celebrated the liturgies
in the study of religion. Christians in the 2nd and on Saturdays and Sundays and administered com-
3rd centuries often chose a life of celibacy, asceti- munion to the anchorites who attended.
cism and fasting. The inspiration for these ascetic The path to the life of a hermit generally began
tendencies may have been Jewish groups, such as with a quest in search of a holy ‘father’, an ascetic
the Rechabites mentioned in the Old Testament monk whose way of life had earned him a reputa-
(Jer 35:1–19), the Hasideans (1 Macc 2:42), the Ther- tion for sanctity. From him, future ascetics learned
apeuts attested in Egypt in the 1st century bc and the basic principles of monastic life, and hermit
the Essenes of Qumran (1st cents. bc/ad). Other colonies grew up around such charismatic individ-
possible inspirations for Christian monasticism uals. Sometimes a holy father who felt pressured
include Stoicism, Neoplatonism, Neo-Pythagorean by the number of his pupils would leave the group
philosophy, Gnosticism and Manichaeism [12817]; and withdraw deeper into the desert, although this
[25vol. 1]. However, the phenomenon of withdraw- occasionally had the paradoxical effect of attract-
ing from the world was also anticipated in Chris- ing still more followers – a phenomenon that in
tianity itself, and there were a number of biblical later centuries also became a topos of the saints’
role models, including Elijah, Moses, John the Bap- lives [20].
tist and indeed Christ himself, who exhorted his Anchorites spent their days in prayer and at
disciples to leave their families and property and work making various products that they then
follow him. Apocrypha also encouraged ideals of sold to earn a living. As part of their ascetic life-
abstinence and the renunciation of possessions. style, they took only one meal a day, refraining
The venue of withdrawal and self-examination par from cooked food for long periods or even fast-
excellence, as it had been for the exemplary figures ing entirely. St. Anthony, the most famous of the
of the Bible, was the desert (Greek eremos) [12816 f.]. Egyptian anchorites (4th cent.) is said to have
eaten only bread, salt and water, except on the
B. Hermits and ascetics rare occasions when he took part in a communal
The ascetic life, and the teachings of Christ meal with other ascetics.
on this subject, found zealous adherents among St. Anthony is also the origin of the traditional
early Christians. Many of them were women who belief that Christian monasticism started in Egypt.
rejected the traditional way of life. They created In particular, the vita of Anthony written by Atha-
associations of widows and virgins that played nasius of Alexandria around 360, which portrays
an important role in the organization of the early him as the ideal of the orthodox ascetic, contrib-
Church. One special form of asceticism was fam- uted to his renown as the ‘father of monasticism’
ily asceticism, in which a married couple decided [757–77]. Egeria, a pilgrim arriving from Gaul in the
269 7.5. monasticism and monastic institutions

380s, found several hermitages and four churches around 321. Rigid rules governed all aspects of
around Mount Sinai. It was here in the reign of communal life (prayer, work, clothing, food). The
Justinian in the 6th century that St. Catherine’s monks were answerable to an abbot and were
Monastery was founded, becoming the focal allowed no personal possessions: all property was
point of Sinaitic monasticism. Its best-known surrendered to common use on one’s admission
representative was John Klimakos, whose writ- to the monastery. As yet, there was no novitiate
ings in the 7th century shaped monastic spiritual- and no vows, but there was an obligation to obey
ity, especially his image of the Ladder of Divine all superiors in the hierarchy of the community.
Ascent whose thirty steps would take a monk to The monastery complex comprised a number of
Paradise. buildings within a walled enclosure, including a
Yet hermits are attested in Syria a century guesthouse, a dining hall with kitchen and baking
before St. Anthony [25vol. 1]. The most famous Syr- oven, a sick bay and various houses. The monastic
ian anchorite was Ephraim (4th cent.), who also habit comprised a sleeveless shirt, a cowl, a tab-
compared a hermit’s life to martyrdom. In general, ard worn over the shoulders, sandals, a belt and a
Syrian monasticism was characterized by extreme staff. Pachomius founded nine monasteries in all,
practices of self-mortification. Syrian ascetics including three for women. The heads of all nine
fasted for 20 days at a time, wore iron chains, slept came together every two years for an assembly and
on the bare ground and prayed standing, whatever to elect a supreme head. The number of monks at
the weather. Another category of Syrian ancho- each monastery ranged from 200 to 600 [7].
rites ate grass and perched on rocks or trees like Many monasteries were founded in the tradi-
birds. Recluses are also attested, living in houses tion of Pachomius’ community, including some
without windows, or in tombs or towers, and outside Egypt, such as that founded by Hilarion
never leaving them. The best-known exponents in the Holy Land in 329. At the White Monastery
of this tendency also included the saloi, the ‘fools’ in Athribis (400 km south of Cairo), Schenute
for Christ [21]. Above all, though, the image of the imposed an even stricter form of the Pachomian
Syrian ascetics was shaped by the stylites (pillar- rule around 400, prescribing unconditional obedi-
saints). They chose the top of a pillar as their place ence on pain of corporal punishment.
of retreat, and usually never left it, thereby occu- The man who above all others laid the founda-
pying a position between earth and heaven. The tions of Byzantine monasticism with his teachings
most famous of these, Symeon Stylites the Elder, and rules was Basil of Caesarea, in Cappadocia
lived for around forty years atop a pillar before in Asia Minor in the 4th century. Recent studies
dying in 459. also emphasize the influence of Basil’s teacher
The spread of coenobitic monasticism (see Eustathius of Sebaste and his sister Macrina [22].
below, C.) did not entirely eliminate anchoritism. Macrina founded a monastery before Basil and
Anchoritism persisted even in later periods in served as abbess over a community of virgins and
various parts of the Byzantine world, from South- men. As a bishop, however, Basil commanded
ern Italy to Cappadocia. The ideal of communal more authority when he imposed order on monas-
monastic life, however, meant that scholars and tic life. His best-known works include the Longer
bishops in the 12th century, for instance, were Rules and the Shorter Rules, collections of answers
critical of hermits. However, seclusion enjoyed a to questions put to him by monks. Basil regarded
resurgence in the Late Byzantine period with the the life of seclusion with scepticism, feeling that it
rise of Hesychasm (→ 7.3. Sanctity, piety and devi- could lead to egoism and excesses of asceticism.
ance C.). Instead, he argued for a monastic life in a commu-
nity, under the supervision of the Church.
C. Monastic communities Theodore Stoudites argued similarly in favour
Even some strict anchorites began their careers of coenobitic monasticism. Operating from his
in a monastic community (koinos bios), before, monastery in Constantinople in the 790s, Theo-
perhaps, their extreme asceticism provoked the dore was a key figure in the reform of Byzantine
wrath of their brethren and they withdrew into monasticism. His authority was enhanced by his
seclusion. Communal monastic life was thus por- opposition to imperial policy, particularly during
trayed as a precursor to the stricter form of hermit- the second Iconoclasm that began in 814 (→ 7.1.
ism. Yet such communities also arose from efforts Doctrinal history C.). His ascetic ideal incorpo-
to bring greater order to unregulated anchoritism rated the main ideas of the koinos bios (in the
in various locations. tradition of Basil), such as poverty, work and the
The founder figure of coenobitic monasticism rejection of private property. He also espoused
in Egypt was Pachomius. A former soldier, he monks’ absolute obligation to obey their abbot
spent several years pursuing an ascetic life before (Greek hegoumenos) and provided for severe
founding a monastic community at Tabennisi punishment. Another instrument of control in the
7.5. monasticism and monastic institutions 270

community was the monks’ confession, exagoreu- early as the late 3rd century. In the 4th century,
sis [19]. Pachomius integrated his own sister Maria and
In Palaestina, meanwhile, a blend of anchorit- a group of women into his community and set
ism and koinos bios held sway in the form of lau- up a special monastery for them. Maria became
rai. A laura was a colony of hermits who were its abbess, while an older monk served as spiri-
subject to the authority of a hegoumenos. The tual father [6]. Arrangements were similar in the
monks lived in separate cells that were connected White Monastery (see above, C.), where men and
by paths (Greek laura, ‘alley’, ‘lane’). On weekdays, women lived in separate buildings but followed
they lived and worked alone, but on Saturdays the same rule.
and Sundays they celebrated the liturgy together The story of Mary of Egypt provides evidence
and shared a meal. The best-known laura was the of the presence of ascetic women on the River
Great Laura (Mar Saba), founded by St. Sabbas Jordan in the 4th and 5th centuries, although the
(483) [17], which combined the koinos bios (based vita incorporates various stereotypes from earlier
on the ideals of Basil) with hermitism: it exerted lives. Divesting oneself of femininity in this case
considerable influence on the subsequent evolu- meant total nudity, as also shown in the pictorial
tion of Byzantine monasticism. Sabbas’ rule, the representations of the saint. Later Byzantine nuns
Jerusalem Typikon, circulated widely in Asia Minor and female saints, in contrast, hid their feminin-
after 800 and throughout the Byzantine territories ity under long, dark cloaks. Women in Syria also
during and after the 11th century. practised strict asceticism as discussed above [7].
In principle, any monastery founder could do There is a general documented tendency for
as Sabbas did and regulate the life and organiza- woman to convert their houses into monasteries.
tion of his community by means of a typikon. In The best-known example is that of Macrina, sister
contrast to the West, monastic orders in the strict of Basil of Caesarea, who laid the foundations of
sense did not develop in the Byzantine Empire, coenobitic monasticism even before her brother
but rather a great wealth of monastic ways of life. [22]. Female monasticism also developed in Con-
However, rules like that of Basil and the typika of stantinople, where monasteries were founded in
certain monasteries (e.g. the Monastery of the The- the 5th century such as that by Matrona of Perge
otokos Euergetis near Constantinople, 11th/12th [8], who was notable for clothing her community
cents.) became models for later typika [1]; [3]. in male monastic habits. In fact, despite prohi-
In the 10th century, monastery founders also bitions in canon law, some twelve female saints
began to enshrine their independence from epis- are attested wearing male clothing and thus sym-
copal supervision in their typika, asserted tax priv- bolically shedding their femininity between the
ileges and ensured that their affirmation by state 5th and 11th centuries.
and ecclesiastical authorities was documented [13]. Emphasis is placed on the role of nuns in resis-
New monasteries continued to increase steadily in tance to Iconoclasm (→ 7.1. Doctrinal history C.).
number, and many of them also became impor- The nun Theodosia, for instance, is said to have
tant economic institutions. Monastic properties been martyred while protesting the removal of
generally enjoyed tax benefits, and monasteries the Christ icon from the Chalke Gate of the Great
had these confirmed whenever a new emperor Palace in Constantinople. The abbess Anthousa of
took power. This privileged economic position Mantineon in the province of Honorias in north-
also attracted the interest of private individuals, western Asia Minor fought the iconoclastic policy
who in the late 10th century began taking over the of Constantine V (741–775) and was tortured and
management of monasteries’ secular properties banished as a result.
(charistikarioi). This trend attracted sometimes Motives for entering a monastery were many
harsh criticism, since its only purpose appeared and varied and might include financial hardship,
to be personal enrichment. Monasteries even age, widowhood or marital problems [24]. In some
continued to receive tax privileges and imperial cases, monasteries were not merely a place of ref-
donations in the Late Byzantine period, when the uge, but also a place of internment, as in the case
economic condition of the state really offered little of the condemned sorceress Amarantina in the
scope for them. In particular, the archives of the 14th century. One recurring problem for the spiri-
Mount Athos monasteries (see below, F.3.) docu- tual fathers of such communities was how to regu-
ment the Byzantine emperors’ ongoing function as late nuns’ contact with men. Theodore Stoudites,
patrons of the monasteries [23]. for instance, addressed 21 of his 564 letters to nuns
and women’s foundations. Among other things, he
D. Female monasticism suggested avoiding eye contact with men.
The traditional form of asceticism for women Even after the Iconoclasm, abbesses still held
in the first Christian centuries was life as a virgin, important positions in the ecclesiastical life of
often in her own home. The Vita Antonii attests to their time. The vitae of Theodora of Thessalonica
the existence of separate women’s communities as and Irene of Chrysobalanton also illuminate
271 7.5. monasticism and monastic institutions

the opposition that such positions could arouse. the patriarch) or archimandrites (supervisors of
Irene Chumnaina, abbess of the monastery of the monasteries of a particular region or city) were
Christ Philanthropos Soter in the 14th century, also appointed as superintendents of the monas-
had similar problems, particularly given that she teries of an episcopal see or ecclesiastical prov-
intervened in the controversy over the theology ince. At the same time, monks were increasingly
of Gregory Palamas (→ 7.1. Doctrinal history E.) influential within the episcopate: once celibacy
on what would prove to be the losing side. Com- was imposed for bishops (→ 7.4. Church organiza-
pared to male communities, female convents were tion and personnel B.), many (after 1200, almost
smaller on average and had less in the way of all) were recruited from monasteries.
financial resources. This made them more imme-
diately vulnerable to failure in times of crisis. F. Centres of monasticism

E. Monasticism and the Church F.1. Asia Minor

Monasticism did not originally evolve under F.2. Southeastern Europe and the Aegean
the supervision of the Church. Hermits and F.3. Mount Athos
ascetics lived independently, far from ecclesias-
tical centres, and regarded the institution of the Monasticism flourished mainly in the deserts
Church with scepticism. Church representatives of Egypt, Syria and Palaestina in the first centu-
were aware of this and sought to bring hermits ries ad, but thereafter, major monastic centres
under tighter control. For instance, some ascet- emerged in several regions, particularly in the
ics held that they had no need of the sacraments, vicinity of holy mountains, which replaced the
and the Church condemned this. The presence desert as the ideal refuge and came to be seen
of priests in communities like Kellia and Nitria as intermediate places between heaven and
in Egypt afforded some supervision, as hermits earth [13].
gathered once a week to celebrate the Eucharist.
Older members of the community were ordained F.1. Asia Minor
as priests. Because of their proximity to Constantinople,
The Church also feared that unregulated the monastic centres of western Asia Minor played
monastic communities might support heretical a very active role in ecclesiastical developments at
tendencies. In Egypt, meanwhile, bishops some- the time of the Iconoclasm. Some served as places
times made use of congregations of monks as of banishment and internment, while others func-
‘shock troops’ as they confronted ecclesiastical tioned as centres of resistance [10].
and secular opponents. The local and political Bithynian Olympos to the south of Prusa posi-
influence of ‘holy men’ [5] within communities tively flourished in this period, as the vitae of
might also be considerable. Over the course of St. Stephen the Younger (written 807–809) and
Byzantine history, from the Christological disputes Peter of Atroa (845–847) attest [417–19]. A collec-
of the 5th century to the Iconoclasm to the debate tion of pupils’ huts encircling that of the spiritual
on union with the Western Church in the 13th and father evolved into more permanent and com-
15th centuries, monastic groups frequently inter- plex settlements. At the same time, the Icono-
vened in opposition to ecclesiastical and political clast movement and the attendant danger of state
decisions, demonstrating their ability to mobilize persecution encouraged small, wandering groups
the populace. to split off to escape attention and settle else-
An attempt was made at the Council of Chal- where. Peter of Atroa founded a great many small,
cedon (451) to use canon law to prohibit indepen- widely scattered monastic settlements, but these
dent action by monks, subjecting monasteries and remained more or less affiliated with the original
new foundations to the control of local bishops. institution, his Monastery of Zacharias.
Monks were also forbidden to manage lay assets, The most famous monastery on a holy moun-
to hold military or civilian office or to marry. In tain was the Kyminas Monastery in Bithynia, but
the 6th century, → Justinian (2.3.) then stipulated no information about it predates the early 10th
that local bishops not only had to permit the century. It was founded by the hermit monk and
founding of a monastery, but also had to bless the relative of the imperial family Michael Maleïnos
location and set up a cross there. Local bishops on the banks of the Gallos. Michael’s aristocratic
were as well charged with appointing or confirm- background contributed to its fame. It was prob-
ing the election of the abbots of monasteries. The ably a laura. One of Michael’s pupils, Athanasios,
bishop also had jurisdiction over the monks and met the powerful general and future emperor
nuns in his diocese. Meanwhile, the sale of monas- Nikephoros (II) Phokas en route to Constantino-
tery assets was forbidden, and special protections ple, and their acquaintance had a great influence
for monastic property were introduced. Exarchs on the development of monasticism, not only on
(administrators of monasteries directly subject to
7.5. monasticism and monastic institutions 272

Mount Kyminas, but also and especially on Mount then set up a monastery on Patmos with imperial
Athos (see below, F.3.) [420 f.]. support. Christodoulos advocated a combination
Hermits also lived in caves on Mount Latmos of asceticism and coenobitism. The monastery
or Latros, southwest of Miletus. This became a received the privilege of stauropegic status in 1132
refuge for monks from the Sinai, who according and was thus removed from the direct supervi-
to tradition were fleeing Arab attacks. Archaeo- sion of the local bishop. It received further impe-
logical remains, however, attest to the presence rial privileges in the 12th and 13th centuries that
of monastic communities even before the period also allowed it to own ships and conduct maritime
of the Arab expansion [18]. The most important trade. Patmos also had extensive possessions in
figure of this holy mountain was Paul the Younger, Asia Minor, on Crete and on neighbouring islands
who won the support of the emperor. Paul too had like Cos.
originally gone out in search of solitude, living for (3) Ganos: A group of monasteries headed by a
a time as a stylite. However, other hermits soon protos was already in existence on Mount Ganos
settled around his pillar and, by 920 or so, a laura near Rhaidestos in the 10th century. One of its
had formed. The monastery was granted sizeable best-known superintendents was the theologian
lands around 985, and it became the focal point John Phournes (early 12th cent.). After a period
of a group of monasteries on Mount Latros, the of Latin occupation in consequence of the Fourth
supreme head of which began calling himself pro- Crusade, Ganos again became a centre of Byzan-
tos (‘first’) in the 11th century. The Latros monas- tine monasticism in 1235 with imperial support,
teries enjoyed a final flourish in the 13th century, and it attracted a leading churchman in the 1270s
before the Turkic conquest of western Asia Minor and 1280s in the form of the future patriarch Atha-
put an end to the community in the 14th century. nasios, who also founded a monastery there. Later,
Hermits were probably also already living devastation caused by the wars of the 14th century
on Mount Galesion in southwestern Asia Minor severely damaged the community, but it endured,
before the famous stylite Lazaros arrived there even surviving the Ottoman conquest [1141–49].
in the mid-11th century [2]. Much as on Mount (4) Meteora: The rocky escarpments of Meteora
Latros, a laura duly developed out of the commu- in Thessaly did not become a monastic centre
nity of the ascetic’s followers. Despite his quest for until the 14th century. The most important monas-
seclusion, Lazaros also maintained good relations tery, Mega Meteoron, was founded by Athanasios
with the emperor, and the emergent monastic Meteorites, originally a monk on Mount Athos,
community on Mount Galesion also remained an who left around 1340 together with his teacher, the
important centre until the 13th century [10]. Hesychast Gregory. Athanasios lived as a hermit at
first, before forming a coenobium with 14 monks.
F.2. Southeastern Europe and the Joasaph Uroš Milutin, a member of the Serbian rul-
Aegean ing family, expanded the monastery further. The
(1) Constantinople: The first monks in the capi- monasteries of Hagios Stephanos and Nikolaos
tal appeared around 360. By the mid-5th century, Anapausas were then also founded in the second
some 23 heads of Constantinopolitan monasteries half of the 14th century, and many monks fled to
were already listed, including those of the Dalma- Meteora from Athos at this period because of the
tus/Dalmatos and Eutyches monasteries and the Turkish threat. The heyday of Meteora, however,
Monastery of the Acoemetae (Greek akoimetoi, the came after the Byzantine period [15].
‘sleepless’ monks who intoned perpetual choral
prayer). Over time, Constantinople became the F.3. Mount Athos
largestmonastic centre of the empire, with a great Mount Athos (the easternmost ‘finger’ of the
many monasteries that had been founded, espe- Chalcidice peninsula) is regarded as the quint-
cially after the Iconoclasm, by aristocratic and essential holy mountain. Despite legend, how-
imperial patrons. A decisive influence emanated ever, the origins of monasticism on Athos date
from the Monastery of Stoudios in the 9th century, back only to the period of the Eikonomachia
and from the Monastery of the Theotokos Euerge- (→ 7.1. Doctrinal history C.). The main sources on
tis (see section C. above) in the 11th and 12th cen- the early history of the mountain are the lives of
turies. Beginning in the 13th century, foundations Peter Athonites and Euthymios the Younger. The
were established by the Dominicans and Francis- former lived as a hermit on Mount Athos for 53
cans in Constantinople, especially in the Genuese years in the 8th century. Euthymios began his
colony of Pera/Galata. These played a key part in monastic career on Bithynian Olympos before
translating Byzantine texts into Latin and vice moving to Athos with his pupil. In the reign of
versa [8]; [9]. Basil I (867–886), one Basil Homologetes estab-
(2) Patmos: The founder of the Patmos monas- lished a small monastery on the site of what is now
tery, Christodoulos, began his career as a monk on the harbour of the Hilandar Monastery. A docu-
Bithynian Olympos, then became abbot of the Sty- ment dated 883 records the foundation of a mon-
los Monastery on Mount Latros. Around 1088, he astery at Megali Vigla by a certain John Kolovos.
273 7.5. monasticism and monastic institutions

Athos was already regarded as a monastic territory 2000 [2] The Life of Lazaros of Mt. Galesion. An
in the mid-9th century [16]. Eleventh-Century Pillar Saint, edited by R. P. H. Green-
An 883 charter of Basil I exempted the monks field, 2000 [3] The Hypotyposis of the Monastery of
of Athos from taxes and afforded them protection the Theotokos Evergetis, Constantinople (11th–12th
Centuries), edited by R. H. Jordan and R. Morris, 2012.
both against groups that might disturb the monas-
tic peace and against herdsmen who had moved
into the peninsula. Further imperial charters fol- Secondary literature
lowed: in 934, Romanos I Lakapenos granted the [4] K. Belke, Heilige Berge Bithyniens, in: P.
Soustal (ed.), Heilige Berge und Wüsten. Byzanz
monasteries an annual stipend of one gold piece und sein Umfeld (Referate auf dem 21. Internatio-
per monk. A protos served as head of the commu- nalen Kongress für Byzantinistik, London 2006),
nity of monasteries from 908 on. Two documents 2009, 15–24 [5] P. Brown, The Rise and Function
of 942/43 set the boundaries of Athos and estab- of the Holy Man in Late Antiquity, in: JRS 61, 1971,
lished Karyes as the seat of the protos and ‘capi- 80–101 [6] S. Elm, ‘Virgins of God’. The Making of
tal’ of Athos. Prior to the foundation of Megiste Asceticism in Late Antiquity, 1994 [7] W. Harm-
(Great) Laura, at least four large monasteries less S. J., Desert Christians. An Introduction to the
were already extant (Athonos, Klementos, Xero- Literature of Early Monasticism, 2004 [8] P. Hat-
potamou and Bouleuteria), some with substantial lie, The Monks and Monasteries of Constantinople,
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A major turning point in the history of Athos stantinople et le patriarcat œcuménique, vol. 3: Les
came with the arrival of Athanasios Athonites églises et les monastères, 1969 [10] R. Janin, Les
(late 957). Athanasios had begun as a pupil of églises et les monastères des grands centres byzantins
Michael Maleïnos on Mount Kyminas in Paphla- (Bithynie, Hellespont, Latros, Galésios, Trébizonde,
gonia (see above, F.1.). Through Michael he had Athènes, Thessalonique), 1975 [11] A. Külzer,
become acquainted with the powerful general Das Ganos-Gebirge in Ostthrakien (Işıklar Dağı), in:
Nikephoros Phokas. The support of Nikephoros P. Soustal (ed.), Heilige Berge und Wüsten. Byz-
enabled Athanasios to initiate the construction anz und sein Umfeld (Referate auf dem 21. Interna-
of Megiste (Great) Laura on Athos in 961. Once tionalen Kongress für Byzantinistik, London 2006),
2009, 41–52 [12] P. Maraval, Das Mönchtum im
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emperor John I Tzimiskes affirmed these dona- ris, Monks and Laymen in Byzantium, 843–1118,
tions. The tragos or typikon of John Tzimiskes also 1995 [14] A. E. Müller, Berg Athos. Geschichte
reformed the organization of Mount Athos, the einer Mönchsrepublik, 2005 [15] D. M. Nicol,
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Batopedi, Xeropotamou, Panteleeimon, Hilandar Peschlow, Der Latmos. Eine unbekannte Gebirgs-
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The crises of the 13th and 14th centuries natu- Holy Fool, in: S. Hackel (ed.), The Byzantine Saint,
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7.6. relations with other churches and religions 274

7.6. Relations with other churches and religions of Thomas Aquinas. These latinophrones (‘Latin-
minded [people]’, ‘Latinizers’) could not, however,
A. The Latin Church overcome the antipathy of the majority of the
B. Non-Chalcedonian churches of the East clergy and population, and Demetrios Kydones,
C. Chalcedonian churches of the East for instance, ultimately converted to Catholicism
D. Orthodox churches of Eastern and Southeastern and left Byzantium. Many other scholars followed
Europe him, most of them embarking for Italy (→ 15.2. The
E. Judaism West) [16].
F. Islam
B. Non-Chalcedonian churches of
A. The Latin Church the East
The ecclesiastical communion between Rome The Byzantine Empire lost most of the regions
and Constantinople was disrupted frequently in Egypt and Syria where non-Chalcedonian
after 400 (→ 7.1. Doctrinal history D.). Linguistic churches were in the majority to the Arab con-
differences and divergent developments in church quests of the 7th century. As a result, even the
practice brought an increasing sense of mutual compromise formula of monotheletism (→ 7.1.
alienation, even in direct dealings. The lasting Doctrinal history B.2.) was condemned at the
split, from the Byzantine point of view, came in Council of Constantinople of 680, and the Chal-
consequence not of the so-called ‘Great Schism’ cedonian dogma was affirmed. Thereafter, close
of 1054, but of the Sack of Constantinople during contact with miaphysites continued only in the
the Fourth Crusade of 1204, which made it all too form of the Armenian Church, by reason mainly
apparent to the Byzantines that the ‘Latins’ were of the strategic importance of Armenia and the
not members of the Orthodox communion. In large number of Armenians who found their way
connection with this, an abundant polemical liter- to Byzantium as soldiers or settlers. Armenian
ature was produced attacking Catholic theological recognition of Chalcedon was extracted under
‘errors’ [7]. At the same time, however, these very duress (without lasting success) during phases of
centuries also saw a marked rise in the number Byzantine supremacy in the 6th and 7th centuries.
of Catholic believers, clerics and monks perma- In 608, the Georgian Church dissolved its commu-
nently resident in the empire. This was especially nion with the Armenians and joined the Chalce-
true at Constantinople (e.g. Dominican and Fran- donian communion. Later, efforts were made to
ciscan communities), particularly in the quarters negotiate an agreement [4]. New eastward mili-
assigned to the Venetians, Genoese and Pisans. tary expansion in the 11th century, however, made
Their rising influence on the economic life of the it possible once more to impose recognition of the
city was already leading to sporadic violence in rulings of Chalcedon on conquered Armenian ter-
the 12th century, and confrontations continued ritories, although this sparked sometimes bitter
in the centuries that followed. Leading Orthodox resistance [9].
clerics like Patriarch Athanasios I (1289–1293, There were similar conflicts with members of
1303–1309) meanwhile criticized the lack of restric- the West Syriac (Jacobite) Church, who variously
tions on worship by non-Orthodox believers, such entered newly conquered regions of southeastern
as ‘Latins’, Armenians, Muslims and Jews, as a dan- Anatolia in large numbers in the 10th century and
ger to the spiritual health of the Orthodox popu- came back under Byzantine rule as the empire
lation. Given the political situation, however, the expanded towards Syria (conquest of Antioch in
emperor had no scope to impose such constraints. 969). Here too, several emperors of the 11th cen-
Canon law imposed various limits on dealings tury tried to coerce recognition of the Byzantine
with Latins (→ 15.7. Minorities in the empire A.), creed [18]; [20431 f.].
not only for clerics in particular, but also for the The collapse of Byzantine rule in Anatolia after
laity. The Eastern Church only tolerated mixed 1071 again relieved Constantinople of territories
Catholic-Orthodox marriages if the Catholic party with large miaphysite populations. The empire,
first converted, i.e. accepted the Orthodox tenets however, regained control of the coast of Asia
publicly and in writing and condemned the ‘errors’ Minor in the 12th century as far as Cilicia, where an
of his or her former communion, in order to be Armenian princedom was formed, and northern
accepted into the communion of the Patriarchate Syria. Negotiations resumed with representatives
of Constantinople [11]. of the Armenian church in the reign of Manuel
Some Byzantines, however, especially intel- I Komnenos (1143–1180), but achieved no lasting
lectual circles of the 14th century, advocated rap- agreement. Further attempts are documented in
prochement and were ready to acknowledge the the 1240s and 1330s, but, for the most part, priority
progress made by the ‘Latins’ in fields like phi- now was placed on maintaining contact with the
losophy and theology. Demetrios Kydones, for Chalcedonian churches that were under Islamic
instance, learned Latin and studied the writings rule (see below, F.).
275 7.6. relations with other churches and religions

C. Chalcedonian churches of the D. Orthodox churches of Eastern

East and Southeastern Europe
While all eastern Christian congregations The Christianization of Byzantium’s neigh-
under Arab rule might be suspected of operating bours, which is associated with the names of the
as the ‘fifth column’ of the Roman enemy, this ‘Slavic Apostles’ Constantine-Cyril and Methodios,
was particularly true of the patriarchates of Alex- heralded the creation in the 860s and 870s of an
andria, Antioch and Jerusalem, which adhered to ecclesiastical organization among the Serbs and
the Chalcedonian, i.e. ‘imperial’ dogma (hence the Bulgars.
also their byname ‘Melkite’, from the Syriac mal- The attempt by the Bulgar Khan Boris-Michael
koyo, meaning ‘royal’, ‘imperial’). The Islamic con- (852–889) to free himself from the immediate
quest deprived them of the special protection of ecclesiastical sovereignty of Constantinople with
Constantinople, while rival miaphysite congrega- the help of Rome failed, but the power of the Bul-
tions, also mindful of recent repression, sought to gar Empire meant that Byzantium had to agree to
consolidate their position at the expense of the the establishment of an autocephalous patriarch-
Chalcedonians with the help of the new rulers. ate in 927 (→ 7.1. Doctrinal history D.1.). When the
The Chalcedonian patriarchates of Alexandria, pupils of Cyril and Methodios were expelled from
Antioch and Jerusalem therefore remained vacant the Great Moravian Empire in 885, including Kli-
for several decades after the Arab conquest. When ment and Naum, and welcomed into the Bulgar
reconstituted in the 8th century, they found them- Empire, it led to the creation of Slavic Orthodox
selves confronted with the iconoclastic policy of ecclesiastical literature and scholarship. This was
the emperors at Constantinople, which their con- the context in which the Cyrillic alphabet was
gregations generally rejected. developed, along with the Glagolitic alphabet ear-
The patriarchate of Jerusalem in particular lier invented by Cyril himself (from Old Church
became an iconodule hotbed, as John of Damas- Slavonic glagol, ‘word’). These scripts were used
cus proposed a theology of icon veneration at to put the Slavonic language (Paleo-Slavic) into
the monastery of Mar Saba. In 727, the patriarch- writing, which then was also soon recognized as
ate of Antioch had to weather the secession of a a liturgical language. A comprehensive project to
group that held to the monotheletic formula (two translate texts from the Greek now began [13].
natures, but one will in Christ; → 7.1. Doctrinal This phase of independent development came to
history B.2.) despite the rulings of the Council of an end with the Byzantine conquest of Bulgaria in
Constantinople of 680. This group even elected 1018, which also put an end to the Bulgar patriarch-
its own patriarch, Bishop John of the Monastery ate. In its place, Byzantium now directly appointed
of St. Maron (hence the group’s name: Maronites) an autocephalous archbishop of Ohrid, who was
[20399–425]. not answerable to the patriarch of Constantinople.
The ‘Melkite’ congregations and the other The spheres of influence of the Byzantine and
Christian churches were gradually integrated into Roman Churches collided in the territories of the
the Islamic Arab Caliphate as dhimmī (‘protected Serbian princedoms, and some princes took advan-
people’). However, whereas John of Damascus still tage of their intermediate position to gain politi-
wrote in Greek, Arabic became established as the cal capital. In the interior, an Orthodox church
colloquial language in the 8th century and as the developed, while Latin bishoprics were founded
literary language in the 9th, before also becoming along the Adriatic coast [5950–952]. As Byzantine
the language of the liturgy in the 11th century. One influence then waned in the late 12th century,
of the eastern patriarchates, Antioch, came under Stefan Nemanja succeeded in creating a unified
Byzantine rule for another century after being Serb princedom, and his son, also named Stefan,
retaken in 969. Byzantium exploited this situation was crowned king by Pope Innocent III in 1218.
primarily to bring the see under tighter control. However, under the influence of his brother Sava,
The patriarchs of Antioch were now named by who had become a monk on Mount Athos, Ste-
the emperor at Constantinople and ordained by fan also sought reconciliation with the Byzantine
their colleagues in the capital; most candidates patriarchate, which in 1219 also recognized the cre-
came from the ranks of the Byzantine clergy. At ation of an autocephalous Serbian archbishopric
the same time, improved relations with its Islamic (→ 7.4. Church organization and personnel A.).
neighbours meant that Byzantium could play a Developments in Bulgaria were similar. After
more active role as the guardian of Chalcedonian the end of Byzantine rule in 1185, Prince Kaloyan
Christians [20414–416]. Constantinople continued to (1197–1207) also accepted the royal crown from an
perform this function until the 15th century, espe- emissary of Innocent III, who also recognized the
cially once the Mamluk expulsion of the crusaders archbishop of Tărnovo as primate of Bulgaria. Here
in the late 13th century united all three Melkite too, however, an agreement was also struck (in
patriarchates under a single Islamic ruler once 1235) with the Byzantine patriarch, who accepted
again (→ 15.5. The East). the establishment of a Bulgarian patriarchate. Both
7.6. relations with other churches and religions 276

neighbouring churches thus remained in commu- the consequence was a campaign of persecution
nion with Constantinople, albeit with occasional and forcible baptism, although the exact extent
interruptions as a result of political conflict. There of these actions is difficult to assess, and some
were also close connections via Mount Athos and modern scholars doubt them. The same uncer-
monastic networks, which among other things tainties surround similar actions attributed to
contributed to the spread of Hesychasm. All these Leo III (717–741), Basil I (867–886) and Romanos
regions were united within the frontiers of an I Lakapenos (920–944), although Jewish sources
empire again after the Ottoman conquest [14]. attest to attempts by government authorities
The Russian Church was particularly important to coerce Jews into adopting Christianity. The
in relation to the ‘ecumenical’ claims of the Patri- Church condemned forcible baptism as invalid,
arch of Constantinople. The baptism of Grand because it could only be received as an external
Prince Vladimir I in 988/89 paved the way for the gesture devoid of inner conviction [3244–246].
Christianization of the vast empire of the Kievan A considerable number of works highlighted
Rus’. Kiev acquired a metropolitan answerable to what from the Christian perspective was the Jews’
the patriarchate of Constantinople. Prior to the grave error of not recognizing Christ as Messiah.
Mongol invasion and the destruction of Kiev in Many were written in the hope of converting Jews,
1240, the metropolitans tended to be Greeks. In but many more were polemical. As with Islam (see
the 12th century, the disintegration of the Kievan below, F.), apologetics – defences against Jewish
Rus’ into multiple princedoms began to acceler- critiques of Christianity, for instance, criticism of
ate, and the new princely seats were also made the veneration of icons – were mixed with attacks
episcopal sees, all still under the jurisdiction of on Jewish beliefs. Some, for example, equated the
the metropolitan of Kiev [12]. In view not least Messiah whom the Jews still awaited with the
of the political fragmentation of the Russian ter- Antichrist. The Roman destruction of the Temple
ritories, the patriarchate sought to preserve this in ad 70 was also cited as proof of the error of the
important metropolis as a unifying force and Jews [8].
to prevent its becoming a pawn of local secular Despite these hostilities, a number of Jewish
powers by appointing non-Russian metropoli- congregations continued to exist in the Byzantine
tans, but this strategy failed in the last Byzantine Empire. The Jewish traveller Benjamin of Tudela,
centuries [10]. The unity of the Russian Church for instance, attested in the 12th century to con-
fractured along the frontier between the respec- gregations in some 25 larger cities. Around 1300,
tive spheres of influence of Poland-Lithuania and the Jewish presence in Constantinople, which also
Moscow, whose metropolitan also extracted him- included the operation of a synagogue, aroused
self from the jurisdiction of Constantinople in 1448 the ire of Patriarch Athanasios. Judaism at Con-
(→ 7.4. Church organization and personnel A.). stantinople also survived the conquest of 1453
(→ 15.7. Minorities in the empire) [2].
E. Judaism
The freedom of religion guaranteed to all citi- F. Islam
zens of the Roman Empire by the Edict of Milan The shock of the Arab conquests of the 7th cen-
(313) also applied to the Jews, who over the pre- tury initially manifested itself in apocalyptic texts
ceding centuries had found themselves many interpreting the Arab advance as a harbinger of
times in fierce conflict with the Roman state. the Last Judgment and associating it with the hope
The growing influence of Christianity, however, of liberation by a Christian emperor of the apoca-
put new limits on the freedom of other religions lyptic End Times [6]. The first substantial theolog-
between the 4th and 6th centuries. Although Juda- ical works on Islam appeared in the 8th century
ism was not banned outright, Jews were, however, in the Caliphate; prominent authors included
prohibited or prevented from serving in the civil John of Damascus and Theodore Abu Qurra in
service or the army, from teaching publicly, from Upper Mesopotamia. However, the aim of these
converting Christians, from building new syna- texts, which became models for later works, was
gogues and, since the reign of Justinian in the 6th not to achieve an understanding of Islam, but
century, from owning Christian slaves and giving rather to refute it [17]. The authors adopted a
testimony in court against Christians. Clerics and mixture of defending Christianity against Mus-
lay clergy of the Eastern Church were permitted lim accusations – particularly in regard to the
only limited dealings with Jews [2]. Trinity, the view of Christ as the Son of God, the
The tightening of legal restrictions provoked supposed forgery of Holy Scripture and the ven-
several Jewish uprisings in Palaestina, particularly eration of icons – and attacking Islam, focusing on
in the 6th century. Jews were also accused of col- the following points: that Mohammed was a false
laborating with the Persian troops who took Jeru- prophet inspired by heretics or Jews, that he had
salem in 614 and later with the Arab conquerors. led an impure life, and that the Quran was riddled
When Herakleios defeated the Persians in 630, with errors and nefarious instructions (polygamy,
277 7.6. relations with other churches and religions

call to violence in holy war). Islamic depictions G. Dagron, Kirche und Staat – Von der Mitte des 9.
of Paradise as a venue of sensual pleasures also bis zum Ende des 10. Jahrhunderts, in: G. Dagron et
caused offence [1]; [19]. al. (eds.), Bischöfe, Mönche und Kaiser, 642–1054 (Die
Niketas Byzantios wrote a substantial work of Geschichte des Christentums 4), 1994, 176–313 [4]
N. Garsoïan, Armenien, in: L. Piétri (ed.), Der
anti-Islamic polemic at Constantinople in the reign lateinische Westen und der byzantinische Osten,
of Basil I (867–886) that documents at least partial 431–642 (Die Geschichte des Christentums 3), 2001,
knowledge of the Quran. On the whole, however, 1187–1230 [5] C. Hannick, Die neue Christenheit
theological engagement with Islam lagged behind im Osten: Bulgarien, Rußland und Serbien, in: G.
that of the Latin Church both in quantity and in Dagron et al. (eds.), Bischöfe, Mönche und Kaiser,
quality [113*]. The debate gained new momentum 642–1054 (Die Geschichte des Christentums 4), 1994,
with the translation into Greek of the Dominican 921–952 [6] R. G. Hoyland, Seeing Islam as Others
Ricoldo da Monte Croce’s anti-Islamic work Con- Saw It. A Survey and Evaluation of Christian, Jewish
tra legem Sarracenorum (‘Against the Law of the and Zoroastrian Writings on Early Islam, 1997 [7]
T. M. Kolbaba, The Byzantine Lists. Errors of the
Saracens’) by Demetrios Kydones (between 1354
Latins, 2000 [8] A. Külzer, Disputationes graecae
and 1360). Arguments from this text found their contra Iudaeos. Untersuchungen zur byzantinischen
way into the substantial anti-Islamic polemics by antijüdischen Dialogliteratur und ihrem Judenbild,
John Kantakouzenos (1360) and the Dialogues with 1999 [9] J.-P. Mahé, Die armenische Kirche von
a Persian (1391) written by → Manuel II Palaiolo- 611 bis 1066, in: G. Dagron et al. (eds.), Bischöfe,
gos (2.6.) [1]. The growing Ottoman threat added Mönche und Kaiser, 642–1054 (Die Geschichte des
a new edge to the intellectual confrontation with Christentums 4), 1994, 473–542 [10] J. Meyen-
Islam in the 14th century [1]; [19]. dorff, Byzantium and the Rise of Russia. A Study of
The purpose of the debate, insofar as it was Byzantino-Russian Relations in the Fourteenth Cen-
not conducted on a merely fictional level in dia- tury, 1989 [11] E. Mitsiou / J. Preiser-Kapel-
ler, Übertritte zur byzantinisch-orthodoxen Kirche
logue, was also to convert Muslims to Christianity. in den Urkunden des Patriarchatsregisters von Kon-
A lengthy list of anathemata (‘curses’) to be per- stantinopel, in: C. Gastgeber / O. Kresten (eds.),
formed for the renunciation of Islam is preserved Sylloge diplomatico-palaeographica, part 1, 2010,
from the Middle Byzantine period, including sev- 233–288 [12] G. Podskalsky, Christentum und
eral figures of early Islamic history, the Quran, theologische Literatur in der Kiever Rus’ (988–1237),
various teachings of Mohammed, the Holy Places 1982 [13] G. Podskalsky, Theologische Literatur
of Islam and finally ‘the “God” of Mohammed’. The des Mittelalters in Bulgarien und Serbien, 865–1459,
list was altered in 1180 at the behest of Manuel I 2000 [14] M. Popović / J. Preiser-Kapeller,
Komnenos to make it more acceptable to poten- Das Patriarchat von Konstantinopel und die Kirchen
Bulgariens und Serbiens vom 13. bis zum 15. Jahrhun-
tial converts. Instances of the actual conversion of
dert, in: Historicum. Zeitschrift für Geschichte (2007)
Muslims to the Byzantine Church were few and 96, 2008, 62–70 [15] S. W. Reinert, The Muslim
far between, but naturally they attracted much Presence in Constantinople, 9th–15th Centuries.
interest at the time [11]. After 1300, complaints Some Preliminary Observations, in: H. Ahrweiler
about Christians converting to Islam were more / A. E. Laiou (eds.), Studies on the Internal Dias-
numerous, particularly within the growing territo- pora of the Byzantine Empire, 1998, 125–150 [16]
ries ruled by the Ottomans [21]. It was against this J. R. Ryder, The Career and Writings of Demetrius
backdrop that Patriarch Athanasios I complained Kydones. A Study of Fourteenth-Century Byzantine
to the emperor, around 1300, that Muslims were Politics, Religion and Society, 2010 [17] D. J. Sahas,
allowed to operate a mosque in Constantinople. In John of Damascus on Islam. The ‘Heresy of the Ish-
maelites’, 1972 [18] W. Selb, Orientalisches Kirch-
fact, an Islamic house of prayer had existed in the enrecht, vol. 2: Die Geschichte des Kirchenrechts
capital for centuries, and it was regularly a subject der Westsyrer (von den Anfängen bis zur Mongo-
of negotiations with Islamic rulers, who in return lenzeit), 1989 [19] K.-P. Todt, Kaiser Johannes VI.
for its existence promised protection to Christian Kantakuzenos und der Islam. Politische Realität und
sites in their domains [15]. Pragmatic solutions in theologische Polemik im palaiologenzeitlichen Byz-
diplomatic traffic across religious boundaries were anz, 1991 [20] G. Troupeau, Kirchen und Chris-
thus possible (→ 15.7. Minorities in the empire). ten im muslimischen Orient, in: G. Dagron et al.
Maps: Maps 15–19; BNP Suppl. 3, 229, 243 (eds.), Bischöfe, Mönche und Kaiser, 642–1054 (Die
Geschichte des Christentums 4), 1994, 391–472 [21]
S. Vryonis, The Decline of Medieval Hellenism in
Bibliography
Asia Minor and the Process of Islamization from the
Sources Eleventh through the Fifteenth Century, 1971.
[1] Manuel II. Palaiologos. Dialoge mit einem ‘Perser’
(WBS 2), edited by E. Trapp, 1966. Johannes Preiser-Kapeller

Secondary literature
[2] R. Bonfil et al. (eds.), Jews in Byzantium. Dia-
lectics of Minority and Majority Cultures, 2012 [3]
 45º Bosporus

Cherson

Dristra
Danub
e

A Odessos k Sea
dr Varna Blac
ia
ti Mesembria
c Anchialos
Sozopolis
Veria

Se
a
Philippoupolis Selymbria
Derkos
Dyrrhachium Adrianople Brysis Amastris
Pompeiopolis Trapezond
OHRID Maximianoupolis Bizye CONSTANTINOPLE Amasea
Arkadioupolis
Maroneia Drizipera
Cypsela Neocaesarea
Serrai Apros Chalkedon
Claudiopolis Colonea
Philippi Herakleia
Tarentum/ Thessalonica Traianopolis Prokonnesos Nicomedia Gangra Euchaita
Taras Ainus Kyzikos Nicaea Heracleopolis
40º Rhusium
Athos Kios
Parium Apameia Keltzene
Bithynian Olympos Ancyra Sebasteia
Kamacha
Larissa Germia
Corcyra Lemnos Pessinous
Hagia Severiane

A
Pharsalus Methymna Hadrianoutherai Cotyaeum Nacolea Germia
Achyraus
Neai Arsamosata

ege
Rhegium Leukas Patrai Amorion
Mytilene Caesarea Melitene
Synnada

an
Naupactus
Euripus
Thebes Antioch Pisidae
Smyrna Sardeis Neapolis
Hierapolis

Se
Catania Patras Athens Laodicea
Io

a
Ephesus Iconium
nia
7.6. relations with other churches and religions

Corinth Chonai Anazarbus

Syracuse Aegina Mistea
n Se
a Latmos Tyana
Mistha Tarsus Mopsuestia
Patmos Stauropolis Syllaiom
Miletus Selge
Perge Pompeiopolis
Side Euphra
tes
Seleukeia
Rhodes Myra ANTIOCH ON THE ORONTES

Carpathos
35º
Gortyn

35º
M
ed The Byzantine Church ca. 1000
ite
rran
ean Sea
CONSTANTINOPLE Patriarchate/autocephalous
metropolis with special status
Metropolitan see
Autocephalous archbishopric
0 100 200 300 400 500 km
Important monastic centre
25º 30º
278

Map 9: The Byzantine Church, ca. 1000

 50º
279
Kiev
Don
ets
Dnie
per
Ca Ga
rp
n
Do
at C u m1a2 n s
Dn 40
lic
hi ia ies
ter
109 1 -
an
M
o zars
of
h e0n9e1 g
Kingdom o f 1

un
t
P e9 Sea zov
Khaanate to ca. 965)
8 A ag h

ai
Hungary (Q

ns
Al a n s
Rijeka e
Zagreb Crima
Venice Bosporus
Pazin
Senj

Croa
Sirmium
Krk Zadar Cherson

Danube
Ca

tia
ucasus
Sibenik Singidunum

Pa
Ad
Spalato/Split Pliska
ea
ri ck S

pa
Hvar Cherven

l
at S e rbia Bla
i Ragusa

c
B ulgaria

St
Dubrovnik Serdica 40º
Mesembria
at

Se
Philippoupolis

a
es
Rome Constantinople
Veles Adrianople Neocaesarea Colonea
Dyrrhachium Claudiopolis
Brindisi Prespa Traianoupolis
Ancyra Sebastea
Bari Kamacha
Thessalonica

Cotyaeum
Melitene

Ae
Norman Mytilene Caesarea
Larissa

g
Antioch Pisidae
Kingdom of Sicily Smyrna

ea
us

n
Laodicea Iconium ur
Patras Ephesus Ta

Se
a
Seleucia Antioch
Eu
ph
Side ra
on the Orontes te
s
Myra Constantia
Rhodes
Malta Candia
Cyprus
ˁA

10º 20º Crete

Tyre
bb
ās
id
Western and Eastern Churches and the Empire Ca
liph
Me ate
in the 11th century dite
rranea Jerusalem
n Sea
Seat of a patriarch
Byzantine Orthodox territories 30º
Seat of a metropolitan Alexandria
or archbishop
Slavic Orthodox territories
Episcopal see
Latin Christian territories Greatest extent
of the Byzantine Empire
ca. 1045
0 100 200 300 400 500 km
Missionary activity
30º 40º
7.6. relations with other churches and religions

Map 10: Western and Eastern Churches and the Empire in the 11th century
8. Nature and environment, cultural and settlement
landscapes
I. Natural landscape and environment
8.1. Landscape and climate into the prefectures of Oriens and Aegyptus. The
8.2. Environmental changes empire was left only with its territories around the
Black Sea and Eastern Mediterranean (including
8.1. Landscape and climate the Adriatic) and its islands. Significant mainland
theatres from this period on were the Balkans as
A. Preliminary note far as the Danube and Sava, and at times Venetia,
B. General parts of southern Italy and Sicily and Asia Minor,
C. Southeastern Europe along with adjoining parts of the Levant and
D. Asia Minor Armenia farther east.
E. The seas In the first quarter of the 11th century, after
F. Climate a phase of reconquest, the Byzantine Empire
included the territories of the following modern
A. Preliminary note states (or parts of them): Italy, Croatia, Serbia, Bul-
Sources for this chapter and the next [15]; garia, Romania, Albania, North Macedonia, Greece,
[23177–182]; [24] comprise: (1) given natural condi- Turkey, Georgia, Armenia, Syria and Cyprus, and
tions (geography and geology, consequences of its total area was around 1.2 million km². Vital
climate changes, natural events such as volcanic heartlands in respect of Constantinople were its
activity, earthquakes and seaquakes, hydrologic European hinterland (Thrace), the parts of Greece
balance and water level changes); (2) material evi- bordering on the Aegean, western Asia Minor and
dence of human landscape use (surface changes, the adjoining maritime areas (the Bosporus, the
especially erosion as a result of agriculture, water adjacent western part of the Black Sea and Bulgar-
and forest use); (3) the names of landscapes, ter- ian coast, the Sea of Marmara/Propontis and the
rain formations, bodies of water and settlements; Aegean). Even after the 7th century, the sprawl-
(4) textual evidence: laws, documents, inscrip- ing nature of Byzantine territory meant that the
tions and, in the literature, specialist texts, travel empire contained a plethora of surface structures,
reports and ecphrases. landscape types and climatic zones. The most
important of these will be described here [19];
B. General [2332–39, 183–190].
The geographical limits of Byzantine territory
and its political sphere of influence cannot be sim- C. Southeastern Europe
ply stated, because both areas underwent frequent The European part of the empire [26vols. 1–3];
change over the eleven centuries of Byzantine his- [3 ]; [541–46]; [953–58]; [1364–67] comprised the Bal-
42–48

tory as a result of historical developments (with kan Peninsula roughly as far as the Sava and the
far-reaching demographic consequences). Even lower reaches of the Danube in the north and the
after its political separation from Central and Drina in the west, and for a long time also parts of
Western Europe, the Byzantine sphere of cultural the Dalmatian coast. In terms of geology, the Bal-
and religious influence expanded continuously, a kans were formed mainly in the Alpine orogeny
process that even survived the fall of the Byzan- that began in the Cretaceous period, whereby the
tine polity itself in the 15th century [2313–19]; [25]. Dinaric Alps, stretching to the southeast and south
With the exception of the years 1204 to 1261, the in several parallel necklaces, dominate the land-
political and cultural centre of the empire was its scape in the west with its largely barren karsts.
capital at the meeting-place of Europe and Asia, With the exception of the Neretva, its rivers drain
→ Constantinople (8.10.). north (into the Sava or Danube).
After the fall of the Western Roman Empire, To the west, the karst runs parallel to the Adri-
‘Byzantium’, the surviving Eastern Roman Empire, atic coast, with many small coastal plains and
suffered major territorial losses, which were only islands favourable for settlement lying before it. It
briefly reversed by → Justinian’s (2.3.; reg. 527–565) continues south in the Mirdita and Epirote Pindus
campaigns of reconquest in Italy and the Mediter- ranges and the Ionian Islands. The rivers of Alba-
ranean. Byzantine territories were further reduced nia and northwestern Greece flow into the Adriatic
between the late 6th and mid-7th centuries as a or the Ionian Sea. To the north and northeast, the
result of the Persian Wars, Slavic and Bulgar land karst borders fertile hilly country that leads into
grabs in the Balkans and Arab Islamic expansion plains to either side of the Sava and Danube and,
281 8.1. landscape and climate

in the east, the valleys of the Morava and Vardar/ Erzurum to the Gulf of Alexandretta/İskenderun)
Axios. In the east of the peninsula, the Balkans (a disruptions of the tertiary Alpids, the collision of
continuation of the Carpathian Arc) and the Vito- which gives rise to volcanic and seismic activ-
sha and Osogovo massifs surround the basin of ity [20]; [17] and is causing a steady lowering of
Serdika/Sofia. The Rila, Pirin and Rhodope ranges parts of the western and southern coast (particu-
follow on to the south. larly noticeable between Patara and Andriake, at
The southward-flowing rivers drain into the 1.5–2 mm per year).
partially marshy, fertile coastal plains of the In western Asia Minor (ca. 205,000 km²), the
Thermaic Gulf (the Haliakmon/Aliakmonas, Var- Lydian-Carian Massif (gneiss, crystalline schist) is
dar/Axios, Echedoros) and the northern Aegean surrounded by fold mountain chains running east
(Strymon, now Struma/Strymonas, Mesta/Nestos, to west with volcanic peaks (Bithynian Olympos,
Hebros, now Maritsa/Evros) in Macedonia and now Uludağ, 2,550  m; Ida, now Kazdağ, 1,770  m).
Thrace. In Macedonia, the Dinaric Alps gradu- Between them lay high plateaus and a striking area
ally break down into sporadic massifs. Schists, of endorheic lakes (e.g. Lake Polydorion/Burdur,
granite and gneiss replace limestone, making for Lake Akroteri(on)/Eğirdir, Lake Pusguse/Beyşehir,
more fertile soils and denser forestation. Some Tessarakonta Martyron/Lake Akşehir). In the west,
of the basins in the massifs contain lakes (Lake the mountains give way to an extensive region of
Ohrid, the Prespa Lakes, Lake Kastoria/Orestiada, fertile hill country and plains interspersed with
Lake Vegoritida/Ostrovo). The Mygdonian Basin, a lakes (Lakes Sapanca/Sophon/Söğütlü, Askania/
depression containing Lakes Koroneia and Volvi, İznik, Apolloniatis/Apolyont/Uluabat, Aphnitis/
separates the mountainous Chalcidice peninsula Manyas). Many rivers irrigate the western region,
from the Macedonian land mass. The Chalcidice most draining into the Aegean (Caicus/Bakırçay,
runs southwards into the three ‘fingers’ of Pal- Hermus/Gediz, Caister/Küçükmenderes, Maean-
lene/Kassandra, Sithonia/Longos and Acte/Mount der/Büyükmenderes, Indus/Dalaman), others into
Athos (the Hagion Oros, ‘Holy Mountain’). the Black Sea (Sangarius/Sakarya, Billaeus/Filyos)
The Thracian heartland between the River or the Propontis (Enbilus/Koça, Macestus/Susur-
Maritsa and the Strandzha and Koru (Gorica) luk, Rhyndacus/Adırnaz). Thanks to its good soil
massifs largely consists of a moderately fertile quality and Aegean climate, western Asia Minor
plain that leads (also geologically) across to Asia was one of the most fertile and densely populated
Minor around the Dardanelles and Çatalca/Metrai landscapes of the Byzantine world.
and Kocaeli peninsulas. Where they meet, Con- The transition to the Central Anatolian Pla-
stantinople was built on a hilly, triangular prom- teau (210,000 km², 800–1,300  m) occurs in a zone
ontory, the eastern tip of which projects into the between the mouth of the Sangarius in the north
entrance of the Bosporus. To its south is the Sea of and the Gulf of Antalya in the south. Volcanic
Marmara/Propontis; to its north the Golden Horn peaks rise from the plateau, the highest of them
(Chryson Keras, Turkish Haliç), an estuary inlet (of reaching an elevation of 3,258 m (Argaeus, Turkish
the Kydaros and Barbyses) more than 6 km long. Erciyes Dağ). Barren steppe, particularly around
the Tuz Gölü (‘Salt Lake’, Greek Tatta Limne, Byz-
D. Asia Minor antine Karateia Limne, ca. 1,600 km², salinity up
The Asian part of the empire ([2129–71]; cf. to 32.9 %), alternates with fertile basin landscapes
[447–61]; [643–47]; [722–29]; [852–61]; [1281–95]; [1048–56]) like that of Konya Ovası (1,200  m) and mountain
comprised (including Armenia and parts of Syria) pastures (Turkish yayla; → 8.4. Animal use and pas-
an area exceeding 700,000 km². Asia Minor forms toralism C.) with summer grazing. Central Anato-
an approximate rectangle (lengthways east-west: lia is bordered to the north for some 1,100 km by
ca. 1,200 km; north-south: ca. 600 km) with clear the Pontic Mountains (up to 3, 937  m, mostly schist
boundaries in the south (Levantine Sea), west and limestone), which thanks to the climatic influ-
(Aegean) and north (Dardanelles, Propontis, Bos- ence of the Black Sea are thickly forested, and
porus and Black Sea). Its eastern border, which which only a few rivers cross. The southern limit is
Ptolemy (Claudius Ptolemaeus; Hyphegesis 8,29,17 formed by the Taurus Mountains (up to 3,756  m),
[1]) already discussed, ran in the Byzantine mind pierced by the River Cydnus (now Berdan Çayi)
(Constantine Porphyrogennetos, De thematibus, at the Cilician Gates, originally only a few metres
Asia, prologue; mid-10th cent. [2]) roughly along wide. Some narrow strips of the southern coast,
a line from the mouth of the Acampsis (Turkish the Cilician Plain and the zone merging into Syria
Çoruh) along the western arm of the Euphrates are fertile thanks to rivers. The mountains to the
across the Antitaurus Mountains to the Gulf of north and south create rain shadows and contrib-
Alexandretta (İskenderun). Geologically speaking, ute to the dry, continental climate of the plateau.
Asia Minor belongs to the northern Anatolian (par- The transition into eastern Asia Minor takes
allel to the Black Sea coast from the Kocaeli pen- place around the watershed between rivers flow-
insula to Lake Van) and eastern Anatolian (from ing into the Black Sea (Halys/Kızılırmak, Iris/
8.1. landscape and climate 282

Yeşilırmak and its tributary the Lycus/Kelkit, cipitation than the Western Mediterranean. The
Acampsis/Çoruh), the Mediterranean (Calycad- Aegean, already windy in any case, has steady,
nus/Göksu, Lamos/Limonlu, Saros/Seyhan and strong northerly and northeasterly winds between
Pyramus/Ceyhan), the Caspian Sea (Cyrus/Kura, May and September (the Etesian Winds; Greek
Araxes/Aras) and Gulf of Persia (Arsanias/Murat, meltemi), which contribute to rapid desiccation.
Euphrates, Tigris). The plateau elevation rises Mountains near the coasts and on the islands
above 1,200 m in the east (Tephrike, now Divriği, of Dalmatia as well as in Epirus and Macedonia
1,250  m; Ani, 1,464  m; Van, 1,640  m; Erzurum, 1,950  stimulate heavy precipitation. The mild Black Sea
m), and the Pontus and Antitaurus Mountains coast enjoys plentiful rain year round, facilitating
meet here, with many peaks above 3,000 m (Ara- rich agriculture along the littoral. The location of
rat 5,137  m). Endorheic salt lakes are embedded in Constantinople at the meeting place of the mari-
the mountainous landscape (e.g. Lake Urmia, Lake time and continental climates and the constant
Van). winds between the Black Sea and Aegean create a
climate that is cold in the winter and damp.
E. The seas The interiors of Southeastern Europe and Asia
Maritime links were vital to the survival of Minor have continental climates featuring some-
Constantinople ([26vol. 4]; [22]; cf. [1157–70]) and times considerable temperature variations and
comprised (1) the Bosporus (30 km long, 0.7–2.5 low humidity. Precipitation varies according to
km wide, max. depth 124  m, north-south current location, proximity to the sea and rain-shadow
of 1.5–4 km/h) and the adjoining western part of effects. The climate becomes more continental
the Black Sea (Latin Mare Euxinum, Greek Euxei- the further east one goes. The Balkans have a
nos Pontos/Maure Thalassa) as far as the Crimean moderate continental climate with winter frosts
Peninsula, into which flow the Danube, Danastris and year-round precipitation. The area is drought-
(now Dniester), Hypanis (now Southern Bug) and
Danapris (now Dnieper); (2) the Sea of Marmara
(Propontis, approx. 280 × 80 km, approx. 11,650
km², max. depth 1,355  m) and the two partially Annual Average temperatures
inhabited island groups of Principus and Marmara precipitation in ºC (coldest and
(origin of Proconnesian marble). The Dardanelles (mm) warmest months)
(Hellespont(us), 65 km long, 1.3–6 km wide, max. Adrianople 609 2,0 / 24,6
depth 82 m, east-west current 0.5–1 km/h) link
the Propontis with the Aegean (Mare Aegaeum/ Aleppo 360 5,9 / 28,8
Aigaion Pelagos, ca. 650 × 200–400 km, ca. 180,000 Athens 402 9,0 / 27,2
km², depth around Carpathos up to 2,520  m).
The Aegean is fringed to the north and west by Attaleia 1030 10,0 / 28,2
the Greek mainland and the Peloponnese, to the
Chania (Crete) 701 11,5 / 24,9
east by Asia Minor and to the south by the Southern
Aegean island chain (Cythera, Crete, Casos, Car- Damascus 208 7,1 / 26,9
pathos, Rhodes). Particularly in the south, mostly
mountainous islands are scattered at almost regu- Edessa/Urfa 452 5,0 / 31,7
lar intervals across the sea (maximum distance: 40 Ioannina 1140 6,1 / 25,5
km). Of the roughly 1,000 Aegean islands, at least
60 were inhabited in Byzantine times (the largest Corcyra/Corfu 1137 9,9 / 25,6
being Crete, 8,259 km²; Euboea just off the main-
land, 3,654 km²; Rhodes, 1,398 km²; Chios, 842 Constantinople 852 4,0 / 29,4
km²; and Lesbos, 633 km²). The only island off the Laodicea 775 10,7 / 26,8
southern coast of Asia Minor, Cyprus (9,251 km²),
is crossed by the Kyrenia Mountains in the north Palmyra 122 7,2 / 29,4
and the Troödos Mountains in the southwest, with Rhodes 651 12,6 / 26,6
the fertile Mesaoria Plain between.
Rizos 2441 6,9 / 22,6
F. Climate
The Byzantine Empire extended into a number Smyrna 693 8,6 / 27,6
of different climatic zones (cf. fig. 1; [19]; [2174–94]; Sofia 650 ‒1,4 / 21,5
[28204–207]; [2340–44, 190–192]; cf. [1168–70]; [1366 f.]). Being
mostly maritime, much of it (islands, coasts and Thessalonica 477 6,1 / 26,9
hinterlands) enjoyed a warm, temperate Medi-
terranean climate, with higher daily and annual Fig. 1: Climate data in the Byzantine world (table; data
temperature variations and lower levels of pre- after [2340–44]).
283 8.2. environmental changes

prone in the summer, increasingly so towards the in the Mediterranean Area from the 11th to the 15th
southeast. The interior of Asia Minor is domi- Century, 2005 [21] W.-D. Hütteroth / V. Höh-
nated by a steppe climate with extreme tempera- feld, Türkei, 22002 [22] F. Karagianni (ed.),
ture amplitudes and low precipitation. Adjoining Medieval Ports in North Aegean and the Black Sea.
Links to the Maritime Routes of the East, 2013 [23] J.
Upper Mesopotamia has a clear northwest-south- Koder, Der Lebensraum der Byzantiner. Historisch-
east precipitation gradient; most precipitation geographischer Abriß ihres mittelalterlichen Staates
falls in the spring, and winter cold declines mark- im östlichen Mittelmeerraum, 22001 [24] J. Koder,
edly along the same gradient. Handelsgüter und Verkehrswege. Problemstellung,
In general, the key event in the history of the Quellenlage, Methoden, in: E. Kislinger et al. (eds.),
eastern Mediterranean climate in this period Handelsgüter und Verkehrswege. Aspekte der Waren-
occurred in the 6th century, when a period of mark- versorgung im östlichen Mittelmeerraum (4. bis
edly warmer winters since around 1200 bc came 15. Jahrhundert), 2010, 13–24 [25] A. Philippson,
to a close ([18]; [27]; [16]; [14]; cf. [1294 f.]). Cooling Das byzantinische Reich als geographische Ers-
cheinung, 1939 [26] A. Philippson et al. (eds.),
temperatures, together with assorted changes in
Die griechischen Landschaften. Eine Landeskunde,
precipitation patterns and the consequences of 4 vols., 1950–1959 [27] I. G. Telelis, Climatic Fluc-
the Plague of Justinian, caused dramatic popu- tuations in the Eastern Mediterranean and the Middle
lation decline, combined with forest and scrub East ad 300–1500 from Byzantine Documentary and
regeneration and expansion that continued into Proxy Physical Paleoclimatic Evidence. A Compari-
the 9th century. The ensuing warm phase waned son, in: JÖB 58, 2008, 167–207 [28] H.-G. Wagner,
after the middle of the 14th century (at roughly Mittelmeerraum, 2001.
the same time as the Black Death, which struck
in 1347/48), giving way to a cold phase that lasted Johannes Koder
until the 16th century. Regardless of regional and
temporary trends, regions with a maritime climate 8.2. Environmental changes
were much more densely populated than those
with continental climates throughout the Byzan- A. Introduction
tine period. B. Forest and scrub
C. Erosion and water management
Bibliography D. Agricultural land use and mineral resources

Sources A. Introduction
[1] Claudius Ptolemaeus, Handbuch der Geog- Natural and anthropogenic factors, sometimes
raphie, 2 vols., edited by A. Stückelberger and G. magnifying each other, sometimes compensat-
Graßhoff, 2006 [2] Constantin Porphyrogen-
netos, De thematibus, edited by A. Pertusi, 1952.
ing for one another, led to changes in the natural
landscape and environment. Natural factors in the
Secondary literature Byzantine period included climatic changes and
[3] TIB 1, 1976 [4] TIB 2, 1981 [5] TIB 3, 1981 [6] seismic events; anthropogenic factors included
TIB 4, 1984 [7] TIB 5, 1990 [8] TIB 7, 1990 [9] TIB demographic and economic developments caused
6, 1991 [10] TIB 9, 1996 [11] TIB 10, 1998 [12] TIB by natural, political or military events, which
8, 2004 [13] TIB 12, 2008 [14] S. Bottema, Pollen determined the extent of human use of the land-
Proxy Data from Southeastern Europe and the Near scape, especially forests and scrubland. Other fac-
East, in: Paläoklimaforschung 10, 1991, 63–79 [15] tors included the exploitation of mineral resources
N. Drocourt, Exploitation des sources et pistes de and developments in settlement behaviour (relo-
recherche historiographiques. Le domaine byzantin, cation or structural alteration of settlements,
in: F. Clément (ed.), Histoire et nature. Pour une
histoire écologique des sociétés méditerranéennes,
abandonments, new foundations).
2011, 185–216 [16] W. J. Eastwood et al., Holo-
cene Climate Change in the Eastern Mediterranean B. Forest and scrub
Region. A Comparison of Stable Isotope and Pollen Endemic forests ([19225–231]; [1351–54, 57–59, 192–194];
Data from Lake Gölhisar, Southwest Turkey, in: Jour- [7]; cf. [4174–177]), both coniferous (Aleppo pine,
nal of Quaternary Science 22, 2006, 327–341 [17] P. Turkish pine, spruce, cedar) and deciduous (ker-
Euangelatu-Notara, Σεισμοί στο Βυζάντιο, από τον mes oak, holm oak, tree heath, myrtle, terebinth,
13ο μέχρι και τον 15ο αιώνα, 1993 [18] B. Frenzel, olive, carob), were already much reduced or
Klimageschichte der Antike nach stabilen Isotopen degraded to scrub (maquis) in Late Antiquity as a
aus der Zellulose des Holzes mitteleuropäischer result of population densities that remained high
Bäume, 2010 [19] B. Geyer, Physical Factors in
the Evolution of the Landscape and Land Use, in:
until the 6th century. The direct causes of defor-
A. E. Laiou (ed.), The Economic History of Byzan- estation were felling for immediate industrial use
tium. From the Seventh through the Fifteenth Cen- (shipbuilding, housebuilding, scaffolding, equip-
tury, vol. 1, 2002, 31–45 [20] E. Guidoboni / A. ment such as siege engines; cf. → 10.17. Timber
Comastri, Catalogue of Earthquakes and Tsunamis as a building material; on the trade in timber for
8.2. environmental changes 284

construction: [15]) and especially destructive use Much of this fine soil, however, was carried
as an energy source, for which wood of any quality downstream, causing shifts in river courses and
was used, also in the form of charcoal (domestic estuaries, and filling bays with sediment to form
fires, heating, use in taverns and bakeries, potter- deltas. Virtually all the rivers flowing into the
ies, metal and glass production etc.). Aegean from Asia Minor and the Balkans, and into
Timber shortages meant that pine cones, nut the Ionian and Black Seas, were affected, forcing
shells, bark and dried cow manure mixed with ports like Adramyttion, Smyrna, Ephesus, Miletus
straw (zarzakon) were all used in domestic fires, and Priene constantly to clear their approaches of
despite their low calorific value. Forests were debris.
often cleared to create or expand arable land The natural regeneration of steppe or karst
(which was also necessary on account of soil even flora in thinly populated areas like the Central
while demand for agricultural produce remained Anatolian Plateau made it possible to use these
constant); clearing might also occur as a result of lands for nomadic grazing.
overgrazing (not so much by cattle and horses as
by less discriminating donkeys, mules, dromedar- D. Agricultural land use and
ies and sheep, and especially goats, which will mineral resources
even eat root material). Resin harvesting may also Agricultural land use ([12]; [14]; [1355–57, 194 f.];
have contributed to degradation, especially on [10]; cf. [1230]; [4156–165]) was hampered by semi-
Chios, where felling was necessary for the harvest- arid climatic conditions. Apart from some traces
ing of mastic, the resin of the lentisk tree (Pistacia of abandoned fields and the aforementioned ter-
lentiscus; cf. [395 f.]). racing, the only evidence of water management
Forests regenerated between the 6th and 9th [8] – particularly in areas that are in use today
centuries as a result of climate changes and popu- – is indirect, in the form of inscriptions, laws
lation decline, even though Byzantine and Arab and other official documents; or sporadic, in the
shipbuilding began increasing in the 7th century form of small finds [18] and especially structural
and larger expanses of land (on slopes in hilly remains (wells, conduits, canals, stables, wine and
areas) were coming under cultivation in the Bal- oil presses, underground grain stores and cellars).
kans as a result of the massive influx of Slavic set- The extent of land in use probably declined after
tlers. In Asia Minor, the settlement of the Seljuks the middle of the 6th century, not only as a result
after the mid-11th century caused a partial aban- of demographic decline, but also of the aban-
donment of arable land and an increase in grazing, donment or perhaps temporary neglect of water
while the enlargement of the western fleets that management structures (river controls, artificial
began with the First Crusade (1096–1099) raised irrigation). Compensating for this, new slopes
the demand for timber for shipbuilding, which were brought into use (partly by arriving Slavs).
reduced forests near the coasts throughout the This was made possible by the use of more suit-
eastern Mediterranean (not only in Dalmatia). able grain types (rye and oats, as well as wheat,
millet and barley), better equipment and, increas-
C. Erosion and water management ingly, the two-field system.
Water and wind erosion ([1144–56]; [19207–209]; Information on the mineral resources exploited
[1345–51, 192 f.]; cf. [2149–151]; [4156–172]) was a phenom- in the Byzantine period ([16]; [1358–61, 194]; cf. [2151 f.];
enon that went hand in hand with the reduction [4177–179]) pertains only to a few metals, alum and
of arable land in consequence of the Persian Wars fossil oil and is also incomplete in regard to the
of the 6th century, the Arab expansion of the 7th, location of reserves. Armenian gold was of nota-
and then the settlement of Asia Minor by Turkic ble importance, and there is also evidence of gold
tribes in the 11th century. The topsoil of arable extraction in Thrace, for instance from the sands
land that was no longer worked and that was not of the river Hebros. Silver and copper mining is
protected by natural growth was stripped away in attested on the north coast of Asia Minor and on
the Levantine transitional zones by wind or (more Cyprus, iron ore and copper mining in Thrace
rarely) by heavy rainfall, leaving desert steppe (e.g. and on Thasos; and gold, silver lead and cop-
in Syria). In Asia Minor and the Balkans, rainwa- per mining in Bosnia (→ 10.10. Goldsmithing and
ter washed topsoil down gullies that developed silversmithing).
on slopes where land was no longer under culti- There were important marble quarries (most
vation, especially terraced soil on steep hillsides. confined to the Early Byzantine period) on Procon-
Topsoil might be deposited at the foot of such a nesus (Marmara Island), in western Asia Minor,
slope, to some extent accumulating up the slope Thessaly, Attica, the Peloponnese and on many
again, or else forming a stratum of fine material Aegean islands [17]. Throughout the empire, stone
perhaps several metres thick on the valley floor or for building was extracted from quarries as close as
in a basin. Sometimes, finds of sherds and broken possible to the site where it was to be used (→ 10.6.
brick in such strata allow them to be dated. Stone working and processing). Alum for manu-
285 8.2. environmental changes

facturing → textiles (10.16.) and → leather goods Frühgeschichtliche Landwirtschaft Südosteuropas.

(10.15.) was obtained in western and northeastern Vom Großgrundbesitz zur Großgrundwirtschaft, in:
Asia Minor [5vol. 2, 769–782] and on Lesbos and Crete. F. Horst (ed.), Produktivkräfte und Produktions-
In addition to alum, terra sigillata, a red clay earth verhältnisse in ur- und frühgeschichtlicher Zeit,
1985, 303–310 [11] W.-D. Hütteroth / V. Höh-
from Lemnos (Lemniake ge), Chios or Kimolos was feld, Türkei, 22002 [12] A. Izdebski, The Chang-
also used for medicinal and cosmetic purposes (cf. ing Landscapes of Byzantine Northern Anatolia,
[396 f.]). Salt was mostly obtained from salt works in: Archaeologia Bulgarica 16, 2012, 47–66 [13] J.
(halykai) established on many shallow stretches of Koder, Der Lebensraum der Byzantiner. Historisch-
shoreline, but was also taken from salt lakes, espe- geographischer Abriß ihres mittelalterlichen Staates
cially the Tuz Gölü (Greek Tatta Limne; Byzantine im östlichen Mittelmeerraum, 22001 [14] J. Koder,
Karateia Limne; over 1,600 km²) in Cappadocia. Handelsgüter und Verkehrswege. Problemstellung,
Bitumen or fossil oil (naphtha), essential for Quellenlage, Methoden, in: E. Kislinger et al. (eds.),
the production of ‘Greek Fire’ (hygron pyr, ‘liquid Handelsgüter und Verkehrswege. Aspekte der Waren-
versorgung im östlichen Mittelmeerraum (4. bis
fire’), was extracted at Derzene (northeastern Asia
15. Jahrhundert), 2010, 13–24 [15] P. J. Kuniholm et
Minor) and especially on the northeastern shore al., Evidence for Early Timber Trade in the Mediterra-
of the Black Sea at Tamatarcha and Zichia (in the nean, in: K. Belke et al. (eds.), Byzantina Mediterra-
Kuban region to either side of the Kuban River, on nea, 2007, 365–385 [16] K.-P. Matschke, Mining,
the Sea of Azov) [9]. in: A. E. Laiou (ed.), The Economic History of Byz-
antium. From the Seventh through the Fifteenth Cen-
Bibliography tury, vol. 1, 2002, 115–120 [17] J.-P. Sodini, Marble
[1] TIB 2, 1981 [2] TIB 6, 1991 [3] TIB 10, 1998 [4] and Stoneworking in Byzantium, 7th–15th Centuries,
TIB 8, 2004 [5] I. Balard, La Romanie génoise in: A. E. Laiou (ed.), The Economic History of Byz-
(XIIe–début du XVe siècle), 2 vols., 1978 [6] S. Bot- antium. From the Seventh through the Fifteenth Cen-
tema, Pollen Proxy Data from Southeastern Europe tury, vol. 1, 2002, 129–146 [18] J. Vroom, Byzantine
and the Near East, in: Paläoklimaforschung 10, 1991, to Modern Pottery in the Aegean, 7th to 20th Century.
63–79 [7] A. Dunn, The Exploitation and Control An Introduction and Field Guide, 2005 [19] H.-G.
of Woodland and Scrubland in the Byzantine World, Wagner, Mittelmeerraum, 2001.
in: GRBS 16, 1992, 235–298 [8] M. Gérolyma-
tou, La gestion de l’eau dans les campagnes byz- Johannes Koder
antines, in: REB 63, 2005, 195–205 [9] J. Haldon,
Greek Fire Revisited. Recent and Current Research,
in: E. Jeffreys (ed.), Byzantine Style, Religion,
and Civilization, 2006, 290–325 [10] J. Henning,
II. Cultural landscape
8.3. Archaeobotany tently carbonized), but especially because grains
made the most important contribution to daily
A. Introduction calorific intake. The following species have been
B. Grain identified: common wheat (Triticum aestivum),
C. Pulses durum wheat (Triticum durum), dinkel (Triticum
D. Oleaginous and fibrous plants spelta), emmer (Triticum dococcum), einkorn
E. Garden and forage plants wheat (Triticum monococcum), barley (Hordeum
vulgare), rye (Secale cereale), oats (Avena sativa),
A. Introduction proso millet (Panicum miliaceum), foxtail millet
Archaeobotany (or paleoethnobotany) is an (Setaria italica), sorghum (Sorghum bicolor) and
interdisciplinary field of research into fossil and rice (Oryza sativa). Analyses usually show evi-
subfossil plant remains that involves archaeolo- dence of one main grain type with smaller quanti-
gists and botanists. The analysis of macro-remains ties of other types.
can afford insights into Byzantine food habits. The Overall, the most popular and widespread
diversity of landscape types and climate zones types, particularly in the Early Byzantine period,
across the Byzantine Empire is reflected in the were free-threshing wheats (common wheat,
results of such analyses. Most cultigens and crops durum wheat) and barley. Free-threshing wheats
could be cultivated without difficulty in coastal occur almost everywhere, but the main centre of
regions, but sophisticated irrigation systems were cultivation was in the northwestern regions of
required in order to practice agriculture and hor- the empire (Italy, the Balkans, Greece). In south-
ticulture in the eastern and southern arid and ern regions, especially Egypt, the more drought-
semi-arid regions, particularly those beyond the resistant durum wheat was the main crop. Spelts
250 mm isohyet (the interior of the Levant, Egypt (emmer, einkorn, dinkel) lagged far behind free-
and North Africa). threshing wheats. Although emmer and einkorn
Most archaeobotanical analysis concerns the were found everywhere, they had already faded
Early Byzantine period (4th–7th cents.). Studies from significance as a foodstuff in the Roman
of the Middle Byzantine (7th–12th cents.) and period, and by now occurred in grain fields essen-
Late Byzantine (13th–15th cents.) periods have tially as crop weeds.
been comparatively sporadic. In order to high- The decline of spelt and the rise of free-
light regional differences more clearly, the plant threshing grains (wheats, rye) were also related
spectra of eight macroregions have been studied: to improved grain storage facilities (granaries and
Italy [7], the Balkans [9], Greece [14], Crimea, storage vessels), which meant that grain no longer
Asia Minor [5], Syria/Palaestina [12], Egypt [4] needed to be stored in the husk to protect it from
and North Africa [16], but there is an imbalance, mould and vermin. The only place where dinkel
since some regions (Balkans, Egypt) have received has been found in large quantities is Kilise Tepe in
more attention from scholars than others (Greece, Asia Minor [2]. Given that similar amounts have
North Africa). been found nowhere else at any period (except
The Early Byzantine period exhibits a broad sporadic finds Hagios Mamas in the Late Byzanz-
spectrum of cultivated and imported species, espe- tine period [8]), this appears to have been a local
cially in regions with commercial centres, such as phenomenon.
North Africa (Carthage) [16], Egypt (Berenice) [4] Barley was also widespread. The commonest
and Syria/Palaestina (Caesarea Maritima) [12]. variety in cultivation was the six-row barley (Hor-
The spectrum of species in the Middle Byzantine deum vulgare var. vulgare), although there are rare
period is much narrower; studies are available instances of the cultivation of the two-row form
from Italy [1] and Asia Minor [5]. Two studies (Hordeum distichon). Barley is not a typical bread
focus on the transition from the Middle to the grain, but its caryopses can be ground into flour
Late Byzantine period, from Cherson/Chersonesus and worked into flatbread or eaten as pearl bar-
on the Crimea and Hagios Mamas in Greece (see ley. Barley was used as animal feed only in peri-
below,  B.) [8]. ods of plenty. Its importance in human nutrition
is particularly apparent where it was the primary
B. Grain grain type, e.g. at Humayma [13358]. Its resistance
Most identified plant remains are from species to drought also made barley suitable for cultiva-
of grain. This is partly because of a high likelihood tion in arid regions.
of carbonization (when grains were processed, Oats have been found comparatively rarely in
they were often dried by heat and thus inadver- Greece, the Balkans and Italy. It is probable that
287 8.3. archaeobotany

this grain, apart from supporting human nutrition, Egypt, where they were an important crop along
was used mainly as animal fodder, especially for with lentils. Chickpeas were rather uncommon in
horses [9419]. the Early Byzantine period but were abundant in
The main cultivation zone of rye in the Early the Middle Byzantine period at Classe, the port of
Byzantine period was in the Balkans. Rye has been Ravenna [1], and in the Late Byzantine period at
found in such quantities at Early Byzantine Iatrus Hagios Mamas [8].
[9] and Middle/Late Byzantine Hagios Mamas [8]
that it probably served as the primary grain type D. Oleaginous and fibrous plants
there. Rye is relatively undemanding and can be The classical oleaginous and fibrous plants
grown on poor soils. It is regarded as a typically are flax (or linseed; Linum usitatissimum), hemp
Western and Central European grain crop, making (Cannabis sativa) and opium poppy (Papaver som-
the finds at Hagios Mamas particularly surprising niferum). All are comparatively rare in the record.
[8]. The most widespread was the multifunctional flax.
Of the millet varieties, proso millet was the Oil was for cooking or technical purposes pressed
most widespread. Like rye, it was most plentiful in from the seeds, and the herbaceous portions of the
the Balkans, and less so in Italy, Turkey and Syria/ plant were used for making fibres. Opium poppy is
Palaestina. There is evidence of the cultivation of a rare find, the largest instance being at Carthage
sorghum in Egypt. Although the date of its domes- [16].
tication has yet to be determined, it is possible Many other plants with oleiferous seeds were
that sorghum was already being cultivated in the also used for obtaining oil, e.g. sesame (Sesamum
late 1st century bc. At all events, many remains indicum), olives (Olea europea) and safflower (Car-
of sorghum caryopses and husks found at Kom thamus tinctorius). There have been rare finds of
el-Nana and Berenice clearly indicate that it was sesame at Berenice and Nicopolis ad Istrum [3],
cultivated during the Byzantine period [15]; [4]. where cultivation cannot have been local – in
Rice has been found only at the Egyptian find the case of Berenice, the sesame seeds may have
sites of Berenice and nearby Shenshef. It was not been imported from the Nile Valley [4125]. There
cultivated locally, but imported from India. Some was already a long tradition in the Mediterranean
of the rice supply would have provided for Indian world of using olives to make oil by the Byzantine
traders present in the locality. Berenice was a port period. Its habitat requirements limited its cultiva-
and commercial centre, so it is conceivable that tion to regions with a Mediterranean climate. One
traders from other parts of the world were spend- well-known centre of olive cultivation and olive
ing time there at this period [4156]. oil production was Carthage.

C. Pulses E. Garden and forage plants

Pulses were an important source of plant pro- Besides field crops, there is also evidence of
tein for the human and animal diet. Their ability the cultivation of spices, vegetables, fruit and nuts.
to fix nitrogen in the soil also led to their use as Because of the care they required, these plants
green manure in crop rotation systems. Legumi- were not usually grown in fields, but in gardens.
nous plants were usually cultivated in fields or Some were foraged from the environs of settle-
kitchen gardens. The most widespread types in the ments or imported. Many species were multifunc-
Early Byzantine period were the fava bean (Vicia tional, e.g. for spicing and eating fresh. Garden and
faba), the pea (Pisum sativum), the lentil (Lens forage plants are often less visible in the find spec-
culinaris), the ervil (Vicia ervilia), the grass pea trum than field crops, partly because leaves and
(Lathyrus sativus), the chickpea (Cicer arientum) shoots are not generally preserved, in contrast to
and the white lupin (Lupinus albus). Fava beans seeds and fruits, and partly because they tended
and lentils occurred in almost all regions of the to be eaten fresh, greatly reducing the chances of
empire and remained the most widespread types carbonization.
in the Middle Byzantine period. There was nonetheless great diversity in gar-
Ervil seems to have been widely grown but den and forage plants, with over 100 species in the
was often used as animal feed. The bitterness of Early Byzantine period. Many plant remains have
the seeds probably made them unattractive for been brought forth at find sites that have kept
human consumption, but their wide range sug- material permanently wet or dry (thus hampering
gests that they were eaten nonetheless. The seeds decomposition by microorganisms). The greatest
had to be leached or boiled before eating or feed- variety of fruit, vegetable, spice and nut species is
ing to animals in order to remove the distaste- found in North Africa, Egypt and Syria/Palaestina –
ful bitterness [9419]; the same applied to grass mainly thanks to the influence of the port cit-
peas. Chickpeas and white lupins are far rarer in ies of Carthage, Berenice and Caesarea Mari-
the find spectrum, the latter being found only in tima. Spices found at Berenice include coriander
8.4. animal use and pastoralism 288

(Coriandrum sativum), cumin (Cuminum cymi- Medievale (Chiusdino/Siena 2006), 2006, 124–131 [2]
num), dill (Anethum graveolens), black cumin J. Bending / S. Colledge, The Archaeobotanical
(Nigella sativa) and black pepper (Piper nigrum). Assemblages, in: J. N. Postgate (ed.), Excavations
Some species, like pepper, were imported, but at Kilise Tepe. 1994–98, 2007, 583–595 [3] J. L.
Buysse, The Botanical Remains, in: A. Poulter
others, such as coriander and dill, may have been (eds.), Nicopolis ad Istrum. A Late Roman and Early
grown locally in well watered gardens. Dill in Byzantine City, 2007, 260–292 [4] R. T. J. Cappers,
particular thrives in an arid environment, and its Roman Foodprints at Berenike. Archaeobotanical Evi-
leaves can be used as a herb either dried or fresh. dence of Subsistence and Trade in the Eastern Desert
Coriander and dill were most widespread in the of Egypt, 2006 [5] J. Giorgi, The Plant Remains, in:
Early Byzantine period. C. S. Lightfoot / E. A. Ivison (eds.), The Lower
Evidence of vegetables is sparse everywhere. City Enclosure. Finds, Reports and Technical Stud-
Most comes from Egypt and Caesarea Maritima. ies (Amorion Reports 3), 2012, 395–418 [6] L. D.
Cultivated species included cucumbers (Cucumis Gorham, The Archaeobotany of the Bozburun Byz-
antine Shipwreck, 2000 [7] A. M. Grasso, Analisi
sativus), fennel (Foeniculum vulgare), leeks (Allium
archeobotaniche a Supersano (LE), in: Post Classical
porrum), garlic (Allium sativum), onions (Allium Archaeologies 1, 2011, 297–308 [8] H. Kroll, Byzan-
cepa), lettuce (Lactuca sativa), cabbage (Brassica tinischer Roggen von Agios Mamas, Chalkidiki, in: BZ
oleraceae), celery (Apium graveolens), parsnip 92, 1999, 474–478 [9] R. Neef, Archäobotanische
(Pastinaca sativa) and asparagus (Asparagus offi- Untersuchungen im spätantiken Iatrus/Krivina, in:
cinalis). Even in arid regions, vegetables and herbs G. von Bülow / N. Benecke (eds.), Iatrus-Kriv-
could be grown in watered gardens. ina. Spätantike Befestigung und frühmittelalterliche
Evidence of fruit and nuts is more plentiful Siedlung an der unteren Donau, vol. 6: Ergebnisse
than of herbs and vegetables. The commonest der Ausgrabungen 1992–2000, 2007, 415–445 [10]
finds are of grapes (Vitis vinifera), figs (Ficus car- T. Popova, Palaeobotanical and Anthracological
Analysis from the Roman Town Nicopolis ad Istrum
ica) and peaches (Prunus persica). Grapes were and Late Antique Hillfort of Dichin (Northern Bul-
eaten fresh or dried and could be transported over garia), in: Archaeologia Bulgarica 3, 1999, 69–75 [11]
great distances. Wine production was also very T. Popova / E. Marinova, Archaeobotanical and
important; amphorae from shipwrecks provide Anthracological Analysis of the Roman and Early
direct evidence of the wine trade [6]. Like grapes, Byzantine Castle Abritus in North-Eastern Bulgaria,
figs and dates (Phoenix dactylifera) could also be in: Archaeologia Bulgarica 4, 2000, 49–58 [12] J. H.
transported and eaten dried. Ramsay, Trade or Trash. An Examination of the
Other popular fruit types were apricots (Prunus Archaeobotanical Remains from the Byzantine Har-
armeniaca), plums (Prunus domestica), wild cher- bour at Caesarea Maritima, Israel, in: IJNA 39, 2010,
376–382 [13] J. H. Ramsay, Plant Remains, in: J. P.
ries (Prunus avium), pomegranates (Punica gra-
Oleson / R. Schick (eds.), Humayma Excavation
natum), raspberries (Rubus ideaus), blackberries Project, vol. 2: Nabatean Campground and Necropo-
(Rubus fruticosus), cornelian cherries (Cornus lis, Byzantine Churches, and Early Islamic Domestic
mas) and sloes (Prunus spinosa). Nuts, such as Structures, 2013, 353–360 [14] A. Sarpaki, The
almonds (Prunus amygdalus), walnuts (Juglans Archaeobotanical Material from the Site of Pyrgouthi
regia), hazelnuts (Corylus avellana) and pine nuts in the Berbati Valley. The Seeds, in: J. Hjohlman
(Pinus pinea) were also collected and traded. (ed.), Pyrgouthi, 2005, 313–341 [15] W. Smith,
Import finds of hazelnuts and walnuts occur in Archaeobotanical Investigations of Agriculture at Late
the Early Byzantine period in North Africa, Egypt Antique Kom el-Nana (Tell el-Amara), 2003 [16] W.
and elsewhere. In other regions (Italy, the Balkans, van Zeist et al., Diet and Vegetation at Ancient Car-
thage. The Archaeobotanical Evidence, 2001.
Asia Minor, Syria/Palaestina), they were cultivated
or foraged. Almonds were a typical Mediterranean Anna Elena Reuter
export commodity. They were found in all regions
in the Early and Middle Byzantine periods. Pine
nuts are encountered primarily in the commercial 8.4. Animal use and pastoralism
cities of Carthage, Berenice and Caesarea Mari-
tima. In contrast to Carthage and Berenice, pines A. Introduction
and walnuts were cultivated in the hinterland of B. Livestock farming
Caesarea, and it is therefore assumed that the C. Forms of pastoralism
remains found at the port there were intended for D. Riding animals and beasts of burden
export [12379]. E. Other domestic animals
Map: BNP Suppl. 3, 247 F. Hunting
G. Fishing
Bibliography
[1] A. Augenti et al., Indagini archeologiche a A. Introduction
Classe (scavi 2004), in: R. Francovich / M. Val- Animals were important to Byzantine life in
enti (eds.), IV Congresso Nazionale di Archeologia many different ways. Although the Byzantine
289 8.4. animal use and pastoralism

Fig. 2: Comparison of
average percentages of
sheep/goat, cattle and
pigs in Byzantine find
complexes (diagram/
graphic with values
for the Roman period
obtained by King [11];
from: [14151, fig. 65]).
Inner circle: Roman,
outer circle: Byzantine,
except Danube – inner
circle: Roman, middle
circle: Early Byzantine,
outer circle: Middle
Byzantine – and Egypt,
Byzantine period only.

diet was plant-dominated, it also included meat, B. Livestock farming

fish, shellfish, dairy products, eggs, honey and so Local livestock farming strategies are reflected
on. Non-edible parts of animal bodies were also in the quantitative tallies of livestock species iden-
used, e.g. to produce furs, → leather (10.15.), parch- tified in archaeozoological studies and in the evi-
ment, sails and artefacts made of tendons, bones dence of ages at slaughter. Most of the meat eaten
and antlers. Secondary products taken from living in Byzantine cities and settlements came from
livestock – milk, wool and eggs – were very impor- sheep, goats, pigs and cows. Geographical condi-
tant, and the work done by oxen, horses, mules tions dictate which species predominated. Sheep
and donkeys (and dromedaries in the Levant and and goats could be kept anywhere in the moun-
North Africa) was vital to transportation (→ 9.3. tainous, sometimes very dry and barren eastern
Modes of transportation by land) and agriculture, Mediterranean, whereas pigs could be kept on
the sector in which most of the Byzantine popu- a large scale only in certain areas, mainly along
lace worked. coasts and in water meadows, where oaks pro-
Textual and pictorial sources are supple- vided food high in energy. Intensive cattle farm-
mented by finds of animal remains in archaeologi- ing, which required good pastures and abundant
cal excavations, which indicate the use of animal fresh water, was possible only in the fertile Dan-
resources. Archaeozoology also investigates these ube valley.
finds. These types of sources complement one In various regions of the empire in the Early
another: written sources often describe ideals (e.g. Byzantine period, Roman livestock farming prac-
court dining customs, fasting rules, dietary calen- tices, which were based on keeping small rumi-
dars), whereas bone finds generally reflect what nants, continued uninterrupted (cf. fig. 2). Fauna
meals were really being eaten on an everyday records continue to be dominated by sheep and
basis (→ 8.5. Food and the food supply). goat remains, except on the lower Danube, where
A survey of the excavation literature on Byzan- cattle remained the preferred livestock as in the
tine sites (comprehensive: [14]) across the whole preceding centuries. The Roman dichotomy in
empire yields only 50 or so archaeozoological meat consumption as attested by archaeozoologi-
reports, the great majority of which deal with cal evidence, namely, between town (mainly pork)
the Early Byzantine period (4th–7th cents.). The and country (mainly mutton and goat), now dis-
Middle Byzantine period (7th–12th cents.) is well appears, as sheep and goats become the main
documented only in the Danube region, and there sources of meat also in urban areas (except around
is almost no archaeozoological information at all the Danube) by the late 6th century at the lat-
on the Late Byzantine period (13th–15th cents.). est. Pigs were still important, however, especially
The following descriptions therefore refer primar- in supplying → Constantinople (8.10.) and the
ily to the Early Byzantine period. army. Pork was part of the Early Byzantine annona
8.4. animal use and pastoralism 290

expeditionalis (provisioning of expeditionary suited to the climate [14168–173]. Horse finds from
troops) [13]. everywhere in the empire indicate pony-sized ani-
At most find sites, sheep and goat bones reveal mals, around 130–140 cm tall at the withers. Oxen
that primarily older animals were slaughtered. worked as draught animals in ploughing and in
This suggests that they were used during their life- short-range transportation (see above, B.).
times (see above, A.). Because cattle, which were
rare in most of the empire, predominantly tended E. Other domestic animals
to be used as work animals [3]; [12] (as attested Chickens and geese were still kept, perhaps
by pathological changes to the joints in these ani- more so in some regions than in others. Hens
mals, which were also slaughtered at advanced played a relatively important role in some for-
ages), they could not be used for milk production. tresses of the Negev Desert, where no other ani-
Most cheese and other dairy products were there- mals could have found food [14177–179]. In Syria,
fore made from goats’ and sheep’s milk. Sheep Palaestina and North Africa, the Roman practice
wool was an important raw material in → textile of keeping doves also intensified, whereas it dwin-
(10.16.) manufacture, as was goat hair, which was dled in importance for some centuries in other
durable and waterproof (Geop. 18,9). parts of the empire (as also in Central Europe)
after the Roman period [2387 f.]. Domesticated geese
C. Forms of pastoralism also continued to supply meat, fat and down.
In Roman times, two methods of pasturing Dogs were used for hunting and herding (on
sheep and goats were used, usually concurrently. herding dogs cf. Nomos georgikos 55,75–77), and
Animals were kept at farms and allowed to graze cats to combat vermin. Their bones occur every-
close to settlements, and transhumance was prac- where in small numbers [14174–176].
tised, whereby animals were taken to damper,
cooler mountain pastures for the summer. There is F. Hunting
no evidence of transhumance in the Early Byzan- Animal bone finds suggest that hunting played
tine period, but it probably continued unsystem- a minimal role in everyday Byzantine life [14192–199].
atically and perhaps on a small scale. However, no It is depicted, for instance, on Early Byzantine
continuity has been established for Southern Italy, mosaics and may have been a pastime of the privi-
the Balkans or Asia Minor until the Late Middle leged classes. Bone materials regularly include spo-
Ages. Organized nomadic pastoral farming does radic remains of hares, which were relatively easy
not become apparent until the 10th century: the for anyone to catch. In the northern territories of
pastoral Vlach people, for example, established the empire, from Southern Italy to Asia Minor,
intensive transhumance in the Balkan highlands red, fallow and roe deer are well represented in
in the 10th century, selling animals to the Byzan- hunted game, although often only as antler frag-
tine populace [17265 f.]. ments, used for carving. Wild boar is occasion-
Textual information about pastoral farming can ally found, but in large quantities only along the
be extracted from the Nomos georgikos, a collec- Danube, where numerous beaver remains (bea-
tion of laws of the late 7th or early 8th centuries. ver skins, fat, meat and castoreum were all used)
Several pieces of legislation reveal that peasants attest to hunting in the riparian forests. In the hot-
were entrusting their animals to paid herdsmen ter climes of the southern Mediterranean between
in the mornings. Because these laws prescribe the North Africa and Syria, deer give way to various
consequences if crops were damaged during this species of gazelle and antelope.
safekeeping, or if animals under the herdsman’s Insufficient data makes it difficult to assess the
care were killed by wild animals or found dead in economic importance of bird catching [14182–191].
the forest, it must be assumed that animals were Where meticulous excavations and studies of bird
being grazed in arable areas close to settlements bones have been carried out, as at Nicopolis ad
(in fallow or harvested fields) or in their unculti- Istrum [18242–253], a great diversity of species has
vated, forested hinterland. been identified. Here, as at most other sites near
water, water birds dominate the finds, especially
D. Riding animals and beasts of ducks, geese and rails, but also pelicans, herons,
burden cranes and others. The cultivated steppes around
Horses and donkeys, their hybrids, mules towns and settlements also saw hunting; the most
and hinnies, and dromedaries are underrepre- frequently attested wild birds in these habitats
sented in animal bone finds, because most such were partridges of the genus Alectoris, which are
finds are food remains. These animals were used often depicted (sometimes caged) on Late Antique
everywhere in the empire to transport people and mosaics in the Levant. Many of the birds attested
goods and in warfare [9], with the exception that in archaeozoology also lived close to settle-
the camel largely replaced equids in the deserts of ments in towns, e.g. various species of cranes and
North Africa, the Nile and the Levant, being better blackbirds.
291 8.4. animal use and pastoralism

G. Fishing local catch from the scarce reserves of the east-

Fishing was a key economic sector in the Byz- ern Mediterranean and the Sea of Galilee with
antine Empire. No other animal foodstuff is men- imports from nearby regions where fish were more
tioned as often in the written sources [5], and fish plentiful. There was also a long-distance trade in
bone analyses attest to a broad spectrum of spe- Nile fish extending to Constantinople and Asia
cies used. Fish were readily available everywhere, Minor [20].
even in times of crisis. Moreover, eating them (and Map: BNP Suppl. 3, 247
other seafood) was permitted during fasting peri-
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207–217 [22] W. Van Neer / A. Lentacker, to confine themselves to simple foods. In other
The Faunal Remains, in: S. E. Sidebotham / W. Z. respects, the diets of monks, nuns and indeed
Wendrich (eds.), Berenike 1995. Preliminary Report soldiers differed little from those of the ordinary
of the 1995 Excavations at Berenike (Egyptian Red population. Special provisions for soldiers are only
Sea Coast) and the Survey of the Eastern Desert, 1996, attested during military campaigns [16]; [25].
337–355.

Henriette BARON B. Staple foodstuffs

The main staples [11]; [24]; [20] were grain
products and soups of variable quality. Grain was
8.5. Food and the food supply mostly used to bake bread, and dinkel or wheat
A. Introduction flour was mixed with milk or fat to make pap or
B. Staple foodstuffs porridge (Latin puls, Greek poltos). The Byzantine
C. Fruit and vegetables equivalent to Roman puls was athera, a thick soup
D. Animal products or porridge made of wheat semolina or cracked
E. Spices, sweeteners and sweet foods wheat (Greek pligouri, Turkish bulgur, similar to
F. Beverages couscous), sheep’s milk and olive oil. There was
also trachanas (or tarchana; archaizing tragos), a
A. Introduction crumbly dried mass described in Byzantine sources
Dietary habits changed constantly over the as ‘a kind of milk cake’. It consisted of goats’ or
eleven centuries of the history of the Byzantine sheep’s milk, onions and spices. Preserved by dry-
Empire, and they also varied according to land- ing and ground, it served as the basis of soups and
scape and climate [13]; [10]; [22]; [24]. The logis- porridges in Byzantine and Ottoman cuisine (and
tics linking production to consumption had to still does in Turkish cuisine; Anthimus, De obser-
respond to such changes and to settlement sizes. vatione ciborum 70 also mentions a porridge of rice
The labour-intensive cultivation of perishable and goats’ milk). Different qualities of bread were
vegetables (→ 8.3. Archaeobotany E.) and livestock known, from ‘white wheat bread, fresh, hot and
farming (→ 8.4. Animal use and pastoralism) took always seasoned with sesame’ to bran bread ‘made
place in or near to settlements. Fresh fish, fruit, with coarse flour and covered in ash’ (Ptochopro-
crops and firewood were supplied, where pos- dromos 4,399–401).
sible, from nearby. Preserved fish and meat, live Many meals consisted merely of bread and
livestock and non-perishable plant products could soup. The simplest form of soup, according to the
also be imported over great distances [23]. Ptochoprodromos, comprised water, onions and
The main textual sources here [11183–188]; [219–25] olive oil seasoned with salt and marjoram (4,358–
are medical and dietetic texts, agricultural advice 375); it was sarcastically known as ‘the vile soup
literature (esp. the Geoponika compiled around of the saints’ (dolion hagiozoumin), because only a
the mid-10th century on the basis of Cassianus saint could live on it (4,245). More palatable soups
Bassus [4]) and religious fasting rules. Hagiogra- contained vegetables, especially pulses. The luxu-
phies and historical works mainly refer to sporadic rious soup called monokythron after the clay pot
events like famines. A unique position in popular (kythra) in which it was simmered contained extra
literature is occupied by the four 12th-century ingredients, such as wine, eggs, curds and meat or
poems of the ‘Beggar Prodromos’ (Ptochoprodro- fish (3,185–194; 4,204–215; [22]) and resembled a
mos [1]; → 12.2. Literature F.8.) and the Late Byzan- minestra.
tine ‘Fruit Book’ (Porikologos [2]). Important Latin
sources include the letter of Anthimus (De obser- C. Fruit and vegetables
vatione ciborum, ‘Food Rules’; turn of 6th cent. Vegetables were an important foodstuff [15140 f.],
[3]) and the reports by Liutprand of Cremona of and the Geoponika, in the chapter entitled ‘Infor-
his visits to → Constantinople (8.10.) [30]. Recipe mation on what can be sown and transplanted
collections from medieval Baghdad [32]; [27] and in each month according to the climate of Con-
early modern Constantinople [31] are also useful, stantinople’, catalogues some 50 vegetables and
although they mostly illuminate the eating habits spices that thrived in and around the capital [21].
of the elite. The Ptochoprodromos (2,40–42) knows (but can-
293 8.5. food and the food supply

not afford) many of the vegetable types listed in regarded as flavoursome, while ‘Cretan’ was less
the Geoponika, including celery, celeriac, lettuce, popular because it was cheap and ‘scratched in
cabbage, endive, cress, orach, spinach, kohlrabi, the throat’ (Ptochoprodromos 3,118; 4,109 f.; 4,121 f.).
aubergine, white turnip, cauliflower and ‘Phrygian’ It is unknown whether these names reflected geo-
kale. This is the first Byzantine reference to spin- graphical origins or merely types. Milk, especially
ach (spanakin), which is attested earlier in Persia fatty goats’ milk, was fed to infants and children.
and Mesopotamia. It was probably introduced Street hawkers in Constantinople sold oxygalon
to Byzantium in the 11th century through Seljuk (‘sour milk’) (3,176).
influence. Consuming animal fat during the fast was
The first shoots of many vegetable types were taboo. On many fast days, this also applied to olive
eaten under the name asparagos, and later also oil (Greek elaion, eladin) and to the sesame oil that
leaves, stems and tubers, roots or bulbs (e.g. kale, was widespread in Arab regions [27]; [32]. Vari-
cabbage, cress, lettuce, mangold, chard, mallow, fat ous nuts provided substitutes, especially walnuts
hen, radish and several species of turnip) [2180 f.]. (karydia) and pine nuts (karydokukunaria), but
Of pulses (Anthimus, De observatione ciborum also almonds (amygdala) and hazelnuts (lepto-
65,73; [12]), the main products were broad beans karya, phountoukia; Ptochoprodromos 2,44) [1553].
(koukia) and their flour, light and dark chickpeas
(rebithia aspra kai maura), lentils (phakes), beans E. Spices, sweeteners and sweet
(phasolia) and lupins (loupina), which could be foods
dried and stored for long periods. Other vegeta- The main spices [22]; [1535–52] were salt, garlic,
bles, especially types of kale and cabbage, were caraway, cinnamon, lavender, vinegar and pep-
preserved by pickling them in brine (halme) or per, which was expensive. Sweeteners included
vinegar brine (oxalme) for the season in which honey [14234–259], which was also put to general use
fresh vegetables were in short supply (usually the in cooking, and dried fruits with high sugar con-
winter). These pickles were called halmaia (later tent, such as raisins or figs. Except in medicine,
tursi, Turkish turşu, from the Arabic turšīa); pick- cane sugar did not take hold in Byzantium until
led olives were called halmades. Halmaia was also the Late Middle Ages, because it was expensive.
the name of a favourite soup (Theodore Laskaris, With a sugar content usually approaching 40 %,
Epistulae 54,50–57 [8]). the carob (from the Arabic harūb, post-Byzan-
Fruit was a staple foodstuff for the ordinary tine charupi, Byzantine keration, ‘little horn’, also
population and a dessert for the wealthy elite xylokeration, ‘little wooden horn’ – cf. Austrian
([15136–140]; some 30 types are known [2823–105]). German Bockshörndl, ‘little goat horn’ – and xylo-
Important fruits included apples, pears, quinces, glykon, ‘sweet wood’), the highly nutritious fruit of
cherries, grapes, pomegranates, peaches, plums, Ceratonia siliqua, ‘St. John’s bread tree’ [2853 f.], was
bitter oranges, lemons, dates, figs and melons. a serviceable sweetener, although it was regarded
Fruit was kept in dark, cool rooms and stored as animal feed. Even today, its fruit pastes are used
on bean straw or wood shavings to maximize its in medicines and confectionery and syrups as the
shelf life. It was preserved by drying, by storing basis for drinks in Asia Minor, Cyprus, Crete and
in honey, grape must or wine, or by cooking and the Levant.
bottling. Liquid condiments included various types
of vinegar and citrus juices, and especially
D. Animal products omphakion, verjuice pressed from unripe grapes
Animal foodstuffs [24]; [20]; [1463–201]; [1571, (Latin defrutum; Anthimus, De observatione cibo-
142–146], especially fresh fish and meat, but also rum 94), which was also popular in Ottoman cui-
eggs [14227–234], were less common because they sine [3153]. Finally, garon (Latin garum, liquamen),
were expensive and not available in all seasons. the ubiquitous fish sauce of Antiquity, was also
Meat consumption was confined to periods of the used for seasoning [3085–88], and it was also a com-
church year that were free of fasting restrictions. ponent of the mixed condiments oinogaros (wine
Lambs tended to be eaten at Easter, not least garum) and oxygaros (vinegar garum).
because of the reproductive calendar. Pigs were Most of the few known sweet dishes were
available throughout the year when there was no based on combinations of prepared fruit, walnuts
fast. Chicken and other poultry were popular, but or almonds with honey [29]: pancakes spread with
luxurious [26], as was game. Beef was less com- honey were popular (lelengia, lalangia or kollouria,
mon because cattle were used primarily as work Turkish lalanga [14279–285]; [3196]), as were ‘honey
animals (→ 8.4. Animal use and pastoralism). Meat rice’ (oryzin me meli; Ptochoprodromos 4,324) and
of other animals (e.g. dog or donkey) was regarded kollyba, a form of Lenten fare especially popular
as unclean, although it would be eaten in times of in monasteries and consisting of boiled wheat
famine (Kekaumenos, Strategikon 170 [6]). grains mixed with raisins, sesame seeds, walnuts,
The preferred dairy products [24]; [20]; [14201– almonds and pomegranate kernels (2,43–45).
227] were sheep and goat cheese. ‘Vlach’ cheese was Kollyba is still served at wakes today.
8.5. food and the food supply 294

F. Beverages Byzantine Cuisine, 2013, 133–137 [13] C. Bourbou,

Information about drinks is limited to water, All in the Cooking Pot. Advances in the Study of Byz-
wine, fruit juices, herb distillates and blends of antine Diet, in: I. Anagnostakis (ed.), Flavours and
these [18]; [1583–104, 135 f.]. The importance of drink- Delights. Tastes and Pleasures of Ancient and Byzan-
tine Cuisine, 2013, 65–69 [14] M. Chrone, Η πανίδα
ing water was expressed in its very name neron στην διατροφή και στην ιατρική στο Βυζάντιο, 2012 [15]
(nearon [hydor], ‘fresh [water]’). For reasons of A. Dalby, Flavours of Byzantium, 2003 [16] J. Hal-
health, it was often heated or pre-boiled. Water don, Feeding the Army. Food and Transport in Byz-
was flavoured with caraway, fennel and aniseed antium, ca. 600–1100, in: W. Mayer / S. Trzcionka
or mixed with wine, verjuice (omphakion), vinegar (eds.), Feast, Fast or Famine. Food and Drink in Byz-
(krasion oxy, phouska), honey and wine (vinegar) antium, 2005, 85–100 [17] J. Herbut, De ieiunio et
blended with honey, herbs and fruit juices [14259– abstinentia in Ecclesia Byzantina. Ab initiis usque ad
279], or else with fig or date juice or wine. There saec. XI, 1968 [18] E. Kislinger, Being and Well-
was thus a plentiful choice of ‘well mixed drinks’ Being in Byzantium. The Case of the Beverages, in: M.
Grünbart et al. (eds.), Material Culture and Well-
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Being in Byzantium (400–1453), 2007, 147–154 [19] E.
Wine (oinos) of various qualities was produced Kislinger, Graecorum vinum nel millennio bizan-
in all parts of the empire [19]. Euboea, Thes- tino, in: Olio e vino nell’alto medioevo (Settimane di
saly, Chios and Rhodes produced popular types Studio, Spoleto 2006), 2007, 631–670 [20] J. Koder,
(Michael Choniates, Epistulae 50 [5]), but most Lebensmittelversorgung einer Großstadt. Konstanti-
wine drunk was local. In some regions, wines nopel, in: F. Daim / J. Drauschke (eds.), Hinter
were also made from mulberries, dates and figs den Mauern und auf dem offenen Land. Leben im
[2848, 61 f.]. Wine was preserved by the addition of Byzantinischen Reich, 2016, 31–44 [21] J. Koder,
gypsum, resin, pitch or pine chips [3076–81]. Usu- Gemüse in Byzanz. Die Versorgung Konstantinopels
ally, wine was drunk mixed (krasion, krasis, krasin; mit Frischgemüse im Licht der Geoponika, 1993 [22]
J. Koder, Stew and Salted Meat. Opulent Normality
Ptochoprodromos 1,170 et al.) with pre-boiled water in the Diet of Every Day?, in: L. Brubaker / K. Lin-
(thermon) – so much so that by the 10th century ardou (eds.), Eat, Drink, and Be Merry (Luke 12 : 19).
at the latest, the word krasion meant simply ‘wine’. Food and Wine in Byzantium, 2007, 59–72 [23] J.
Consuming unmixed wine in large quantities Koder, Handelsgüter und Verkehrswege. Problem-
(akratoposia, akratos polyposia; Michael Psellos, stellung, Quellenlage, Methoden, in: E. Kislinger et
Poemata 22,6; 22,108 [7]) was frowned upon. al. (eds.), Handelsgüter und Verkehrswege. Aspekte
Map: BNP Suppl. 3, 247 der Warenversorgung im östlichen Mittelmeerraum
(4. bis 15. Jahrhundert), 2012, 13–24 [24] J. Koder,
Everyday Food in the Middle Byzantine Period, in: I.
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and Pleasures of Ancient and Byzantine Cuisine, 2013,
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[1] Ptochoprodromos, edited by H. Eideneier, pflegung im byzantinischen Heer, in: W. Hörand-
1991 [2] Porikologos, edited by H. Winterwerb, ner et al. (eds.), Byzantios. Festschrift H. Hunger,
1992 [3] Anthimus, De observatione ciborum 1984, 193–202 [26] M. Leontsini, Hens, Cockerels
ad Theodoricum regem Francorum epistula, edited and Other Choice Fowl. Everyday Food and Gastro-
by E. Liechtenhan, 1928 [4] Cassianus Bassus, nomic Pretensions in Byzantium, in: I. Anagnosta-
Geoponica sive … De re rustica eclogae, edited by H. kis (ed.), Flavours and Delights. Tastes and Pleasures
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edited by B. Wassiliewsky und V. Jernstedt, 1896 Byzanz. Ein Beitrag zur Geschichte der Ernährung im
(reprint 1965) [7] M. Psellos, Poemata, edited östlichen Mittelmeerraum, 2013 [29] G. Simeonov,
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III. Settlement landscapes
8.6. Spatial structuring models that two settlement levels (CMT+IMT and SMT),
i.e. a modified CPT, was applicable to the Byzan-
A. Introduction tine Empire [9]; [13]; [15]; [12]. Existing models
B. Analogue models show that provincial capitals and administrative
C. Digital models centres (CMT+IMT) could be from 39 to 46 km
apart in the Middle and Late Byzantine periods,
A. Introduction while the distance from a SMT to the provincial
The spatial analysis of the Byzantine Empire capital or administrative centre could range from
generally relies on the scientific results of histori- 13 to 15 km [9174, 176].
cal geography under the umbrella of Byzantine If we set aside spatial structuring models on a
studies [14]; [8]. It must be remembered here macro-level, it is also possible to assess the spa-
that the long lifespan (4th–15th cents.) and great tial extent of village structures on a micro-level.
extent (eastern Mediterranean) of the empire Settlements of predominantly rural character
limit the degree to which a single spatial structur- had clearly defined ‘boundaries’ and ‘rights’ (‘vil-
ing model can be applied. Interference of regional lage districts’). Calculations based on case studies
and transregional settlement developments makes have shown, for example, that the average spatial
it difficult to get an overview, and an increasing extent of villages in the historical landscape of
tendency towards local studies, limited in times- Macedonia was around 15 km². This equates to a
pan and geographical range, has become apparent radius of approximately 2 km [10].
very recently, with a heavy reliance on archaeol- Topographical realities meant that village
ogy and surveys. boundaries were by no means regular. As today,
Two major projects of historical geography are they reflected local geographical and geological
creating broad-based, settlement-specific bodies conditions (e.g. soil quality), → land (9.1.) and → sea
of data on the Byzantine Empire. The first, the routes (9.2.) and anthropogenic factors. ‘Empty’
Tabula Imperii Romani (TIR), has been produc- spaces between village settlement units should
ing an atlas of the Roman Empire since 1928 on not be seen as ‘gaps’ in the spatial structure. They
a 1 : 1,000,000 scale with supplementary volumes, may well have resulted from political, military,
and it covers part of the Early Byzantine period demographic or economic processes leading to
[16220 f.]. The second project, more relevant to abandonment or have been used in the pastoral
Byzantium, is the Tabula Imperii Byzantini (TIB), economy of the region concerned (→ Animal use
based at the Austrian Academy of the Sciences in and pastoralism (8.4.)) [11].
Vienna since 1966. This endeavour brings together In addition to extant written sources (e.g. prak-
aspects of source criticism, history, archaeology, tika, i.e. Byzantine tax registers), settlements on a
field research and surveys and publishes volumes micro-level can also be analysed with the help of
for specific Byzantine provinces with accompa- the von Thünen model [20]. This model postu-
nying maps on a scale of 1 : 800,000 [6]; [16221–231]. lates the ideal economic distance of certain agri-
Both projects give surveys of source-based and/or cultural products from markets of certain services
archaeological data, but the core research regions from customers, whereby values determined by
for the TIB are defined as the Balkans and Asia transportation costs on the basis of weight, vol-
Minor. ume, distance, road quality etc. This reveals con-
centric (but not necessarily circular) zones around
B. Analogue models markets, each ideal for a particular form of agri-
The viability of applying present-day spatial cultural production: (1) intensive horticulture in
structuring models retrospectively to historical the immediate vicinity of the centre, followed by
geographical data on the Byzantine Empire has (2) vine, fruit and olive cultivation, (3) extensive
been debated since the late 1970s [6260]. arable farming and finally (4) forestry and live-
One possibility consists in applying the Central stock farming [7159 f.].
Place Theory (CPT) of Walter Christaller [3]. On Another means of describing the (historical)
the basis of conditions in 20th-century Central character of a landscape on a micro-level is pro-
Europe, CPT originally proposed three settlement vided by the method of Historic Landscape Char-
levels embedded in a hexagonal pattern. The high- acterization (HLC), originally developed in Britain
est level was the central market town (CMT), fol- in the 1990s (first systematic use in [5]). HLC is a
lowed by the intermediate market town (IMT) and field of archaeology that studies landscapes in ref-
lastly the standard market town (SMT) [1]; [1972– erence to their historical development and depth.
84]; [4208–233]. Case studies from the historical geog- Its aim is retrospective characterization on the
raphy in Byzantine territory clearly demonstrated basis of predefined types using historical maps,
8.7. primarily rural settlements 296

aerial photography, satellite imagery, field surveys nia, Northern Part’ in the Series Tabula Imperii Byz-
and other sources [21]. antini (TIB) of the Austrian Academy of Sciences, in:
K. Kriz et al. (eds.), Mapping Different Geographies,
C. Digital models 2010, 219–234 [17] M. Popović, Networks of Bor-
der Zones. A Case Study on the Historical Region of
Computer-supported calculations have been Macedonia in the 14th Century ad, in: K. Kriz et al.
increasingly used to develop spatial structuring (eds.), Understanding Different Geographies, 2013,
models since the beginning of the 21st century. 227–241 [18] J. Preiser-Kapeller, Networks of
Factors of centrality in settlement structures can Border Zones. Multiplex Relations of Power, Religion
now be calculated using relevant software (e.g. and Economy in South-Eastern Europe, 1250–1453 ad,
Pajek, ORA, Graphab, GIScience, HGIS) [17]; [18], in: M. Zhou et al. (eds.), Revive the Past (Proceed-
which was previously possible only through pio- ings of the 39th Annual Conference on Computer
neering, large-scale mathematical work (e.g. [2]). Applications and Quantitative Methods in Archaeol-
ogy, Peking 2011), 2012, 381–393 [19] L. Schätzl,
Wirtschaftsgeographie, part 1: Theorie, 92003 [20]
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Popović, Mapping Byzantium. The Project ‘Macedo- powerful’) and monastic proprietors. A defining
297 8.7. primarily rural settlements

feature of village life in the Byzantine Empire was Mainly urban settlements) or abroad. Others were
the existence of rights pertaining to neighbour- captured or abducted by other feudal lords or
ing land, e.g. grazing rights or timber-harvesting driven from their homes by warfare. Other factors
rights, and the pre-emptive right of first refusal on behind migration included forest clearances and
neighbours’ land. the colonization of new land [3]; [4]; [5].
There was a degree of collective responsibility Rural settlements tended to be near rivers, on
before the legislator. For instance, village commu- fluvial terraces, at the mouths of streams and in
nities were liable to pay compensation for thefts transitional zones between plains and mountains.
or attacks in their area of responsibility (i.e. within Few were fortified, so locations were chosen that
their village district). Otherwise, nothing is known provided natural protection against enemies and
of the internal organization of villages. There may weather. The inadequacy of the sources makes
have been a village assembly presided over by an it difficult to assess the sizes of individual settle-
elder appointed by the inhabitants themselves or ments, but in general villages located in plains
the feudal lord. were larger, while mountain settlements were
small and scattered. New villages often grew out
B. The Middle Byzantine period of the merging of several hamlets, and existing
Three major forms of peasant settlement can villages grew by absorbing neighbouring hamlets.
be distinguished after 900: the village (chorion), Byzantine sources (especially charters) contain
the hamlet (agridion) and the estate (proasteion). the term palaiochorion (‘old village’), which may
Over the course of Byzantine history, the mean- often carry the meaning of ‘abandoned village’;
ings of these terms changed radically, so the date thus in certain cases it may indicate that an ‘old
and context of a written source must always be village’ (still) existed and that a ‘new village’ had
borne in mind [6]; [11]; [13]. Large-scale land own- developed from it. Also noteworthy in this con-
ership gradually increased at the expense of the text is the toponym palaioekklesia (‘old church’);
free peasantry, partly as a result of fiscal develop- depending on the context of the source, it might
ments in the Byzantine Empire at the time [14]. mean an old or an abandoned church or a place
Many documents of the 11th century and later where a church formerly stood [10]; [13]; [17]; [21].
supply information on predominantly rural settle- As the Ottoman expansion proceeded, the new
ments (e.g. the rich archives of Mount Athos). rulers prepared tax registers (Ottoman Turkish
Praktika (tax registers) are particularly important defter), listing vassals (called tumar in the Otto-
sources. They not only contain valuable informa- man feudal system), taxpayers and agricultural
tion on demographics [9] and predominant forms production. Registers of the 15th and 16th centu-
of agricultural production, but can also be evalu- ries therefore provide more information than any
ated for purposes of spatial structuring. The prak- other Byzantine context.
tika provide evidence of horticulture (vegetable
farming); vine, fruit and olive cultivation; arable Bibliography
farming, livestock farming (meadows, pastures,
mountain pastures), forestry, hunting grounds, Sources
the use of bodies of water and mills to differing [1] W. Ashburner, The Farmer’s Law (critical edi-
degrees according to region, soil conditions and tion), in: JHS 30, 1910, 85–108 [2] W. Ashburner,
climate [15]; [20]. The agricultural production The Farmer’s Law (English trans.), in: JHS 32, 1912,
zones described above lay within a given settle- 68–95.
ment district; its boundaries with neighbouring
settlement units were called synoron in Byzantine Secondary literature
[3] H. Ahrweiler / A. E. Laiou (eds.), Studies
Greek and sinor/atar in Slavonic. Districts were on the Internal Diaspora of the Byzantine Empire,
demarcated using natural landmarks (rock forma- 1998 [4] H. Antoniadis-Bibicou, Villages déser-
tions, prominent trees, watercourses) or artificial tés en Grèce. Un bilan provisoire, in: Villages déser-
stone boundary markers [7]. tés et histoire économique, XIe–XVIIIe siècle, 1965,
343–417 [5] N. Beldiceanu / I. Beldiceanu-
C. Processes of abandonment and Steinherr, Colonisation et déportation dans l’État
colonization ottoman (XIVe–début XVIe siècle), in: M. Balard /
Processes of abandonment and colonization A. Ducellier (eds.), Coloniser au Moyen Âge, 1995,
in the Byzantine Empire and adjoining regions 172–185 [6] K. Belke, Das byzantinische Dorf in
Zentralanatolien, in: J. Lefort et al. (eds.), Les vil-
have yet to be adequately researched, but written
lages dans l’Empire byzantin (IVe–XVe siècle), 2005,
sources sometimes attest to them and local sur- 425–435 [7] M. Blagojević, Sporovi oko srednjo-
veys can identify them. The possible reasons for vekovnih medja, in: Zbornik Matice srpske za istoriju
abandoning a settlement were many and varied. 71/72, 2005, 7–28 [8] L. Burgmann, Die Nomoi
Inhabitants of a village often fled tax burdens, Stratiotikos, Georgikos und Nautikos, in: ZRVI 46,
moving to other feudal lords, to cities (→ 8.9. 2009, 53–64 [9] Z. Ðoković, Stanovništvo istočne
8.8. monastic settlement forms 298

Makedonije u prvoj polovini XIV veka, in: ZRVI 40, land (Greek eremos; OCS pustinja) as opposed to
2003, 97–244 [10] J. Koder, Überlegungen zur the world inhabited by people (oikoumene). This
Bevölkerungsdichte des byzantinischen Raumes in place need not be a desert in a literal sense, but
Spätmittelalter und Frühneuzeit, in: BF 12, 1987, 291– rather was often so in a spiritual one. The eremos
305 [11] J. Koder, Überlegungen zur ländlichen
Siedlungsterminologie der Byzantiner, insbesondere
of Western monasticism, for instance, was the for-
zu chorion, kome und verwandten Termini, in: Bul- est, particularly primeval forest. Hence there were
garia Mediaevalis 2, 2011, 3–14 [12] H. Köpstein, monastic settlements in fertile and barren land-
Zu den Agrarverhältnissen, in: F. Winkelmann et al. scapes alike, and in locations amenable or hostile
(eds.), Byzanz im 7. Jahrhundert. Untersuchungen zur to settlement (deserts, mountains, river valleys,
Herausbildung des Feudalismus, 1978, 1–72 [13] V. coasts, islands, cities). What was indispensable
Kravari, L’habitat rural en Macédoine occidentale was a reliable water supply.
(XIIIe–XIVe siècles), in: K. Belke et al. (eds.), Byz- From the outset, mountains were preferred
anz als Raum. Zu Methoden und Inhalten der histo- locations for founding monasteries. Basil of Cae-
rischen Geographie des östlichen Mittelmeerraumes,
sarea in the 4th century already celebrated the
2000, 83–94 [14] A. E. Laiou (ed.), The Economic
History of Byzantium. From the Seventh through the monastery he founded on a remote, forested
Fifteenth Century, 3 vols., 2002 [15] J. Lefort et al. mountain with abundant springs, which natural
(eds.), Les villages dans l’Empire byzantin (IVe–XVe obstacles separated from other human settle-
siècle), 2005 [16] P. Lemerle, The Agrarian His- ments [1no. 14]. Many monasteries were founded on
tory of Byzantium. From the Origins to the Twelfth mountains [15], e.g. on Mounts Olympos, Kymi-
Century. The Sources and Problems, 1979 [17] S. nas and Auxentios in Bithynia [3], Mount Gale-
Mišić, Korišćenje unutrašnjih voda u srpskim zem- sion near Ephesus [6], Ganos in eastern Thrace
ljama srednjeg veka, 2007 [18] P. Niewöhner, [9] and Latros near Miletus. In the 10th century,
What Went Wrong? Decline and Ruralisation in Elev- Mount Athos became the monastic mountain par
enth Century Anatolia. The Archaeological Record,
in: J. Howard-Johnston / M. Whittow (eds.),
excellence, radiating a spiritual aura throughout
Eleventh-Century Byzantium. Social Change in Town the Orthodox world, particularly in Russia and
and Country (forthcoming) [19] P. Niewöhner, Serbia [13].
Aizanoi and Anatolia. Town and Countryside in Late Caves inhabited by monk-saints also became
Late Antiquity, in: Mill 3, 2006, 239–253 [20] S. regional cult centres, and monasteries were built
Novaković, Selo iz dela ‘Narod i zemlja u staroj srp- nearby (e.g. Sveti Ivan Rilski in the Rila Moun-
skoj državi’, in: Glas Srpske Kraljevske Akademije 24, tains, Sveti Petar on Mount Koriša near Prizren,
1891, V–261 [21] M. S. Popović, Siedlungsstrukturen the Enkleistra Monastery of St. Neophytos near
im Wandel. Das Tal der Strumica bzw. Strumešnica Paphos on Cyprus). The first koinobia are attested
in spätbyzantinischer und osmanischer Zeit (1259–
in the 4th century, and their founders were often
1600), in: Südost-Forschungen 68, 2009, 1–62 [22] A.
Şanlı-Erler, Bauern in der Polis. Ländliche Sied- venerated as saints (e.g. Pachomius in Egypt, Basil
lungen und agrarische Wirtschaftsformen im zentral- of Caesarea in Asia Minor, Nerses in Armenia). At
lykischen Yavu-Bergland, 2006. times, as many as one tenth of the entire popula-
tion was a monk or nun [811–14, 34–37], and this soon
Mihailo S. Popović made special ecclesiastical and secular regulations
a necessity (e.g. monasteries could be founded
8.8. Monastic settlement forms only with the consent of the local bishop, stabilitas
loci, i.e. a permanent location, and strict seclusion
A. Introduction from the outside world [5]).
B. Types of monastic settlement The inhabitants of monasteries needed the
same natural resources as the rest of the popula-
A. Introduction tion. Agriculture was generally practised in the
Because monks and nuns devoted their lives following concentric order: intensive horticulture
to God, → monasticism (7.5.) served as a kind of nearest to the monastery, then orchards and vine-
‘antisociety’ to civil society. It was possible to prac- yards (dairy cattle and chicken were sometimes
tise the ‘angelic life’ as a hermit (Greek eremites, also kept), then grain and olive cultivation, and
anachoretes) or in a structured community, either finally forestry and livestock farming. Grain culti-
pursuing koinobion (consistent, ‘communal life’) vation was also often outsourced to distant land-
or idiorrhythmia (communal life but according to holdings (metochia). Large monasteries thus came
one’s own ‘individual rhythm’). In order to do so, to compete and quarrel with the inhabitants of
it was necessary to settle in a location (a ‘place of secular settlements over land use.
retreat’) that afforded inner and outer peace (hesy- There was frequent and intensive interaction
chia) and seclusion, at a suitable distance from the between monasteries and nearby villages and
oikoumene. towns, especially in the Middle and Late Byzan-
The natural habitat of monks since the earli- tine periods. Monasteries controlled strategic loca-
est Christian times had been the desert or waste- tions and trade routes, exerted influence on social,
299 8.8. monastic settlement forms

political and economic conditions and forged cul- Kellia area west of the Nile Valley (ca. 50 km north
tural and institutional ties between urban centres of Wadi Natrun). Asketeria were hermitages, e.g.
and hinterlands. Metochia located in cities played Karaulia in the ‘mountain desert’ of Athos or the
a special role there. Monasteries were also desti- scattered structures on Jebel Sufsafeh.
nations for pilgrims (e.g. Skete Prodromou west of Typologically speaking, monasteries in many
Beroia in southwestern Macedonia, the Chortaïtou respects resembled the secular settlements of the
monastery near Thessalonica, which controlled same period (variants: fortress, fortified settle-
the city’s water supply, the monastery of John Pro- ment, village settlement, farmstead) [8].
dromos near Serrai [2]). The metochia of the mon- Map: Map 9
asteries on Mount Athos had a particularly strong
influence on the Chalcidice [7]; [10].
Bibliography
B. Types of monastic settlement
As an architectural complex, a monastery was Sources
[1] Basileios von Kaisareia, Lettres, vol. 1, edited
(ideally) a rectangular plot (based on the Late by Y. Courtonne, 1957.
Roman fortress) within a surrounding wall (peri-
bolos) guarded by often fortress-like turrets; its Secondary literature
entrance was usually protected by a defensive [2] N. Bakirtzis, Locating Byzantine Monasteries.
tower. Inside, the katholikon (main church) and Spatial Considerations and Strategies in the Rural
the usually adjacent trapeza (refectory), phiale Landscape, in: C. Nesbitt / M. Jackson (eds.),
(arcaded fountain) and parekklesiai (chapels) Experiencing Byzantium (44th Spring Symposium of
served liturgical purposes [14], while the kellia Byzantine Studies, Newcastle and Durham 2011), 2013,
(monks’ cells), xenon (guest quarters), quarters for 113–132 [3] K. Belke, Heilige Berge Bithyniens, in:
the elderly and sick and the loutron (bathhouse) P. Soustal (ed.), Heilige Berge und Wüsten. Byz-
met residential needs. There were also other build- anz und sein Umfeld (21. Internationaler Kongress
für Byzantinistik, London 2006), 2009, 15–24 [4] I.
ings inside (treasury, library, scriptorium, kitchen,
Finkelstein, Byzantine Monastic Remains in the
bakery, storage rooms, cisterns) and outside (bor- Southern Sinai, in: DOP 39, 1985, 39–75 [5] C. A.
donareion/stables, arsanas/boathouse, plynterion/ Frazee, Late Roman and Byzantine Legislation on
washhouse, cemetery with chapel, ossuary) the the Monastic Life from the 4th to the 8th Centuries,
monastery walls [11]. in: Church History 51, 1982, 263–279 [6] R. Green-
The arrangement of the various buildings var- field, Shaky Foundations. Opposition, Conflict and
ied (depending on the terrain and regional fac- Subterfuge in the Creation of the Holy Mountain of
tors). Large monasteries resembled small towns in Galesion, in: P. Soustal (ed.), Heilige Berge und
character and population (e.g. Abu Fano in Middle Wüsten. Byzanz und sein Umfeld (21. Internation-
Egypt in the Early Byzantine period; Megiste Laura aler Kongress für Byzantinistik, London 2006), 2009,
25–40 [7] J. Koder, Die Metochia der Athos-
and Batopedi, both on Mount Athos, from the 10th Klöster auf Sithonia und Kassandra, in: JÖB 16, 1967,
century on) [828–30]. The monastery walls, origi- 211–224 [8] J. Koder, Mönchtum und Kloster als
nally symbolizing the separation of the heavenly Faktoren der byzantinischen Siedlungsgeographie, in:
from the earthly world, quickly took on the nature Acta Byzantina Fennica 7, 1995, 7–44 [9] A. Kül-
of fortifications (hence also the terms phrourion, zer, Das Ganos-Gebirge in Ostthrakien (Işıklar Dagı),
kastron, teichokastron, kastellion) [12]; [824–33]. in: P. Soustal (ed.), Heilige Berge und Wüsten. Byz-
This fortress-like character came to the fore in the anz und sein Umfeld (21. Internationaler Kongress
building type of the ‘monastery fortress’. A small für Byzantinistik, London 2006), 2009, 41–52 [10] J.
monastery, also known as a skete, would not have Lefort, Villages de Macédoine. Notices historiques et
topographiques sur la Macédoine orientale au Moyen
had all the facilities mentioned above. The archi-
Âge, part 1: La Chalcidique occidentale, 1982 [11]
tecture of cave monasteries was a special case: A. K. Orlandos, Monastēriakē architektonikē,
these relied primarily on natural rock formations 21958 [12] P. Papaevangelu, Klosterarchitektur,
or were cut into cliffs (e.g. Göreme, Cappadocia). in: RBK 4, 1990, 102–136 [13] D. Popović, The Des-
Other settlement forms [8]: the laura (literally erts and Holy Mountains of Medieval Serbia. Written
‘alley’, ‘lane’, ‘quarter’) was a village-like settlement Sources, Spatial Patterns, Architectural Designs, in:
of hermits who celebrated the liturgy together, e.g. P. Soustal (ed.), Heilige Berge und Wüsten. Byz-
Hagia Anna, Nea Skete and Karyes on Mount Athos anz und sein Umfeld (21. Internationaler Kongress
(originally the laura around the protaton, the seat für Byzantinistik, London 2006), 2009, 53–69 [14]
of the protos, supreme head of the Athos monastic S. Popović, The Trapeza in the Cenobitic Monaster-
ies. Architectural and Spiritual Contexts, in: DOP 52,
community). The term kellion (‘cell’) also denoted 1998, 281–303 [15] A.-M. Talbot, Les saintes mon-
a monastery farmstead housing a small residential tagnes à Byzance, in: M. Kaplan (ed.), Le sacré et
community. It was often encircled by a wall with son inscription dans l’espace à Byzance et en Occi-
a well in the courtyard; examples include Farsh dent, 2001, 263–275.
el-Lozah (Arabic; ‘Valley of the Almond Tree’) on
Jebel Sufsafeh (Mount Horeb, Sinai) [449 f.] and the Peter Soustal
8.9. primarily urban settlements 300

8.9. Primarily urban settlements in town centres, hospices and inns, poor houses,
orphanages and homes for the elderly also
A. Introduction appeared (Constantinople, Rhaidestos, Selym-
B. Early Byzantine period bria). Open squares and streets were increasingly
C. Middle and Late Byzantine periods built up, as shops, workshops and taverns moved
into arcades or along streets, and the ancient
A. Introduction town’s sense of space was lost. Temples were
Byzantine towns and cities were centres of transformed into churches only rarely (e.g. at Ath-
trade and industry and, depending on their size ens). More typically, they were used as sources of
and importance, sometimes also centres of admin- building materials (spolia).
istration and culture. They were often directly The Synecdemus (‘Fellow Traveller’) of Hiero-
engaged in arable and livestock farming. For cen- cles, written around the mid-5th century and
turies, intensive agriculture was practiced not only revised in the 6th [1]; [6] lists 935 towns (poleis)
in provincial and central market towns of Asia in 64 provinces (eparchiai) of the Eastern Roman
Minor and the Balkans, but even within the walls Empire. Many towns became bishoprics, and
of → Constantinople (8.10.). their prelates increasingly held political offices
Imposing a strict distinction between urban in addition to their ecclesiastical positions. In
and → rural settlements (8.7.) in Byzantine history the 6th century, they and major local landowners
would thus be anachronistic, particularly given increasingly inherited responsibility for munici-
the existence of settlement types that resist clear pal administration from the curiales. Bishops’
classification. Fortified monasteries, for instance, lists also influenced the ranking of towns in civil
sometimes had several hundred inhabitants and administration.
resembled small towns (→ 8.8. Monastic settle- Urban profiles changed at different times from
ment forms). Towns and cities changed markedly region to region. In Asia Minor, transformation
in appearance between the 4th and 15th centuries, was already in full swing in the 6th century fol-
but no ‘catastrophe theory’ is needed to explain lowing a final phase of major expansion in the 4th
it: it was a process of evolution and adaptation to and early 5th centuries – including the ad hoc con-
changing conditions. struction of new city walls (Aphrodisias, Smyrna).
The transformation of the settlement pattern, in
B. Early Byzantine period extreme cases leading to the abandonment of
The towns and cities of the Early Byzantine entire towns, was not only the result of internal
period continued many traditions of the Roman factors (lack of money, social change, Christianiza-
period, although incomes from urban territories tion), but also of climate change, frequent earth-
had already been diverted to the state in the reigns quakes → epidemics (13.6.; e.g. waves of the plague
of → Constantine I (2.2.; 324–337) and Constantius that regularly recurred from the early 540s to
II (337–361), considerably weakening municipal around 750, leading to the depopulation of entire
finances. Many of the curiales responsible for districts), and the greater frequency (tradition-
maintaining urban life became impoverished or ally overstated by historians) of invasions from
reneged on their obligations. Reduced revenues abroad (Slavs and Bulgars in the Balkans, Persians
left many towns not only unable to carry out struc- and Arabs in Asia Minor) and the concomitant
tural work or to restore destroyed buildings, but collapse of long-distance trade in the 6th and
also incapable of guaranteeing supplies or keeping 7th centuries.
the peace, thus provoking unrest. The renovation of existing towns and the rare
In architectural terms, the old structures ini- foundation of new towns (e.g. Monembasia) in the
tially remained in place: large-scale urban spaces 6th and 7th centuries show that the areas settled
with broad streets still had their public build- were now smaller but more easily defensible than
ings, sporting and educational institutions, the- in Antiquity, and many were protected behind
atres, hippodromes, marketplaces (vital for the walls (often filled with spolia). Such walls incor-
exchange of goods) and extensive toilet facilities porated large existing structures, which made
(→ 8.12. Ephesus, Sardeis, Tralleis). Water was still their course irregular. Such walls thus seldom took
partially supplied by aqueducts, and old, aban- account of the formerly important road network
doned buildings were used to house increasingly in the centre of cities (Assus, Ephesus, Magnesia
widespread nymphaea (e.g. the Library of Celsus on the Maeander).
at Ephesus). Scholars no longer take a dim view of these
The progress of Christianization increasingly changes, but describe them as an evolution-
altered the appearance of towns. In addition to ary stage in settlement types that was con-
churches, which were initially built in the periph- tingent on the circumstances. Besides simple
ery of cities and in suburbs, but then soon also fortifications (kastra) that could be used as refuges
301 8.9. primarily urban settlements

(Pişmanköy/Yenidibek in eastern Thrace, Euchaïta Regional centres like Arta, Nicaea, Nicomedia,
in Pontus), a settlement form known as the polis- Nymphaion and Trebizond were able to enhance
kastron (‘town-fort’) emerged, consisting of a forti- their profiles. Even after the recapture of Constan-
fied acropolis, an upper town sometimes protected tinople in 1261, the rise of other centres did not
by a wall and an outer settlement area that might end immediately: → Mistra (8.13.) on the Pelopon-
also be walled, but also an unprotected inhabited nese was a large new city founded in 1248, becom-
area outside the walls by the fields (Justiniana ing a major centre of Late Byzantine history.
Prima, Ancyra). Occasionally, the extent of a kas- Admittedly, Mistra was an exceptional case. In
tron is well-known, while the area of the adjacent many regions, the frequent civil wars and epidem-
town is more difficult to determine (Arkadioupolis ics of the 14th century and the ongoing Ottoman
in eastern Thrace). Sometimes there are only few expansion caused towns and cities to decline, not
archaeological remains of whole cities (Daneion in least Constantinople itself, with population loss
eastern Thrace). and impoverishment. Trade was now dominated
In some places (Sardeis, Ephesus), the area of by the Italian maritime republics; whereas this had
the former ancient city was colonized by several benefited regional cities before 1100, it was now to
small settlement centres that were only loosely their detriment. Urban crafts were in dramatic
interconnected. Sometimes, these settlements decline, as products of often modest workshops
grew up outside the new fortifications (Side in ebbed in quality, now made mostly for immediate
Pamphylia). Some towns were relocated to more needs rather than for export.
readily defensible (but sometimes smaller) sites
(Aurelioupolis/Perikomma in Lydia, Justinianou- Bibliography
polis in Epirus). Other cities, particularly commer-
cial harbor centres like → Thessalonica (8.11.) and Sources
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fundamentally inferior, but construction in towns 7. und 8. Jahrhundert, 1989 [4] G. Brands / H.-G.
and cities was often haphazard. Houses were small Severin (eds.), Die spätantike Stadt und ihre Chris-
and buildings not in use served as quarries. Water tianisierung (Symposion, Halle/Saale 2000), 2003 [5]
was provided by fountains and wells in the urban E. Concina, La città bizantina, 22009 [6] A. H. M.
area as well as from open and covered cisterns. Jones, The Cities of the Eastern Roman Prov-
Most of the old aqueducts were in ruins by now. inces, 21971 [7] A. Kiusopulu (ed.), Οι βυζαντινές
Burials within settlements can be observed more πόλεις. Προοπτικές της έρευνας και νέες ερμηνευτικές
προσεγγίσεις, 2012 [8] A. Kiusopulu, Οι ‘αόρατες’
frequently. Continuous settlement is likely for
βυζαντινές πόλεις στον ελλαδικό χώρο, 2013 [9] J.
many towns, but archaeological evidence for it is Koder, Der Lebensraum der Byzantiner. Historisch-
scanty or non-existent (Gargara, Pergamum), not geographischer Abriß ihres mittelalterlichen Sta-
least because small finds are difficult to date. ates im östlichen Mittelmeerraum, 22001 [10] K.-P.
City walls were still being built in the 9th Matschke (ed.), Die byzantinische Stadt im Rahmen
century (Mastaura in Lycia, Smyrna), sometimes der allgemeinen Stadtentwicklung (Referate und Dis-
around a shrinking urban area. Influential fami- kussionen der Byzantinischen Fachkonferenz, Leipzig
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and after the 10th and especially 11th centuries, die Dunklen Jahrhunderte im byzantinischen Anato-
and some cities flourished in the Middle Byzan- lien, in: J. Henning (ed.), Post-Roman Towns, Trade
and Settlement in Europe and Byzantium, vol. 2, 2007,
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crafts and trade. Thriving centres in the Balkans Sixth Century. Literary Images and Historical Reality,
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Rhaidestos, Serrhes and Thebes, and in Asia Minor ism in Byzantium between Late Antiquity and the
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Crusade stimulated a new urban self-confidence.
8.10. constantinople 302

8.10. Constantinople New churches were built, mostly basilicas with

wooden roofs (→ 11.2. Architecture A.2.1.). The first
A. Foundation and emergence as metropolis monastery in the city, the Dalmatos Monastery,
B. Heyday (5th–12th centuries) was founded in 382. By the mid-6th century, there
C. Decline and recovery were over seventy monasteries in the city and its
D. Late phase (13th–15th centuries) environs [9]. The only church of this period still
standing (albeit in ruins) is the Monastery of Stou-
A. Foundation and emergence as dios (built 463) in the southwest of the city.
metropolis A new, double city wall with outer ditch [1],
Constantinople (Latin Constantinopolis/Greek built between 408 and 413, increased the enclosed
Konstantinoupolis) was founded by → Constan- area of the city to over 12 km². Much of this wall
tine I (2.2.; 306–337) in 324 after his victory over survives to this day. To the north, it ends not at
Licinius and officially dedicated in 330 [1029–42]. the sea, but at the rather older, simple walls of
The city in Constantine’s time [1220–42]; [2319–22]; the village of Blachernae. Except at the coasts, the
[2223–36]; [2417–27]; [67–20] occupied the area of the newly incorporated area was only sparsely built up
Ancient Greek city of Byzantium on a promontory with gardens, villas and monasteries. Sea walls to
on the European side of the southern exit of the north and south were added in 438/39. The capac-
Bosporus. ity of the natural harbour in the Golden Horn to
A new wall built farther west increased the the north was soon exceeded, and construction of
original city area from around 1.2/1.5 km² to 7 km². the large Harbour of Theodosius in a bay to the
Construction of a hippodrome and an imperial south of the city began in 380 [16]. The smaller
palace began in the old centre of the city [17]. A Harbour of Sophia was built in 569 to replace a
round forum with a statue of Constantine atop a smaller, 4th-century facility in another bay. It was
porphyry column at its centre was established out- mostly used for military purposes. Large granaries
side the old city gate [4167–187]. Farther west along were built on the shore of the Golden Horn and at
the main axis, a capitol was built, and then Con- the Harbour of Theodosius.
stantine’s monumental round mausoleum on a The Notitia urbis Constantinopolitanae, a
hill in the northwest of the new urban area. It took Latin description of the city written around 425,
several decades to build up the new area, because divided Constantinople into fourteen regions like
the hilly peninsula had to be terraced, which was Rome, twelve of them within the Constantinian
laborious work [2217 f.]. The water supply was only city. Regio XIII Sykai (Galata) and Regio XIV, a
completed after 370 [8] – a large aqueduct sur- walled village, were on the northern shore of the
vives in the city from this period. Golden Horn. The Notitia lists the most important
City life was modelled on that of Rome, includ- churches, public buildings and monuments, as
ing the supply of subsidized grain from Egypt and well as the city’s officials, residential areas, build-
chariot-racing held in the hippodrome on many ings, colonnaded streets, baths, bakeries and bread
religious and secular festival days, especially the distribution points [5].
anniversary of the city’s dedication on May 11 [7]; The most important church of the early 6th
[11]. Churches began to be built soon after the century was the Church of St. Polyeuctus [2]. The
city’s foundation, but construction of the most city’s development peaked in the reign of → Jus-
important of them, the Magna Ecclesia (‘Great tinian I (2.3.; 527–565). Following the destruction
Church’, i.e. Hagia Sophia) in the centre and the by fire of much of the city centre during the Nika
Church of the Holy Apostles linked to the impe- Revolt against the emperor’s law-and-order and
rial mausoleum, did not begin until after Constan- fiscal policies in 532, monumental new domed
tine’s death; they were consecrated in 360 and 370 buildings occupied the space by 537: Hagia Sophia
respectively. [20] and the main gateway of the Great Palace
(→ 11.2. Architecture, fig. 1). Many other churches
B. Heyday (5th–12th centuries) and public buildings in areas not affected by the
Constantinople continued to evolve into an fire were also newly built at this period, including
imperial capital in the reign of Theodosius I (379– the second Church of the Holy Apostles, cruciform
395). The city also became an ecclesiastical centre like the first but with five domes.
and patriarchal seat following the council held
there in 381 [10454–487]. As the colonnaded road C. Decline and recovery
leading from the centre to the main southwestern The political climate deteriorated rapidly after
gate was developed, the Forums of Theodosius Justinian’s death (565), and construction in the city
and Arcadius (395–408) were built, each with a tri- slowed dramatically. Constantinople was besieged
umphal column bearing spiral reliefs and crowned (in vain) by the Avars and Persians in 626, and the
by a statue of their titular emperor [4187–212]. aqueducts destroyed at this time were not rebuilt.
303 8.10. constantinople

The shipment of grain from Egypt, which stopped with the Pisan concession following in 1111 and the
in 619, also did not resume. Blachernae, where a Genoese in 1169 [12244–255]; [18219–226].
large Church of the Virgin had been built in the
6th century, was further fortified after 626 with a D. Late phase (13th–15th centuries)
wall near the seashore. An Arab blockade, lasting The crusaders of the Fourth Crusade and the
from 674 to 678, cut Constantinople off from its Venetians conquered Constantinople in April 1204,
hinterland, and the city was besieged again, with dividing the city among themselves and electing
great determination but without success, in 717/18 a Latin Emperor, whose territory included both
[2253 f.]. imperial palaces. The Venetians established their
The reconstruction of the now seriously depop- headquarters in the Monastery of Christ Pantokra-
ulated city began in the mid-8th century [2323–25]; tor. Much of the city centre burnt down during the
[19]; [2427–44]. One important step was the refur- conquest, including the colonnaded streets and
bishment of the aqueduct in 766. Commercial life Early Byzantine buildings that had survived. Vast
now became increasingly concentrated on the quantities of cultural treasures were destroyed in
north shore of the city on the Golden Horn. Allu- the ensuing plundering, and countless art objects
viation gradually rendered the harbours on the were looted and taken to Western Europe or sold
south coast obsolete [18]; [16164–199]. on there.
Because of its location in the heart of the city, The Latin Empire soon lost most of the territory
the Great Palace of Constantinople is unavailable it had seized in 1204, and Constantinople returned
for archaeological study. Reconstruction therefore to Byzantine hands in 1261. The political resur-
largely depends on literary sources, especially De gence of the restored empire, however, was brief,
Ceremoniis, the book of ceremonies of the impe- and the restoration of the degraded city made lit-
rial court from the 10th century. The original site, tle progress for lack of funds [14]. The most impor-
on the southeastern flank of the Hippodrome [17] tant architectural monument of this period is the
was expanded to the southeast with new terrac- Church of the Holy Saviour in Chora (now Kariye
ing in the early 6th century, then southwest later Camii), a 12th-century building that was renovated
in the century. A number of new buildings were and decorated with frescos and mosaics between
constructed in the reigns of Theophilos (829–842) 1315 and 1321 (→ 11.3. Art, fig. 6 f.) [15].
and Basil I (867–886), including the Nea Ekkle- The city decayed rapidly after 1350 or so. The
sia, or New Church, around 880 [3]. The oldest population plummeted again and large empty
parts of the palace, meanwhile, were falling into spaces emerged within the city walls. Meanwhile,
decay, and by the reign of Nikephoros II Phokas the suburb of Galata on the north shore of the
(963–969), only the southern part, comprising the Golden Horn, a possession of the Republic of
buildings of the late 6th and 9th centuries, was Genoa since 1261, remained walled and densely
secured by a wall [21]. populated. It became very important as a transit
Constantinople’s recovery gathered pace in harbour for the Black Sea trade. Constantinople
the 10th and 11th centuries. Large aristocratic vil- withstood another blockade from 1392 to 1402 and
las and many new churches arose, mostly on the an Ottoman siege in 1422, but finally fell to an
ruins of earlier structures. Major imperial endow- Ottoman assault on May 29, 1453.
ments included the Monastery of the Theotokos Maps: Maps 1–19
Peribleptos in the southwest during the reign of
Romanos III Argyros (1028–1034) and the Monas- Bibliography
tery of St. George of Mangana in the reign of Con- [1] N. Asutay-Effenberger, Die Landmauer von
Konstantinopel-İstanbul, 2007 [2] J. Bardill, A
stantine IX Monomachos (1042–1055) in the east.
New Temple for Byzantium. Anicia Iuliana, King
→ Alexios I Komnenos (2.5.; 1081–1118) moved the Solomon, and the Gilded Ceiling of the Church of
imperial residence to Blachernae in the far north- St. Polyeuktos in Constantinople, in: W. Bowden et
west of the city, and his grandson Manuel I (1143– al. (eds.), Social and Political Life in Late Antiquity
1180) expanded the complex and added another (Late Antique Archaeology 3/1), 2006, 339–370 [3]
outer wall facing west. However, the Great Palace J. Bardill, Visualizing the Great Palace of the
long continued to be used for state receptions and Byzantine Emperors, in: F. A. Bauer (ed.), Visual-
traditional ceremonial. isierungen von Herrschaft. Frühmittelalterliche Res-
Constantinople enjoyed a final flourish in the idenzen. Gestalt und Zeremoniell (Byzas 5), 2006,
12th century. Noteworthy surviving buildings from 5–45 [4] F. A. Bauer, Stadt, Platz und Denkmal in
der Spätantike, 1996 [5] A. Berger, Regionen und
this period include the group of three churches Straßen im frühen Konstantinopel, in: IstMitt 47, 1997,
of the Monastery of Christ Pantokrator and the 349–414 [6] A. Berger, Konstantinopel (Standorte
church of the Monastery of the Theotokos Kyrio- in Antike und Christentum 3), 2011 [7] A. Cam-
tissa [25]. Concessions were set up on the Golden eron, Circus Factions. Blues and Greens at Rome
Horn as free-trade zones for Italian merchants. and Byzantium, 1976 (reprinted 1999) [8] J. Crow
The first was established in 1082 for the Venetians, et al., The Water Supply of Byzantine Constantinople
 1. Walls of Byzantium 7. Senate (ca. 360)
Constantinople in the early Byzantine period (4th–6th cents.) (conjectured course; 3rd cent. BC) 8. Augustaeum
2. Wall of Constantine (4th cent.; extant until 13th cent.)
(conjectured course; 4th cent.) 9. Baths of Zeuxippus

C
3. Theodosian Walls (‘great wall‘ and (4th cent.; extant until 8th/9th cents.)
outer ‘small wall‘, ditch; 408-413) 10. Imperial Palace (4th–12th cents.)

hr
4. Precinct of the pre-Christian including Scholae at the Chalke (a)

ys
Acropolis (Greek Byzantium) and Pandidakterion (5th cent.)

o
37 in the Magnaura
5. Church of Sts. Peter and Paul/Orphan-
age (still attested 11th/12th cents.) 11. Church of the Theotokos of

cer
Bl
ac 6. Hagia Sophia Chalkoprateia (mid-5th cent.;

a
he
rn s (ca. 360, 403–415, 532–537) extant until 11th/12th cents.)
3 ae / 12. Basilica/Basilica ‘University‘
8.10. constantinople

G (4th cent.; decline from mid–7th cent.)

ol Zeugma name of place or public area 13. Church of St. Theodore, Sphoracius

Lycu
s
(extant until 11th/12th cents.)
35 34
de
36 n Neorion harbour 14. Palace of Lausus (ca. 420)
Cistern of Aetius 15. Hippodrome (324–330)
1– 37 monuments

H
(421) 16. Palace of Antiochus (418)

or
25 identifiable place of education 17. Church of Sts. Sergius and Bacchus
Cistern of Aspar

n
(459) (527–536)
18. Forum of Constantine (324–330;
Deuteron Sykae extant until 13th cent.)
3 Iustinianae 18a. Constantine Column (330)
19. Church of the Anastasis (4th cent.,
32 Zeugma 1042–1055; extant until 1453)
Perama 20. Church of the Forty Martyrs of Sebaste
33 (588; still attested in 12th cent.)
Neorion Harbour 21. Homonoia Church
2
22. Forum of Theodosius (381–393)
Bosporion 22a. Triumphal arch
aq Harbour
ue
du
22b. Column of Theodosius (393)
ct Constantianae 23. Church of the Theotokos of Diakonissa
(36
8- Strategio (598; extant until 11th/12th cents.)
37 n 24. Capitol (4th cent.; university from 425)
Cistern of Mocius 31 8)
1 25. School at the Mousaíon (4th/5th cents.)
(ca. 500) 19 5 26. Palace (ca. 420)
hos 22b 11 27. Forum of Arcadius (Xerolophos, c. 420)
30 lop Bous 24 23 12 4 27a. Column of Arcadius (421)
Xero 22 Mese 18a
27a 28. Palace of Helena (4th cent.)
25 22a 14 13
Bosporos

26 20 8 6 29. Studium (Monastery of Stoudios; 460)

30. Church of St. Mocius (4th cent.;
Exakionio
n 18 16 7
27 21 extant until 11th/12th cents.)
15 9 10a 31. Church of St. Polyeuctus (ca. 520;
10 destroyed 11th cent.)
se
Me 32. Church of St. Acacius (4th cent.;
17
Kontoskalion extant until 14th cent.)
3 Harbour of 33. Church of the Holy Apostles
28 Harbour (8thcent.)
Theodosios (380) Harbour of Julian (ca. 360) (4th cent, 550; extant until 1453)
or Caesarius and Sophia (ca. 570) 34. Monastery of St. John in Petra
(from mid–– (5th cent.; extant until 1453)
29 6thcent.) 35. Xenon of the Kral
a of Marmara (attested 13th/14th cents.)
ntis / Se 36. Chora Church (6th cent.;
Propo 0 500 1000 2000 m extant until 1453)
Golden 37. Church of the Theotokos of Blachernae
Gate
304

Plan 1: Constantinople in the early Byzantine period (4th-6th cents.)

 Constantinople in the middle and late 1. Monastery of the Hodegoi
(9th cent.; extant until 1453)
Byzantine period (7th cent.–1453) 2. Monastery of St. George of 305
Mangana/Palace (1042–1055;

C
Zeugma name of place or public area extant until 1453)
3. Hagia Eirene (after 740)

hr
Blanga harbour
4. Hagia Sophia

ys
32 1– 32 monuments (ca. 360, 403–415, 532–537)

o
identifiable place 5. Augustaeum (4th cent.;
25 extant until 13th cent.)
of education

ker
Bl
ac 6. Imperial Palace (4th cent.)

a
he s 7. Nea Ekklesia (881; extant until 1453)
rn 8. Church of the Theotokos of
ae /
G Chalkoprateia (mid–5th cent.;
extant until 11th/12th cents.)

Lycu
ol

s
30 29
de 9. Church of St. Theodore, Sphoracius
31 n (extant until 11th/12th cents.)
28 10. Hippodrome (324–330)

H
11. Church of St. Euphemia
Galata-Pera (extant until 1453)

or
n
12. Church of Sts. Sergius and Bacchus
(527–536)
13. Column of Constantine (330)
Deuteron 14. Church of the Anastasis (4th cent.,
1042–1055; extant until 1453)
Zeugma 15. Church of the Forty Martyrs of
25 26 Sebaste (588; still attested
Perama in 11th/12th cents.)
27 16. Church of St. Panteleimon (4th cent.;
24 extant until 11th/12th cents.)
17. Column of Theodosius (393)
aq 18. Church of the Theotokos of
ue Diakonissa (598; extant until
du Constantianae
ct 11th/12th cents.)
(36
8- 19. Philadelphion (extant until 13th cent.)
37
8)
Strategio
n 20. Church of Myrelaion (920)
21. Column of Arcadius (421)
14 22. Church/Monastery of the
17 Theotokos Peribleptos (1034)
phos Bous 8 2
lo 18 23. Studium (Monastery of Stoudios; 460)
Xero Mese 13 3 24. Monastery of Christ Pantokrator (1136)
21 19 25. Monastery of Christ Akataleptos
9
Bosporus

Exakionio 20 15 5 4 (late 11th cent.)

n 26. Church of St. Acacius (4th cent.;
11
10 1 extant until 14th cent.)
16 6 27. Church of the Holy Apostles
se (4th cent., 550; extant until 1453)
Me 7
12 28. Church/Monastery of the Theotokos
Pammakaristos (ca. 1080)
Harbour of Caesarius (mid–6th cent.) Harbour of 29. JMonastery of St. John in Petra
22 th cent.)
or Blanga (ca. Q3. 12 Kontoskalion (8th cent.) (5th cent.; extant until 1453)
30. Xenon of the Kral (attested
13th/14th cents.)
23 Propontis / Sea of Marmara 31. Chora Church (6th cent.;
extant until 1453)
32. Church of the Theotokos
of Blachernae (5th cent.;
Golden 0 500 1000 2000 m destroyed 1434)
Gate
8.10. constantinople

Plan 2: Constantinople in the middle and late Byzantine period (7th cent.-1453)
8.11. thessalonica 306

(JRS, Monograph 11), 2008 [9] G. Dagron, Les ern hinterland (Axios Valley). When the Romans
moines et la ville. Le monachisme à Constantinople established control over the region in 148 bc,
jusqu’au concile de Chalcédoine, 451, in: TM 4, 1970, Thessalonica became the capital of the Province
229–276 [10] G. Dagron, Naissance d’une capitale. of Macedonia (and of Macedonia prima after ad
Constantinople et ses institutions de 330 à 451 (Biblio-
thèque byzantine, Études 7), 1974 [11] G. Dagron,
292).
L’organisation et le déroulement des courses d’après The Apostle Paul embarked on a mission to the
le Livre des Cérémonies, in: TM 13, 2000, 9–200 [12] Jewish community around ad 50. The Late Roman
R. Janin, Constantinople byzantine. Développe- city walls dating from the 3rd century ad (ear-
ment urbain et répertoire topographique (Archives lier structures having previously been restored)
de l’Orient chrétien 4A), 21964 [13] R. Janin, La [443–88] enclosed a roughly triangular area. The
géographie ecclésiastique de l’Empire byzantin, part southwestern wall followed the coast from the
1: Le siège de Constantinople et le patriarcat œcumé- harbour in the northwest to the White Tower
nique, vol. 3: Les églises et les monastères, 21969 [14] in the southeast. From these two corners, walls
V. Kidonopoulos, Bauten in Konstantinopel 1204–
extended to the northeast, rising to the Acropolis
1328 (Mainzer Veröffentlichungen zur Byzantinistik 1),
1994 [15] H. A. Klein et al. (eds.), Kariye from The- (Turkish Yedi Kule, Greek Heptapyrgion). Thes-
odore Metochites to Thomas Whittemore (exhibit. salonica preserved this area of around 2.6 km2
cat.), 2007 [16] U. Kocabaş (ed.), The ‘Old Ships’ [420] throughout the Middle Ages, although the
of the ‘New Gate’, 2008 (22012) [17] J. Kostenec, upper city was largely abandoned in the Middle
The Heart of the Empire. The Great Palace of the Byzantine period. At the end of the 3rd century,
Byzantine Emperors Reconsidered, in: K. Dark (ed.), the tetrarch Galerius made Thessalonica one of his
Secular Buildings and the Archaeology of Every- main residences (construction of the palace in the
day Life in the Byzantine Empire, 2004, 4–36 [18] southeast of the city began in 303), and the city
P. Magdalino, The Maritime Neighborhoods of became the administrative capital of the Prefec-
Constantinople. Commercial and Residential Func-
tions, Sixth to Twelfth Centuries, in: DOP 54, 2000,
ture of Illyricum orientale in the mid-5th century,
209–226 [19] P. Magdalino, Medieval Constan- then the capital of Illyricum in 536. The churches
tinople, in: P. Magdalino, Studies on the History of the Rotonda (Asomatoi), Hagios Demetrios
and Topography of Byzantine Constantinople, 2007, I, (church of the patron saint of the city), Achei-
1–111 [20] R. Mainstone, Hagia Sophia, 1988 [21] ropoietos and Hagia Sophia (metropolis), along
C. Mango, The Palace of the Boukoleon, in: CahA- with other sacred buildings, were in liturgical use
rch 45, 1997, 41–50 [22] C. Mango, Le développe- from the Early Byzantine period until at least the
ment urbain de Constantinople, IVe–VIIe siècles (TM, 15th century [139–64].
Monographies 2), 32004 [23] W. Müller-Wiener,
Bildlexikon zur Topographie Istanbuls, 1977 [24]
B. Middle Byzantine period
P. Schreiner, Konstantinopel. Geschichte und
Archäologie, 22015 [25] C. L. Striker / D. Kuban, Slavic population groups began settling in the
Kalenderhane in Istanbul, 2 vols., 1997–2007. vicinity of Thessalonica in the late 6th century,
and they besieged the city on several occasions,
Albrecht Berger sometimes with the help of the Avars (reports
in the Miracula Sancti Demetrii, 7th cent.). Jus-
8.11. Thessalonica tinian II came to Thessalonica as victor over the
Slavs in 688 and granted the revenues of a salt
A. Classical Antiquity and Early Byzantine period pan to the Church of St. Demetrius. The territory
B. Middle Byzantine period of the praetorian prefect (eparchos) of Illyricum
C. Late Byzantine period was depleted by Slavic land grabs, but not wholly
reduced to the city [8]. The many seals of kom-
A. Classical Antiquity and Early merkiarioi (fiscal officials monitoring the trade in
Byzantine period goods) and abydikoi (harbour and maritime trade
The second-most-important city of the Middle inspectors) found in the city (8th–10th cents.)
and Late Byzantine Empire after → Constantinople attest to lively commerce and economic prosper-
(8.10.) [25–9], Thessalonica (Greek: Thessalonike/ ity. The archbishopric of Thessalonica, formerly
Thessaloniki) was founded around 315 bc by Cas- subject to Rome, was transferred to the author-
sander, who named it after his wife, a half-sister ity of the patriarch of Constantinople around 733
of Alexander the Great (other forms of the name: (or 751) [637 f.]. Thessalonica was established as a
Salonica/Saloniki, southern and western Slavic thema probably in the first quarter of the 9th cen-
Solun, Turkish Selanik, Vlach Sărună, dialectual tury [13]. The Greek and Slavic environs of Thessa-
Greek Salunik). Thessalonica lay on the Thermaic lonica were the homeland of the ‘Slavic Apostles’
Gulf of the northern Aegean and on the via Egna- Constantine/Cyril and Methodios.
tia, the long-distance Roman road that linked the Arabs under the command of Leo of Tripoli
Adriatic with Constantinople (→ 9.1. Land routes took Thessalonica on July 31, 904, but left after ten
B.). It enjoyed good transport links with the north- days (description by John Kameniates). Episcopal
307 8.11. thessalonica

registers of the 9th century show Thessalonica as The prosperity of Thessalonica began to wane
the metropolis of the province of Prote Makedonia in the mid-14th century when the city lost control
(Macedonia prima) in the eparchia Illyrikou (pre- over its hinterland to the Serbs and the Turks.
fecture of Illyricum); in the 10th century, this was Intellectual life, however, continued to thrive,
extended to Thettalia/Thessalia (hence the met- with scholars like Nicholas Kabasilas, Demetrios
ropolitan’s title ‘Exarch of All Thessaly’ [643–110]). Kydones and Thomas Magistros. There were
Diverse relations existed between Thessalonica direct trading links between Thessalonica and the
and the monks of Mount Athos from the 10th cen- Serbian mining town of Novo Brdo (the trading
tury on (→ 8.8. Monastic settlement forms). There company of Junius Bunić of Dubrovnik at Thes-
are reports of 500 Jews working in silk weaving salonica) from 1373 to 1377. The Turks laid siege
in the city around 1165. Thessalonica became an to the city in 1383, and it surrendered to Hayred-
important base for Venetian and Pisan traders din Paşa in 1387. Venetian trade at Thessalonica
in the latter half of the 12th century. Eustathios enjoyed a boom during the period of Turkish rule
of Thessalonica mentions Jewish and Armenian (1387–1403).
quarters and a quarter of Bourgesioi (merchants The Ottomans retreated from Thessalonica
from the West) in the city. The satirical Timarion following their defeat at Ankara in 1403, and
(anon., 12th cent.) also refers to the importance of John VII Palaiologos ruled the city as despotes until
Thessalonica in long-distance trade (Latins, Egyp- 1408. His successor, Andronikos Palaiologos (son
tians, Syrians, Bulgars). Normans took Thessa- of Manuel II), thwarted another Ottoman siege
lonica on August 24, 1185, but the city was restored by surrendering Thessalonica to the Venetians on
to Byzantine control early the following year. September 13, 1423; they had been supplying the
besieged city with grain. Murad II and Sinan Paşa
C. Late Byzantine period took Thessalonica on March 29, 1430. The arrival
In 1204, the Piedmontese Margrave Boniface of many immigrant Sephardic Jews from Spain
of Montferrat secured control of Thessalonica (as and other Catholic countries after 1492 brought
the ‘Latin Kingdom of Thessalonica’). The Latin another economic boom to the city.
Emperor Henry of Flanders took over the city in
1209, but in 1224 it was conquered by Theodore Bibliography
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were minted on a large scale in the years of Theo- lonike. A Second City’s Challenges and Responses, in:
DOP 57, 2003, 5–34 [3] F. A. Bauer, Eine Stadt und
dore’s rule up to March 1230 (defeat by the Bulgar ihr Patron. Thessaloniki und der Heilige Demetrios,
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was ruled (sometimes simultaneously, sometimes από τον Κάσσανδρο ως τον Ηράκλειο, 1998 [5] F.
successively) by the despotes Manuel Angelos, Bredenkamp, The Byzantine Empire of Thessalon-
brother of Theodore I, Theodore himself again and ike (1224–1242), 1996 [6] E. Chatzēantōniu, Η
both his sons. The city fell to John III of Nicaea in μητρόπολη Θεσσαλονίκης από τα μέσα του 8ου αι. έως το
1246 [5]. 1430, 2007 [7] M.-H. Congourdeau, Les Zélotes.
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after 1273. The Venetian-Byzantine treaty of 1277 dossier des sources, 2013 [8] A. E. Gkoutzioukos-
tas, The ‘Prefect of Illyricum’ and the ‘Prefect of Thes-
granted the Venetians the Armenian Church in
saloniki’, in: Byzantiaka 30, 2012–2013, 45–80 [9]
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cial presence [9100 f.]. Yolande, daughter of William in Thessalonike, ca. 1150–ca. 1450, in: DOP 57, 2003,
VII of Montferrat and (as Irene) wife of Androni- 85–132 [10] P. Lemerle, Les plus anciens recueils
kos II Palaiologos from 1284 on, ruled indepen- des miracles de Saint Démétrius et la pénétration des
dently of Constantinople at Thessalonica until her Slaves dans les Balkans, 2 vols., 1979–1981 [11] É.
death in 1316 [212–14]; [11266–274]. Demetrios Palaiolo- Malamut, Cinquante ans à Thessalonique. De 1280
gos, her son by Andronikos II, became governor à 1330, in: ZRVI 40, 2003, 263–296 [12] C. Morris-
of Thessalonica around 1328. The conflict between son, The Emperor, the Saint, and the City. Coinage
John VI Kantakouzenos and John V Palaiologos and Money in Thessalonike from the Thirteenth to
the Fifteenth Century, in: DOP 57, 2003, 173–203 [13]
escalated in 1341, with Thessalonica largely united A. Stauridu-Zaphraka, Τα θέματα του μακδονικού
behind the latter. The city was ruled by the anti- χώρου. Το θέμα Θεσσαλονίκης ως τις αρχές του 10ου
aristocratic “Zealots” (followers of the megas doux αι, in: Byzantina 19, 1998, 157–170 [14] A. Tourta,
Alexios Apokaukos) from 1342, when they expelled Thessalonike, in: J. Albani / E. Chalkia (eds.),
the governor Theodore Synadenos appointed by Heaven and Earth. Cities and Countryside in Byzan-
Kantakouzenos, until 1349 [216–21]; [7]. The Serb tine Greece, 2013, 75–93.
ruler Stefan Dušan besieged Thessalonica in 1347
until Kantakouzenos concluded a peace with him. Peter Soustal
8.11. thessalonica 308

Acropolis

2
3
Upper City
4
5
6 7
8 H. Decumanus ‒
Decumanus
Odos Benizelu ‒
Cardo maximus

9 Agora
11
10 12
13

Leoforos ‒ Decumanus maximus 14

15

16 17 19
18

Harbour Lower City

20

21

Thermaic Gulf
0 100 200 300 400 500 m

P3 - Thessalonica (4th-15th centuries)

1. Blatadon Monastery (14th cent., earlier building 12. H. Panteleimon (Byzantine Theotokos Peribleptos,
10th or 12th cents.) Monastery of Kyr Isaac; ca. 1300)
2. Taxiarches (H2 14th cent.) 13. Panagia Chalkeon (1028)
3. Latomou Monastery (5th/H1 6th cent.) 14. Arch of Galerius (‘Kamara’, early 4th cent.)
4. H. Nikolaos Orphanos (13th/14th cents.) 15. Metamorphosis Sotiros (Sotira)
5. H. Aikaterini (14th cent.) 16. H. Menas (early Christian, then destroyed and
6. Prophetes Elias (14th cent.) rebuilt several times)
7. Laodigitria (14th cent.?, new building begun 19th cent.) 17. H. Sophia (ca. 500, new structure H2 8th cent.)
8. H. Demetrios (5th or 6th cent.) 18. Monastery of H. Theodora (Middle Byzantine?)
9. H. Apostoloi (1310–1320) 19. Palace of Galerius (Hippodrome, Octogon etc.; 303)
10. Acheiropoietos (mid-5th cent.) 20. Nea Panagia (1727)
11. Rotonda (ca. 300, adapted for Christian use ca. 21. White Tower (Leukos Pyrgos, mid-15th cent.,
5th cent., H. Asomatoi) replacing an older tower)

fortified wall seaward wall H. Hagios, Hagia, Hagioi

harbour wall archaeological site

Plan 3: Thessalonica (4th–15th centuries)

309 8.12. ephesus

8.12. Ephesus B. Splendour in Late Antiquity:

Ephesus in the Theodosian period
A. Destruction and reconstruction: Ephesus in the The centre now shifted to the lower city, where
4th century extensive construction has been found dating
B. Splendour in Late Antiquity: Ephesus in the from Late Antiquity. At around the same time,
Theodosian period in the early 5th century, the Church of Mary was
C. Genesis of a Christian pilgrimage centre: saints built into a hall flanking the southern portico of
and churches of Ephesus the Hadrianic ruler cult (the Olympieion or Tem-
D. Ephesus in full bloom: the 6th century ple of Hadrian Olympius), the Byzantine palace
E. The waning of urban life: destruction and was constructed, and the palaestra of the harbour
change in the Middle Byzantine period gymnasium and a large field called the Xystoi were
F. Ephesus becomes Ayasoluk: the transformation abandoned and residential buildings put up there.
of a Byzantine city until the Ottoman conquest Destruction offered an opportunity to redesign
entire quarters and thus to alter the structure and
A. Destruction and reconstruction: appearance of the city [1064]. This is clearly seen
Ephesus in the 4th century in the partial abandonment of the ancient street
Ephesus, on the western coast of Anatolia in grid and the overbuilding of large Imperial-period
the ancient landscape of Ionia, became the capi- structures with small buildings. Material was
tal of the Roman province of Asia in the early removed from the abandoned quarters for use as
Imperial period. As an administrative centre and spolia elsewhere.
commercial metropolis, it was one of the most The main artery of the city remained the still-
important cities of the Byzantine period, and it intact port, which a canal linked to the sea. A
also established itself as an early Christian pilgrim- necropolis was placed next to the canal in the 3rd
age destination, with many sites attracting believ- century, containing burials through to the early
ers (see below, C.). 6th century, when it was abandoned in favour
Earthquakes in ad 270/80 caused great of graveyards near churches [15]. Besides its
destruction at Ephesus, apparent throughout the abundance of resources, easy access by land and
urban area [8]. Reconstruction began immedi- sea also contributed to the choice of Ephesus as
ately [1], but the local economy did not recover the venue of the Third Ecumenical Council in
until several decades later. Imperial intervention 431 [1071].
programmes included infrastructure works, such
as street repairs. The priority in the inner city C. Genesis of a Christian pilgrimage
was to restore installations for the water supply centre: saints and churches of
[2]. Meanwhile, the production and exhibition of Ephesus
inscriptions and sculptures increased markedly, as Ephesus became a major religious centre and
did imports. Coins occur in greater quantities after early Christian pilgrimage site (→ 9.7. Pilgrimage)
the mid-4th century, in another indication of eco- in the reign of Theodosius II (408–450) [9]. The
nomic recovery [8]. basis for this development was the historical and
The public space of the city now shifted from legendary tradition of the presence in the city of
squares to streets, which were designed as places the Apostles Paul and John, the Virgin Mary and
of memory, representation and the demonstration Mary Magdalene. The identification of the Seven
of imperial power. This is impressively exempli- Sleepers legend with a necropolis originally cre-
fied in the Street of the Curetes (Embolos), which ated in a natural cleft of Pion (Turkish Panayır dağ;
was decorated with statue groups and along which ‘Mountain of the All-Holiest [Mother of God]’)
public documents were exhibited in the form of led to its monumental development as a pilgrim-
inscriptions [11]. As a ceremonial, imperial sphere, age centre [20]. Other pilgrim sites included the
the route from the Embolos via the Marble Street Basilica of St. John the Theologian on the epony-
and the Arcadian Road (Arkadiane) to the port mous hill (Hagios Theologos; Turkish Ayasoluk; see
offered a fitting setting for highlights of city life, below), the Tomb of St. Luke in the upper city and
such as festival and penitential processions, and the Grotto of St. Paul on Preon (Turkish Bülbüldağ,
ample space for commercial activity. The taverns ‘Nightingale Hill’).
behind the arcades housed artisans’ workshops, Controversy surrounds the possible existence
shops and kitchens. Meanwhile, the function of a church inside the Temple of Artemis, which
of the great open spaces of the Imperial period appears to have been restored after the cata-
changed. The Upper Agora, for instance, ceased strophic damage it suffered in the 3rd century.
to be an administrative centre and was overbuilt The cult of Artemis was finally extinguished and
as a residential and workshop area. Similarly mas- the cult image destroyed in the early 5th century.
sive reconstruction also altered the character of Churches were either newly built or integrated
the Lower Agora [1348–52]. into existing structures, such as halls, baths or
8.12. ephesus 310

nymphaea. Only one pagan sanctuary, the Sera- the churches were maintained, however, so as
pium/Serapeion, is known to have been trans- not to interrupt the flow of pilgrims. There may
formed into a church. The Temple of Hadrian was have been a military presence in the Lower Agora,
dismantled to its foundations and the sacred pre- which was fortified.
cincts were built over.
F. Ephesus becomes Ayasoluk: the
D. Ephesus in full bloom: the 6th transformation of a Byzantine city
century until the Ottoman conquest
By the early 6th century, Ephesus was in full A new economic recovery in the 11th century
bloom again as the seat of the governor of the manifested itself not only in increasing quantities
province of Asia and the metropolitan of the dio- of new coins and a growth in imports, but also
cese of Asiana, as well as a commercial centre and in the renovation of the Church of Mary [469].
pilgrimage site. The westward shift of the coast- Around this period, a second Byzantine settle-
line caused by ongoing sedimentation meant that ment began to spread out from the Basilica of
a complex system of harbours was needed to pre- St. John the Theologian across the slope to the
serve access to the sea, comprising the original Artemisium. Following the Seljuk conquest by the
Roman harbour, the canal and several small outer emirs of Aydın (1304), this became the town of
harbours. The residential quarters of the inner city Ayasoluk. The settlement of St. Lazarus the Styl-
and villas in the surrounding countryside attest ite on Mount Galesion (1053) in the hinterland of
to the prosperity of the Late Antique elites; their Ephesus spawned another pilgrimage centre that
frescos and mosaic and marble floors bear witness stimulated many monastic foundations [6]. When
to flourishing craftsmanship [21]; [12]. Artisanal the Russian pilgrim Daniel visited Ephesus in 1106,
quarters arose in the suburbs, e.g. above Slope he described the city as situated on a hill, three
House 2 (→ 10.6. Stone working and processing E.; miles from the sea. This was probably the new
→ 10.9. Non-ferrous metals C.), where grain mills settlement around the Basilica of St. John [5127 f.].
could supply 8,000–12,000 people a day with flour Nevertheless, the old city was still inhabited,
[19]. The most monumental new building of the albeit sparsely. Evidence for this includes habita-
6th century was the domed basilica of St. John the tion, agricultural use and continuing burials in the
Theologian on the Hagios Theologos hill (Turk- cemeteries around the Church of Mary and south
ish: Ayasoluk; ‘holy theologian’). Its construction of the Byzantine palace [10]. But archaeological
began by order of → Justinian (2.3.) in 535 [18]. evidence supports the bleak picture painted of
the city’s holy places by Christian pilgrims in the
E. The waning of urban life: 14th century. Sporadic Late Byzantine finds in the
destruction and change in the old city, Ayasoluk and the pilgrimage sites in the
Middle Byzantine period surrounding area are overwhelmed by abundant
A massive defensive wall was built around evidence of Turkic culture at the same period.
the heart of the city and the harbour entrance Emigration and assimilation led to a steady decline
in the early 7th century, probably in response to in the Christian Byzantine population. Ottoman
real threats [10]; [7]. Inside the fortifications, a sources from the second half of the 15th century
cohesive urban population presumably endured, record a Christian quarter in Ayasoluk comprising
but village-like settlements now also developed 73 houses with around 300 inhabitants [17]. The
around suburban churches. Urban life appears to strength of Byzantine traditions, however, is still
have flourished until the third quarter of the 7th apparent, not least in the regional architectural
century, when destruction, the cause of which language in structures like funerary monuments
has not been clarified, brought a sea change in and baths dating from the Emirate and Early Otto-
the city’s economic and settlement history. The man periods.
almost complete cessation of the coin production
and the disappearance of import goods indicate a Bibliography
drop in commercial activity [14193], although evi- [1] J. Auinger / M. Aurenhammer, Ephesische
dence shows that the harbour and canal remained Skulptur am Ende der Antike, in: F. Daim / S. Lad-
navigable until at least the 9th century, and to a stätter (eds.), Ephesos in byzantinischer Zeit, 2011,
lesser degree even until the 12th [16]. 173–206 [2] M. Aurenhammer / A. Sokolicek,
The city centre was now dominated by piece- The Remains of the Centuries. Sculptures and Statue
Bases in Late Antique Ephesus. The Evidence of
meal construction. Although large representa-
the Upper Agora, in: O. Dally / C. Ratté (eds.),
tional buildings had lost their original function, Archaeology and the Cities of Asia Minor in Late
most continued to be used, albeit on a far smaller Antiquity, 2011, 43–66 [3] F. Daim / S. Ladstät-
scale. Streets now ignored the ancient grid, and ter (eds.), Ephesos in byzantinischer Zeit, 2011 [4]
the thoroughfares of Late Antiquity were nar- A. Degasperi, Die Marienkirche in Ephesos. Die
rowed or built over altogether. Routes between Bauskulptur aus frühchristlicher und byzantinischer
 311
P4: Ephesus (5th–14th centuries)
1. Church in the Eastern Gymnasium 10. Villa above the theatre 20. Byzantine palace Turkish monuments
2. Grave of St. Luke 11. Theatre 21. Byzantine city wall (esp. late 14th-cent.)
3. Upper Agora 12. Arkadiane (Harbour Street) 22. Vedius Gymnasium
4. Temple of Domitian 13. Late Antique residence 23. Memorial Church
5. Embolos (Curetes Street) 14. Harbour Gymnasium 24. Church
6. Slope House 2 15. Port 25. Seven Sleepers Coemeterium
7. Tetragonos Agora 16. Double Church, Bülbüldağ 26. Odeion in the Artemision
8. Serapeion 17. Western necropolis 27. Temple of Artemis
9. Cave of St. Paul 18. Church of Mary 28. Basilica of St. John
19. Olympieion
8.12. ephesus

Plan 4: Ephesus (5th–14th centuries)

8.13. mistra 312

Zeit, 2013 [5] C. Foss, Ephesus after Antiquity. A Myzēthras), a 621  m summit of the Taygetus foot-
Late Antique, Byzantine and Turkish City, 1979 [6] hills in the southern Peloponnese, around 7 km
A. Külzer, Ephesos in byzantinischer Zeit. Ein northwest of Lacedaemon (ancient Sparta). Its
historischer Überblick, in: F. Daim / S. Ladstät- purpose was to defend the Laconian Plain from
ter (eds.), Ephesos in byzantinischer Zeit, 2011,
31–50 [7] A. Külzer, Ephesos im siebten Jahrhun-
attacks. There may already have been a Byzantine
dert Notizen zur Stadtgeschichte, in: Porphyra 20, structure at the site. William was captured by the
2013, 4–16 [8] S. Ladstätter, Ephesos in byzan- Byzantines at the Battle of Pelagonia in 1259, and
tinischer Zeit. Das letzte Kapitel der Geschichte einer in 1262 he bought his freedom by surrendering
antiken Großstadt, in: F. Daim / S. Ladstätter Mistra, Geraki, Maina and Monembasia. These for-
(eds.), Ephesos in byzantinischer Zeit, 2011, 3–30 [9] tresses and their environs now formed the heart-
A. Pülz, Ephesos als christliches Pilgerzentrum, in: land of a Byzantine territory that from 1262 to 1348
Mitteilungen zur Christlichen Archäologie 16, 2010, was governed by a strategos known as the kephale
71–102 [10] A. Pülz, Das Stadtbild von Ephesos (‘head’), based at Mistra.
in byzantinischer Zeit, in: F. Daim / S. Ladstät-
The population of Lacedaemon removed itself
ter (eds.), Ephesos in byzantinischer Zeit, 2011,
51–82 [11] C. Roueché, The Kuretenstraße. The to the east of the fortress of Mistra, probably seek-
Imperial Presence in Late Antiquity, in: S. Ladstät- ing greater security following the Frankish victory
ter (eds.), Neue Forschungen zur Kuretenstraße at the Battle of Makryplagi in 1264. A medium-
von Ephesos (Akten des Symposiums für Hilke Thür, sized Late Byzantine town of lavish design devel-
2006) (Archäologische Forschungen 15), 2009, 155– oped here. Despite its precipitous location, it
170 [12] V. Scheibelreiter-Gail, Die Mosaiken superseded Lacedaemon as the inland centre of
Westkleinasiens. Tessellate des 2. Jahrhunderts v. Chr. the Byzantine Peloponnese.
bis Anfang des 7. Jahrhunderts n. Chr., 2011 [13] P. The metropolitan of Lacedaemon established
Scherrer / E. Trinkl, Die Tetragonos Agora in his residence here. His metropolis, Hagios Deme-
Ephesos. Grabungsergebnisse von archaischer bis
in byzantinische Zeit. Ein Überblick. Befunde und
trios, a wooden-roofed, three-nave basilica to the
Funde klassischer Zeit, 2006 [14] N. Schindel, Die east of the summit, already existed before 1292;
Fundmünzen von der Kuretenstraße 2005 und 2006. its upper portion was remodelled into a cross-in-
Numismatische und historische Auswertung, in: S. square church in the early 15th century (on the
Ladstätter (ed.), Neue Forschungen zur Kureten- building types cf. → 11.2. Architecture A.2.). The
straße von Ephesos (Akten des Symposiums für Hilke oldest buildings of the city include the churches of
Thür, 2006) (Archäologische Forschungen 15), 2009, the Brontochion Monastery, founded by the abbot
171–245 [15] M. Steskal, Wandering Cemeteries. Pachomios, Archimandrite of the Peloponnese, to
Roman and Late Roman Burials in the Capital of the the northwest of Hagios Demetrios. Construction
Province of Asia, in: O. Henry (ed.), Le mort dans la
began on the octagonal, cross-in-square church of
ville. Pratiques, contextes et impacts des inhumations
intra-muros en Anatolie, du début de l’Âge du Bronze the Hagioi Theodoroi, richly decorated with fres-
à l’époque romaine, 2013, 243–257 [16] F. Stock et cos, after 1290. The church of Panagia Hodegetria
al., In Search of the Harbours. New Evidence of Late (also called “Aphendiko”), a hybrid of the three-
Roman and Byzantine Harbours of Ephesus, in: Qua- nave basilica and cross-in-square design, was built
ternary International 30, 2013, 57–69 [17] C. Telci, after 1310, boasting valuable frescos and two sepul-
Ayasuluğ, 2010 [18] A. Thiel, Die Johanneskirche chral chapels.
in Ephesos, 2005 [19] S. Wefers / F. Mangartz, Following the foundation of the Despotate of
Die byzantinischen Werkstätten von Ephesos, in: Morea (1348), the members of the imperial house
F. Daim / S. Ladstätter (eds.), Ephesos in byz- who ruled it (the Kantakouzenoi until 1384, then
antinischer Zeit, 2011, 223–240 [20] N. Zimmer-
mann, Das Sieben-Schläfer-Zömeterium in Ephesos.
the Palaiologoi) continued building activity in
Neue Forschungen zu Baugeschichte und Ausstat- the city. Many secular buildings appeared, rang-
tung eines ungewöhnlichen Bestattungskomplexes, ing from simple dwellings to lavish noble town-
in: Jahreshefte des Österreichischen Archäologischen houses, some with balconies and turrets, e.g. the
Institutes in Wien 80, 2011, 365–407 [21] N. Zim- Archontiko (in two building phases), the Laskaris
mermann, Die spätantike und byzantinische Malerei House south of the metropolis and the Phrango-
in Ephesos, in: F. Daim / S. Ladstätter (eds.), poulos House (15th cent.) with subterranean cis-
Ephesos in byzantinischer Zeit, 2011, 125–172. terns. The sloped site dictated the orientation of
the buildings, most of which were multi-storey
Sabine Ladstätter
and rarely had large atria. The city’s fortifications
were reinforced and extended. William’s fortress
8.13. Mistra ultimately stood beside a walled upper city and
a similarly fortified lower city, all criss-crossed by
Mistra was one of the most important cultural narrow lanes.
centres of the Late Byzantine period. In 1248, The L-shaped Despots’ Palace in the northern
William II de Villehardouin had a fortress built section of the upper city, with several phases dat-
on the peak of Mount Mystras (southern Slavic ing from the 13th century (still Frankish) to the
313 8.13. mistra

P5: Mistra (13th–18th centuries)

1. Main entrance 14. Mavroporta
2. Mitropolis/Hagios Demetrios 15. Monastery of the Theotokos Pantanassa building
3. Euangelistria Church 16. Hagioi Taxiarchoi fortification
4. Hagioi Theodoroi 17. Phrangopoulos House road
5. Panagia Hodegetria (Aphendiko) 18. Monastery of the Theotokos Peribleptos path
6. Monembasia Gate 19. Hagios Georgios (chapel)
7. Hagios Nikolaos 20. Krevvatas House (18th cent.)
8. Palace of the Despots and Platia (Square) 21. Marmara Fountain
9. Nauplia Gate 22. Hagios Giannakis (chapel, post-Byzantine)
10. Upper entrance to fortress 23. Laskaris House
11. Hagia Sophia 24. Hagios Christophoros (chapel)
12. Little Palace (Palataki/Archontiko House) 25. Ruined house
13. Fortress 26. Hagia Kyriaki (chapel)

Plan 5: Mistra (13th–18th centuries)

 50º 8.13. mistra

Da
nub
e

Venice
Sa
va
Sirmium Ca
ucasus
Ravenna ube

Mora
Dan

A
va
dr Salona ea
ia Balkans
ck S
40º ti Bla Trebizond
c
Rome

Marits
S Va

a
Dyrrhachium r da
r Constantinople

ea
Cordoba
Thessalonica
s

Pi
ly
Ha

n
Ae

du
ge

s
Iconium us
Ephesus ur

an
Ta

Io
Karthago Athens
Syracuse Antioch (Orontes) Eu
ph

ni
Carthage Antiocheia ra

a
te
Sea
s

n
S
ea

ea
nea n S
Mediterra Jerusalem
Peripheral and central Byzantine spheres Alexandria
of interest (6th–11th cents.)
Byzantine Empire in the reign
of Justinian I (527–565)

Byzantine heartlands

0º Maximum extent prior to 1071 10º 0 100 200 300 400 500 km

20º 30º 40º

314

Map 11: Peripheral and central Byzantine spheres of interest (6th–11th cents.)

315 8.13. mistra

Currents in the Aegean and Mediterranean Seas

0 100 200 300 400 500 km

40º

35º

20º 25º

Map 12: Currents in the Aegean and Mediterranean Seas

 15º 20º 25º 30º 35º 40º 45º

45º
8.13. mistra

D Bo Zi
ch
al
Sarajevo M ia

m
ia
Se oesi Ana p a (K
rb a ub

sn atia
ia an
)
Kruševac
Thrace
Bulgaria ea
B lack S
40º Samokov
Rhod
ope
Pa n g a e u m Constantinople
G ü mü sh
¸ ane
Chalcidi c e P oArg y ro u p o l i s
n t u s
Thessalonica Thasos Theodosiopolis
Stageira Erzurum

sia Minor
Keban
E a s t e r nn i A
Foça/Phocaea Ar me a
At
tic
a
Thoricus s
35º Bolkardag˘ u
Gümüsköy
, ur
Ta

Crete Mineral resources,

Kandanos us
Cypr mining regions and
forest regions
(4th–15th cents.)
Phoenicia
Sidon Lebanon
Me Tyre
dite glass Ta u r u s mining region
rrane
an Sea purple
forested region

mercury
silver lead
30º
gold tin
E g y p t
copper alum
0 100 200 300 400 500 km
iron mineral oil
316

Map 13: Mineral resources, mining regions and forest regions (4th–15th cents.)
317 8.13. mistra

early 15th, is one of the largest representational ter the growing Ottoman threat by surrendering
Byzantine buildings outside →  Constantinople the city to the Knights Hospitaller of Rhodes, but
(8.10.). Its surviving walls are up to three storeys his plan was frustrated by the fierce opposition of
high. The first despot, Manuel Kantakouzenos, the populace. The Ottomans advanced to the city
ordered the building of Hagia Sophia within the walls in 1423 and 1431, and Mistra became tributary
palace, and this later became the main church in 1446. On January 6, 1449, Constantine Palaiolo-
(katholikon) of the Monastery of Christ Zoödotes. gos was crowned (the last) Byzantine Emperor in
The Church of the Theotokos Peribleptos in the the city’s episcopal church. The city survived the
southeast, possibly dating from the mid-to-late Fall of Constantinople. Despot Demetrios Palaiolo-
14th century, was partly built into a cave, which gos did not cede it to Sultan Mehmed II until
explains the irregularity of its shape (apsids). The May 31, 1460.
Evangelistria Church was built towards the end of
the 14th century, and its sculptural decoration is Bibliography
of local provenance. The Monastery of the Theoto- [1] A. Avramea, The City of Mystras (exhibition cata-
kos Pantanassa, with a dramatic location on the logue), 2001 [2] A. Bon, La Morée franque. Recher-
steep eastern escarpment, was completed in 1428 ches historiques, topographiques et archéologiques
(Frankish architectural influences). sur la principauté d’Achaïe (1205–1430), 1969 [3] M.
Chatzidakis, Mistra. Die mittelalterliche Stadt und
As a central market town, Mistra experienced die Burg, 1981 [4] S. Kalopissi-Verti, Mistra. A
an economic boom that stimulated its growth as Fortified Late Byzantine Settlement, in: J. Albani /
an intellectual centre. Until the mid-15th century, E. Chalkia (eds.), Heaven and Earth. Cities and
the city was attracting artists, theologians and Countryside in Byzantine Greece, 2013, 224–239 [5]
writers, including Metropolitan Isidore of Kiev S. Runciman, Mistra. Byzantine Capital of the Pelo-
and the philosopher George Gemistos Plethon. In ponnes, 1980.
1402, Despot Theodore I Palaiologos tried to coun-
Andreas Külzer
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10. Production and technology
10.1. Mineral resources With regard to quarries, attention has been
10.2. Plant and animal raw materials focused primarily on those that provided mate-
10.3. Importation of raw materials rials for architectural ornamentation, especially
10.4. Use of energy sources marble. As in other periods, quarries producing
10.5. Professional associations simple cut stone and millstones require more
10.6. Stone working and processing research. The recent general increase in interest,
10.7. Pottery however, is having a positive impact in Byzantine
10.8. Ironworking contexts as elsewhere [3]; [20].
10.9. Non-ferrous metals
10.10. Goldsmithing and silversmithing B. Chronology
10.11. Precious stones At first, the highly developed Roman mining
10.12. Glass industry with its many mines and quarries simply
10.13. Bone carving continued in the Early Byzantine period. It is safe
10.14. Ivory to assume that Roman technologies continued to
10.15. Leather goods be widely used and that there was no significant
10.16. Textiles reduction in mining activity. Much of the industry,
10.17. Timber as a building material however, apparently passed into private hands,
10.18. Construction and operations were subject to restructuring [885,
10.19. Mechanics and machines 93]; [12115–117]; [13221]; [17129].
10.20. Markets and fairs, trade routes Territorial losses in the Middle and Late Byz-
antine periods deprived the empire of many min-
10.1. Mineral resources ing regions. This also led to a simplification of
the organization and working methods, with a
A. Sources and research concomitant impact on the quality of mining and
B. Chronology smelting [12117–120]. The true scale of such changes,
C. Mined materials however, cannot be deduced from the scant writ-
D. Metal mining ten record [16144 f.]; [1816 f.]. Stone now increasingly
E. Quarrying tended to be obtained from ancient ruins (see
F. Organization below, E.; → 10.6. Stone working and processing
C.). Furthermore, raw materials in all periods were
A. Sources and research imported from outside the empire to supplement
The high-quality → gold and silversmithing the products of domestic mining (see below; →
(10.10.) work of Byzantine artisans and the empire’s 10.3. Importation of raw materials).
precious-metal currency drew scholars’ attention
to metallurgy at an early date [18]. Since then, the C. Mined materials
relevant disciplines (esp. archaeometallurgy, min- The territory of the Byzantine Empire con-
eralogy, geology, montane archaeology) have been tained reserves of all the metals that were in use
increasingly involved in the study of raw materi- [14111]. In many cases, product analysis provides
als extraction. The comparatively good sources direct or indirect evidence of where materials
for the Early Byzantine period make it a major originated. Specific mines can be pinpointed most
research focus, but important results have also frequently in the Early Byzantine period, when
been obtained for later periods [9160–166]; [12117–120]. continuity from Roman mines provides the neces-
The wide geographical expanse of the empire, sary information.
with its heartlands in the Balkans and Asia Minor, The precious metals gold and silver performed
encompasses many mining regions and deposits a crucial function in the economy of the empire
of raw materials that were exploited in the past (→ 10.10. Goldsmithing and silversmithing). There
or continue to be so today. The discovery of old were especially rich gold reserves in Egypt, Arme-
extraction sites is consequently always a possibil- nia, Thrace and Asia Minor. Alluvial gold in the
ity. Documentary sources from Late Antiquity and Armenian frontier region was particularly abun-
the Middle Ages (esp. legal texts: Codex Theodo- dant and easy to obtain [4138]; [12115 f.]; [13222–224];
sianus, Codex Iustinianus; cf. → 4.3. Legislation) [15190]. Scholars formerly often assumed that
also permit direct and indirect inferences, as do most silver was obtained by recycling, but min-
epigraphic sources. Knowledge of ancient mining ing has also been shown to have taken place: the
practices can also be applied, with caution, to the famous Attic silver mines at Laurium were still in
Early Byzantine period. use in the 5th and 6th centuries [892]. Lead-iso-
tope analyses of 6th-century coins and stamped
351 10.1. mineral resources

silver vessels suggest that the metal was mined in installations for smelting and processing, some of
the Taurus Mountains and around the Black Sea. them fortified (e.g. Kraku lu Jordan, Serbia [15190];
The fact that the origins of metals are very often → 10.8. Ironworking; → 10.9. Non-ferrous metals),
apparent militates against frequent recycling and sometimes at considerable distances from the
[13222]. nearest watercourse [9163 f.]. Cushion stones placed
Copper (esp. Asia Minor, Cyprus, Palaes- at mine exits were used to effect a first crush-
tina, Balkans), lead and zinc (esp. Balkans, Asia ing of mined ores [9160]. There were also simpler
Minor) reserves were exploited in every period, extraction methods than mining: alluvial gold was
as were the extractable deposits of oxidic iron obtained by panning and bog iron ore was simply
ores [9]; [16]. In the 6th and 7th centuries, tin collected [12116, 118].
may have been mined in Byzantine territory (Tau-
rus) and occasionally imported from the British E. Quarrying
Isles [13222 f.]; [16142]. The polymetallic reserves of The preferred material for stonemasonry was
Asia Minor and the ophiolite belt of the Balkans marble. The most important types (which are still
were particularly profitable, containing a range petrographically classified in the same way today)
of extractable ores in the same mining area. The were Proconnesian (Propontis) and Docimian
island of Thasos was an interesting peculiarity marble (Anatolia). The Proconnesian quarries [5]
in Byzantine times because of the range of raw supplied the many construction projects at Con-
materials mined there, including lead, zinc, cop- stantinople in the Early Byzantine period. Cycladic
per, silver and gold [19]. Where slag finds display marbles and local types were also extracted
complex phase structures, it is not always possible (→ 10.6. Stone working and processing) [17129–133].
to determine mineralogically which metals were The provinces of North Africa and the Near East
the primary extraction target [9162–164]. had little marble of their own (e.g. Chemtou) and
Besides many different types of rock for various thus relied to some extent on imports (Miracula
purposes (see below, E.), mud was also extracted Demetrii 2,6 [1]). The cargo of the Marzamemi
from many local reserves for building materials B shipwreck found south of Syracuse included
and clay for → pottery (10.7.) production. Red clay architectural components for a church [10]; [7]. In
was used more often than white or yellow. In all northern Syria, local limestone was quarried for
likelihood, the local extraction (esp. in Asia Minor) use as architectural ornamentation (e.g. pilgrims’
of alum was also frequent. The Genoese certainly sanctuary of Simeon Stylites the Elder).
mined it in Phocaea in the late period [6769–782]. → Egypt was an important source of hard rock
Glass (10.12.) manufacture in the Early Byzantine types (e.g. mons Claudianus, granite). Egyptian red
period required Egyptian natron in addition to porphyry from the mons Porphyrites was regarded
easily obtainable quartz sand and lime. Organic as particularly noble for prestigious contexts
plant ash replaced natron in the Middle Byzantine [17132]. As the North African territories were lost to
period. the empire, other reserves had to be called upon,
especially in Asia Minor, such as the granites of
D. Metal mining the Troad. Coloured rocks (e.g. cipollino, verd
Dating Byzantine mining is not always straight- antique) were an important component of Byzan-
forward, because extraction at many sites contin- tine → architecture (11.2.).
ued for very long periods [9160]; [16151–176]. Mining The Byzantine territories had a number of rock
techniques were also influenced by natural condi- types suitable for making millstones (→ 10.6. Stone
tions and the specifics of a particular site. Archae- working and processing), but there is no clear
ological finds provide evidence for dating, as do picture of exactly how widely they were actually
archaeometric analyses of charcoal, pit props and used. Settlement finds along the western coast of
so on. Graffiti on pit walls is a rarer type of evi- Asia Minor have highlighted several production
dence [16171, 182 f.]. Byzantine mines can exhibit a centres [20]; millstones from the Aegean island of
unique profile in well-studied regions [12119, note 29]. Melos were in widespread use. As in other periods,
As elsewhere in the ancient and medieval a balance between transportation distance and
worlds, mining depended on the availability of quality determined the sourcing of unornamented
woodland (for timber) and water. Sites with abun- architectural stone. Lime kilns were set up at local
dant ores (e.g. Bolkardağ, Anatolia) feature gal- limestone and marble quarries and beside ancient
leries with complex systems of shafts and drifts ruins.
[16162–176 fig. 3]. Occasionally lighting devices (Early Alabaster (Egypt, Asia Minor), steatite (soap-
Byzantine clay lamps, Attica) [892]; [13221 f.] and stone; Egypt) and sepiolite (meerschaum; esp.
tools (Middle Byzantine wooden shovels, Anato- Asia Minor) were available for the manufacture of
lia) have been discovered in mines, as well as a valuable objects (→ 10.6. Stone working and pro-
Middle Byzantine transport sled (Anatolia) [16163, cessing D.). The → precious stones (10.11.) that were
171 f. fig. 2; 162 fig. 1]. Some extraction sites had nearby popular in Byzantine times were obtained, where
10.1. mineral resources 352

possible, within imperial territory, but they were shipbuilding, metal coinage and the military. Map-
also imported and refined. ping and material comparisons of mining regions,
It is sometimes difficult to identify truly Byz- on the one hand, and workshops and coins on the
antine quarrying districts because many ancient other show that manufacturing districts often lay
quarries simply remained in use. Only where a close to mines [13223, 225 fig. 15.1 f.]. In frontier regions,
clear distinction can be made is it possible to attri- raw materials could spark military conflicts, such
bute evidence of extraction (e.g. quarry trenches, as for example the gold reserves along the Persian
v-grooves) and quarrying techniques securely. (Sassanid) border [185].
Besides small finds, assistance is also occasion- Maps: Map 13; BNP Suppl. 3, 84, 121, 247
ally available in the form of inscriptions or crosses
marked on rock faces or ingots [17130–132]. System-
atic prospecting and documentation projects may Bibliography
help to identify transregional parallels over the
longer term [3]. Sources
[1] Les plus anciens recueils des miracles de saint
Byzantine quarries have revealed marks made Démétrius et la pénétration des Slaves dans les Bal-
by pendulum masonry saws. There was a tendency kans, 2 vols., edited by P. Lemerle, 1979–1981.
to remove blocks from the surrounding rock in a
form as close to the final shape as possible, and in Secondary literature
contrast to Antiquity, the workshops for the ensu- [2] Schriftenverzeichnis Josef Röder, in: Bonner Jah-
ing processing phase were in a different location rbücher 176, 1976, 357–362 [3] N. Abu-Jaber et
from the point of extraction. More and more stone al., QuarryScapes. Ancient Stone Quarry Landscapes
began to be obtained from ruins in the Middle in the Eastern Mediterranean, Geological Survey
Byzantine period, and spolia were also increas- of Norway (Special Publication 12), 2009 [4] T. I.
ingly used (→ 10.6. Stone working and processing Afanas’eva / S. A. Ivanov, Unexpected Evidence
C.) [17130–132, 137–141]. concerning Gold Mining in Early Byzantium, in: GRBS
53, 2013, 138–144 [5] N. Asgari, The Proconnesian
Production of Architectural Elements in Late Antiq-
F. Organization uity Based on the Evidence from the Marble Quarries,
Raw materials extraction in Late Antiquity in: C. Mango / G. Dagron (eds.), Constantinople
was frequently organized on a large scale, and by and its Hinterland, 1995, 263–288 [6] M. Balard,
state enterprises. Alongside this, however, indi- La Romanie génoise, XIIe–début du XVe siécle (Bib-
vidual and collective leasehold mining spread, liothèque des Écoles françaises d’Athènes et de Rome
as did microenterprise, some of it undertaken by 235), 1978 [7] E. F. Castagnino / A. Paribeni,
occasional miners (seasonal workers). Mining and Byzantine Merchant Ships and Marble Trade. New
production were integrated in complex admin- Data from the Central Mediterranean, in: Skyllis 11/1,
istrative structures designed to secure the lion’s 2011, 64–75 [8] J. C. Edmondson, Mining in the
Later Roman Empire and Beyond. Continuity or Dis-
share of output for the state. Excavation findings ruption?, in: JRS 79, 1989, 84–102 [9] G. Gassmann
(e.g. Wadi Hammamat, Egypt) show that some of et al., Römischer Erzbergbau im Umfeld der antiken
these structures survived into the Early Byzantine Stadt Ulpiana bei Priština (Kosovo), in: Der Anschnitt
period, as in all probability did the collection of 63, 2011, 157–167 [10] G. Kapitän, Elementi
taxes from estates rich in ores (praestatio auraria, architettonici per una basilica dal relitto navale del VI
aeraria, ferraria; Cod. Theod. 11,20,6) and produc- secolo di Marzamemi (Siracusa), in: Corso di cultura
tion duties imposed on mine operators (metalli- sull’arte ravennate e bizantina 28, 1980, 71–136 [11]
cus canon; Cod. Theod. 10,19,3,4,12) [898 f.]. Records K.-P. Matschke, Zum Anteil der Byzantiner an
from the Middle and Late Byzantine periods der Bergbauentwicklung und an den Bergbauerträ-
gen Südosteuropas im 14. und 15. Jahrhundert, in: BZ
clearly show that these organizational structures
84/85, 1991–1992, 49–71 [12] K.-P. Matschke, Min-
were no longer maintained, but the processes by ing, in: A. E. Laiou (ed.), The Economic History of
which they disintegrated cannot be reconstructed Byzantium. From the Seventh through the Fifteenth
[12117]. Century (DOS 39), vol. 1, 2002, 115–120 [13] M. Mun-
A range of offices and occupations related to dell Mango, Tracking Byzantine Silver and Copper
the extraction of raw materials can also be recon- Metalware, 4th–12th Centuries, in: M. Mundell
structed for the Early Byzantine period, including Mango (ed.), Byzantine Trade, 4th–12th Centuries.
officials responsible for mining districts, prospec- The Archaeology of Local, Regional and International
tors and mine managers [9158–160]; [12116]. Damnatio Exchange (Papers of the Thirty-Eighth Spring Sympo-
ad metalla, the ancient punitive sentence to hard sium of Byzantine Studies, Oxford 2004), 2009, 221–
236 [14] M. Mundell Mango, Produktion und
labour in quarries or mines, was still imposed, and Vertrieb in Landwirtschaft und Handwerk, in: Byz-
hard labour in gold mines became hereditary in anz. Pracht und Alltag (exhibition catalogue), 2010,
the 5th century (424, Cod. Theod. 10,19,15) [4138–140]; 108–117 [15] S. Petković, The Traces of Roman
[886]. Metallurgy in Eastern Serbia, in: Journal of Mining
Many metals were important to the Byzantine and Metallurgy 45/2, 2009, 187–196 [16] B. Pitara-
economy and logistical systems, being vital to kis, Mines anatoliennes exploitées par les Byzantins.
353 10.2. plant and animal raw materials

Recherches récentes, in: Revue numismatique 153, dular secretion, taken from the living animal, was
1998, 141–185 [17] J.-P. Sodini, Marble and Stone- carefully heated in salt water for several days until
working in Byzantium, Seventh–Fifteenth Centuries, the desired hue was achieved. It was essential to
in: A. E. Laiou (ed.), The Economic History of Byzan- prevent the extremely malodorous dye bath from
tium. From the Seventh through the Fifteenth Century
(DOS 39), vol. 1, 2002, 129–146 [18] S. Vryonis, The
boiling, because this would destroy the colour.
Question of the Byzantine Mines, in: Speculum 37, Because of the small quantity secreted by each
1962, 1–17 [19] G. A. Wagner / G. Weisgerber, animal, several tens of thousands of snails were
Antike Edel- und Buntmetallgewinnung auf Thasos needed to produce just a few grams of purple.
(Der Anschnitt, Beiheft 6), 1988 [20] S. Wefers / Excavation finds of murex shells, which fre-
T. Gluhak, How to Provenance Ignimbritic Rocks? quently represent only few specimens, cannot
The Millstones of the Byzantine Water-Powered indicate dye manufacture but the consumption of
Milling-Complex in Ephesos (forthcoming). the molluscs. One 6th-century Byzantine purple
factory has, however, been found, at Lycian Andri-
Vera Holtmeyer-Wild
aca [2]. The main species used here was Hexa-
Fritz Mangartz
plex trunculus, attested by the shell remains of
an estimated 60 million individuals. The evident
10.2. Plant and animal raw materials tendency to use younger individuals at Andriaca
shows that the population of sea snails was declin-
A. Products ing on account of overexploitation [2208]. The use
B. Dyes of wild animals here was therefore also a limiting
factor – and hence further stimulated value.
A. Products Besides the prized purple, vegetable pigments
Plants and animals were not only used for food, were also used. They were obtained from a variety
but also in crafts and industries. Textiles (→ 10.16. of plant parts, e.g. leaves, flowers, roots. Unfortu-
Textiles), ropes and cords were made from plant nately, such parts are generally not preserved in
fibres and animal hair, tendons and guts. Plant the archaeology, unlike seeds or fruits. The lack
chaff and pounded mollusc shells were used to of pigment-yielding flower heads, for example,
temper → pottery (10.7.) and brick. Paper was made has led to the assumption that the safflower seeds
from plants and parchment from animal skins. (Carthamus tinctorius) found at Berenice in Egypt
Bones (→ 10.13. Bone carving), → ivory (10.14.), ant- [1159] were used to obtain oil for use in the manu-
lers, horns and wood were carved. Many materials facture of salves and illuminants.
were also put to use in Byzantine pharmaceuticals The use of plants like dyer’s madder (Rubia
(→ 13. Medicine) and cosmetics. Even animal dung, tinctorum) and indigo (Indigofera tinctoria) in
threshing residues and press cakes – waste/by- dyeing is attested by dye analyses on silks [4160].
products of grain, oil or wine production, such as Analysis has also shown that these two plants
straw, grape seeds or olive pits – were used as alter- were used to imitate the characteristic colour
native fuels in regions where timber was lacking. of purple. The red pigments from madder are
obtained by grinding the dried root stocks, while
B. Dyes indigo blue is obtained from the leaves. Fruits of
Brains, urine and certain plants were used as the Egyptian acacia (Acacia nilotica), also found
dyeing and tanning agents in textile and leather in the archaeobotanical record at Berenice [156],
production (→ 10.15. Leather goods). Dyes included may have been used in the tanning and dyeing of
‘authentic’ Tyrian purple obtained from sea snails. leather (→ 10.15. Leather goods). Without tanning,
Tyrian purple was an important component of animal hides would quickly have dried hard and
imperial representation in the Byzantine Empire. brittle. Immersing them in a tanning solution of
Because the process to obtain the dye was highly crushed fruits and water turned them into pliable,
complex, it was extremely expensive. Wearing durable leather. The bark of the Egyptian acacia
purple-dyed garments was therefore regulated by contains both tannins and dyes. If it is used for
law until at least the Middle Byzantine period [5]. tanning, a dark brown or black leather results.
In addition to clothing and trimmings, Tyrian pur- Map: BNP Suppl. 3, 247
ple was also used to dye codex parchment (e.g. the
Vienna Genesis, the Codex Purpureus Rossanensis,
both 6th cent.). Bibliography
The purple dye is extracted from the hypobran- [1] R. T. J. Cappers, Roman Foodprints at Berenike.
Archaeobotanical Evidence of Subsistance and Trade
chial gland of sea snails of the Muricidae family in the Eastern Desert of Egypt, 2006 [2] G. For-
of rock or murex snails. Two species in particular stenpointner et al., Purple-Dye Production in
were used in the Mediterranean: Hexaplex truncu- Lycia. Results of an Archaeozoological Field Survey
lus and Bolinus brandaris [3224–226]. The latter yields in Andriake (South-West Turkey), in: Oxford Journal
a dye that is more wine-red or violet in hue, while of Archaeology 26/2, 2007, 201–214 [3] H. Kroll,
the former gives a bluer violet colour. The glan- Tiere im Byzantinischen Reich. Archäozoologische
10.3. importation of raw materials 354

Forschungen im Überblick (Monographien des RGZM the village of Sapaxi and at Chamouch – were all
87), 2010 [4] A. Muthesius, Essential Processes, located in the area east of the Crimea and south
Looms, and Technical Aspects of the Production of of Kuban and were also known to the Arabs. The
Silk Textiles, in: A. E. Laiou (ed.), The Economic deposits near the villages of Sapikion and Epis-
History of Byzantium. From the Seventh through the
Fifteenth Century, vol. 1, 2002, 147–168 [5] G. Stei-
kopeion in the thema of Derzene and below the
gerwald, Das kaiserliche Purpurprivileg in spätrö- village of Srechiabarax in the thema of Tziliap-
mischer und frühbyzantinischer Zeit, in: JbAC 33, ert, meanwhile, were probably in regions already
1990, 209–239. reconquered by the Byzantines. Scholars believe
that Byzantium mainly used naphtha in the manu-
Henriette BARON facture of ‘Greek fire’ (known in Greek as hygron
Anna Elena Reuter pyr, ‘liquid fire’), which was used to fight enemy
warships.
10.3. Importation of raw materials In the same chapter, Constantine also reports
that the inhabitants of Cherson on the Crimea
The sources give little information regard- supplied the markets of Constantinople with ani-
ing the import of raw materials into the Eastern mal skins and wax, having in turn acquired both
Roman Empire. This may be because the large from the Pechenegs (Const. Porph. DAI 53). Finds
extent of the empire meant that people were able of kommerkiarioi seals (customs officials) and a
to obtain most raw materials from other prov- single reference in the Russian Primary Chronicle
inces, and so relied little on such imports. There (ad annum 6477 = ad 969) attest that Persthlavitsa
are a few indications of imported raw materials (also Presthlavitsa) and later Dristra (also Dorosto-
in the Expositio totius mundi written in the reign lon) on the Danube were important transhipment
of Constantius II (337–361), and the Christianike points for imports from Bohemia and Hungary
Topographia of Cosmas Indicopleustes (mid-6th (silver and horses are mentioned) and from the
cent.), among other works. The Expositio mentions Kievan Rus’ (furs, honey, wax) into Bulgaria
pearls and precious stones like emeralds, jacinths, and the Byzantine Empire in the 10th–12th centu-
garnets and sapphires in the mountainous territory ries [5].
of the Camarini, probably referring to Indo-China. In the first half of the 11th century, Byzantium
These pearls and → precious stones (10.11.), along was receiving large quantities of cullet (crushed
with silk, doubtless reached the Roman Empire glass) and raw glass from the Syrian part of the
via Persia and India. The main transhipment point Fatimid Caliphate for further processing in work-
for them and the spices also mentioned (aromata) shops at Corinth and elsewhere [2].
was Alexandria in Egypt (Expositio totius mundi 6, The Byzantines imported lead, iron, copper
16, 35). and silver from the mines of Bosnia and Serbia
Cosmas ‘who sailed to India’ mentions spices, in the 14th and 15th centuries. These materials
incense, kasia (cassia/cinnamon) and kalamos were initially transported to Ragusa in caravans of
(bamboo, calamus/sweet flag) being shipped draught animals, then shipped on from there to
across the Red Sea (Christianike Topographia 2,49). Constantinople and Thessalonica [4esp. 59, 64–66].
According to a partly legendary tale in the vita of Maps: Map 13; BNP Suppl. 3, 205, 247
Patriarch John the Merciful of Alexandria (609/10–
619/20), John sent a church ship laden with grain Bibliography
to the British Isles, where the crew bartered it for [1] E. Campbell / C. Bowles, Byzantine Trade to
tin (kassiteros) at a very favourable rate (Leontius the Edge of the World, in: M. Mundell Mango
Neapolitanus, Vita S. Johannis patriarchae cap. 8 (eds.), Byzantine Trade, 4th–12th Centuries. The
Archaeology of Local, Regional and International
[1306–310]). Exchange (Papers of the Thirty-Eighth Spring Sympo-
The Book of the Eparch, published shortly sium of Byzantine Studies, Oxford 2004), 2009, 297–313
before the death of Leo VI (886–912), reports that [2] F. H. van Doorninck, The Medieval Shipwreck
Byzantium at the time was importing silk, spices, at Serçe Limani, in: Graeco-Arabica 4, 1991, 45–52
incense and precious woods from the territories [3] A. E. Laiou, Exchange and Trade, Seventh–
under Arab control, and linen and honey from Twelfth Centuries, in: A. E. Laiou (ed.), The Economic
the Bulgar Khanate (Book of the Eparch, §§ 6.5, 9.6 History of Byzantium. From the Seventh through the
and 10.1). In the final chapter of De administrando Fifteenth Century (DOS 39), vol. 2, 2002, 697–770
imperio, the manual of foreign policy that Constan- [4] K.-P. Matschke, Zum Anteil der Byzantiner an
tine VII Porphyrogennetos (912–959) dedicated to der Bergbauentwicklung und an den Bergbauerträgen
Südosteuropas im 14. und 15. Jahrhundert, in: BZ 84,
his son and successor Romanos II (959–963), the 1991, 49–71 [5] N. Oikonomides, Presthlavitza, the
emperor lists locations with reserves of fossil oil Little Preslav, in: Südostforschungen 42, 1983, 1–9.
(naphtha: Greek aphtha). The first reserves men-
tioned – outside the city of Tamatarcha, at Page Klaus-Peter Todt
in the district (meros) of Papagia, at Papagi near
355 10.4. use of energy sources

10.4. Use of energy sources at the wheel blades. However, if the water supply
was not always reliable enough, particularly in
A. Water power semiarid regions, it was necessary to collect water
B. Other energy sources in chimney-like waste pipes called penstocks. The
water then came out at the bottom of the pen-
A. Water power stock at high pressure and was sprayed through
Several energy sources were known in the Byz- a nozzle at the wheel blades. Installations of this
antine Empire and were used for obtaining heat, kind are called arubah mills, and some scholars
light and propulsion, as well as for producing mili- believe they were a Byzantine invention [8]. One
tary weapons (‘Greek fire’; → 6.3. Strategy A.; → 6.4. of the eleven which have been studied along the
The navy B.) [3]. Hydraulic power was harnessed Değirmendere Aqueduct at Ephesus is believed to
using water wheels, most commonly to operate date from the Late Byzantine period [4].
a pair of millstones, but also to run stone saws The rotation of water wheels was used mainly
(→ 10.6. Stone working and processing E.) and, to drive pairs of millstones for processing grain.
as written sources attest, hammer mills, bellows With a horizontal wheel, the shaft transfers the
(→ 10.8. Ironworking) and fulling mills. Archaeo- rotation directly to the upper stone, whereas
logical evidence shows that horizontal and verti- for vertical wheels a 90° redirection is achieved
cal water wheels were in use at the latest by the through a pair of gears. Gearing is generally also
2nd century ad [2], and three originally Greek used to increase the speed of rotation.
written sources suggest that the first water wheels A scoop wheel (noria) was also used to raise
were put into use as early as the 3rd century bc water to a higher level, an irrigation technique
(→ 10.19. Mechanics and apparatuses) [6]. Archival with Greek roots. Egyptian papyrus sources attest
documents reveal that many monasteries across that such installations were regular features of
the Byzantine Empire had mills, and most of these Byzantine country estates, along with the shadoof
were very probably water mills [5163]. Several lease (or swape), a contraption with a counterpoised
agreements for bakeries with mills are also known lever for lifting water [10].
from Egypt, giving detailed descriptions of the
equipment [7]. B. Other energy sources
Archaeological features like the mill cascade at Animal power must also have been used every-
Ephesus, with a total of eight vertical water wheels where in the Byzantine Empire to drive millstones
representing three construction phases, attest to and whims. Written sources also imply that wind
the continuous use of such water wheels from the power began to be used in the empire to drive
Roman period and into the Byzantine. Installa- millstones, irrigate and drain fields and regulate
tions of this type will not have been unusual in the water level in fish ponds after 1o80 or so. In
major Byzantine cities, given that they guaranteed regard to this technology, the Byzantine Empire
the population’s supply of milled grain [9]. appears to have played a vital role in the refine-
All breastshot, backshot and overshot Byz- ment of the horizontal windmills that originated in
antine water wheels were fitted with a steeply the Persian world. The Byzantines are believed not
inclined chute and thus functioned in essentially only to have introduced technical improvements
the same way: by mainly exploiting kinetic energy. to horizontal windmills in the 12th century, but
This was inefficient. In general, it appears that also to have invented the vertical windmill, which
prior to the early 18th century, the energy trans- then spread across Europe: north and northwest
formation achieved by the momentum or motion in the form of the post mill (later paltrok mill) and
of water was believed to be more important and west in the form of the tower mill [5].
relevant in the water admission to a vertical water Plans: Plans 1–2, Plan 4
wheel than the dead weight of the water [1]. The
choice of wheel depended on topographical con- Bibliography
ditions and the available water supply. Overshot [1] R. Brüdern, Wie man Wasserräder baut. Ein
wheels, for instance, are preferable to breastshot Beitrag zur Technikgeschichte, zur Berechnung und
or backshot if the water level is low or subject to Konstruktion von Wasserrädern, 2006 [2] A. Gäh-
radical fluctuations. The water wheel depicted in wiler / J. Speck, Die römische Wassermühle von
a mosaic discovered in the peristyle of the Great Hagendorn bei Cham ZG, in: Helvetia Archaeologica
Palace of Constantinople may have been under- 22, 1991, 34–75 [3] J. Haldon, ‘Greek Fire’ Revisited.
Recent and Current Research, in: E. M. Jeffreys (ed.),
shot or breastshot/backshot [9].
Byzantine Style, Religion and Civilization. Festschrift
Overall, horizontal water wheels relying Sir S. Runciman, 2006, 290–325 [4] R. Kreiner,
entirely on kinetic energy must have been the rule Die Mühlen des Değirmendere Aquäduktes von
across the Byzantine Empire. If sufficient water Ephesos und des Aquäduktes von Anaia/Kadikalesi
was available, it was directed to the wheel via a (Türkei), in: Schriftenreihe Frontinus Gesellschaft
steep chute and sprayed through a nozzle directly 28, 2012, 141–146 [5] M. J. T. Lewis, The Greeks
10.5. professional associations 356

and the Early Windmill, in: History of Technology tion of the various trades after the interests of the
15, 1993, 141–189 [6] M. J. T. Lewis, Millstone and public and the state. The Book of the Eparch inter-
Hammer. The Origins of Water Power, 1997 [7] F. vened to ensure that regulations were observed,
Mitthof, Pachtvertrag für eine Bäckerei mit Mühle including opening hours, adherence to building
(Gr. III 1299), in: R. Pintaudi et al. (eds.), Papyri
Graecae Wessely Pragenses, vol. 2, 1995, 97–104 [8]
regulations and control of the black market [1499–
116]; [3405–414], but – perhaps due to minor politi-
P. A. Rahtz, Medieval Milling, in: D. W. Crossley
(ed.), Medieval Industry (Council for British Archaeol- cal and economic importance – it did not cover
ogy. Research Report 40), 1981, 1–13 [9] S. Wefers, all occupations active in Constantinople. Tanners
Die Mühlenkaskade von Ephesos. Technikgeschich- (byrsodepsai) are merely touched upon in chapter
tliche Studien zur Versorgung einer spätantiken bis 14.2 and the building trade in chapter 22.4, while
frühbyzantinischen Stadt (Monographien RGZM 118), smiths and shipbuilders are omitted altogether.
2015 [10] A. Wilson, Machines, Power and the Nor was the Book of the Eparch mandatory across
Ancient Economy, in: JRS 42, 2002, 1–32. the whole empire.
Systemata (associations comparable to Roman
Stefanie Wefers
collegia) documented in the capital played a part
in public life (politikos [1250 f.]). They were essen-
10.5. Professional associations tially open to all, albeit subject to certain con-
ditions, and in some areas this openness even
A. Constantinople extended to slaves. They occupy a place in history
B. Outside the capital somewhere between the Late Antique corpora
([4]; the Greek equivalent, somateia, occurs only
A. Constantinople in the official preface to the Book of the Eparch)
In the early 10th century, Leo VI (886–912) and the corporations and guilds of late medieval
ordered that the internal statutes of the various Western Europe. Using these terms in reference to
professions at Constantinople, which varied in the Byzantine 10th century, however (as in [6]), is
their refinement, should be collated, linguistically problematic and should be avoided [853 f.].
revised and furnished with reasonably standard- The corpora were still characterized by com-
ized punitive provisions [6]. The result was the pulsory membership imposed by the state, and by
Eparchikon biblion [2], or Book of the Eparch, the the principles of hereditary occupation and the
eparch being the senior civil servant of the city, provision of additional services (the munera). As
who had been the superintendent in this field ever late as 695, artisans still had to accompany the
since the Codex Justinianus (1,28,4) of 529/34. emperor on campaign (Theoph. 377), while gar-
Two branches of industry are particularly well ment merchants (bestiopratai; Const. Porph. De
represented in the 22 chapters of the Book of the cerem. 1,12) had to provide decorative silks for
Eparch: producers and vendors of luxury goods, ceremonies. However, the guilds appear to have
especially expensive silks, and providers of food- had some self-determination and played a part in
stuffs, e.g. grocers (saldamarioi), fishmongers shaping political life [11]. A shift in this direction
(ichthyopratai), bakers (artopoioi) and partially can also be observed in the growing importance
chemists (myrepsoi). The authorities’ main con- (even in politics) of trades and industries in 11th-
cern with respect to the latter category was to century Constantinople [15], although the phase
prevent shortages, because these could lead to of feudal reaction under the Komnenos Dynasty
unrest and even riots that might then threaten the after 1081 threw this trend decisively into reverse.
state. Fixed prices with guaranteed profit margins, The representatives of professional groups were
checks on weights and bans on stockpiling were among those consulted during the financial crisis
designed to prevent such dangers. In respect of of 1197 (Niketas Choniates, Chronike diegesis 478).
luxuries, export bans (Book of the Eparch, cap. 4.1
and 8, including controls; cf. Liutprand of Cre- B. Outside the capital
mona, Relatio de legatione 53–55) were imposed The meagre and fragmentary information
to protect reserved categories (purple cloths; Basi- available on regional centres like Thessalonica,
lika 19,1,82), and limits were placed on supplies to Corinth, Trebizond, Amorion and Attaleia and on
sustain demand. the wider provinces does not provide any evidence
The constant effort to designate permitted of the general presence of similar occupational
activities and responsibilities [1465–67, 97–99] may structures there, and it must be doubted whether
well have chimed with the wishes of the various any existed [9351–357]. There was a demosia taxis
professional groups; this might also have been the (public group/class) of construction workers at
case with the ban on manipulating the rent levels Sardeis in 459 [1vol. 2, 3467], a gardeners’ association
of competitors in the same line of work. Regula- in the environs of Constantinople in 538 (Justin-
tions, however, invariably put the self-determina- ian, Nov. 64), a corpus of soap makers at Naples in
357 10.6. stone working and processing

599 (Greg. M. Epist. 9,114) and purple shell divers F. Winkelmann (eds.), Studien zum 8. und 9. Jahr-
exempted from taxation in kind (on purple dyers hundert in Byzanz, 1983, 47–59 [9] G. C. Maniatis,
in the demosia somateia [public associations, ‘cor- The Domain of Private Guilds in the Byzantine Econ-
porations’] Basilika 54,16,16) and manufacturers of omy, Tenth to Fifteenth Centuries, in: DOP 55, 2001,
339–369 [10] K.-P. Matschke, Die spätbyzan-
writing materials (chartopoioi) in the Peloponnese tinische Öffentlichkeit, in: S. Tanz (ed.), Mentalität
in the 10th century (Const. Porph. DAI 52). und Gesellschaft im Mittelalter, 1993, 155–223 [11] R.
The decline of the Byzantine Empire after Schmidt-Wiegand, Gilde und Zunft. Die Bezeich-
the late 12th century, accelerated by the advance nungen für Handwerksgenossenschaften im Mittelal-
of the Italian trading powers and their ranges ter, in: H. Jankuhn et al. (eds.), Das Handwerk in
of imported goods, caused serious problems for vor- und frühgeschichtlicher Zeit, vol. 1: Historische
indigenous producers, who in some fields were und rechtshistorische Beiträge und Untersuchungen
reduced to basic supply [5121–124]. Moreover, prac- zur Frühgeschichte der Gilde, 1981, 355–369 [12]
titioners were often dependent on the noble fami- P. Schreiner, Die Organisation byzantinischer
Kaufleute und Handwerker, in: H. Jankuhn / E.
lies or monasteries that owned business premises
Ebel (eds.), Untersuchungen zu Handel und Verkehr
and workshops [13], which made it difficult to der vor- und frühgeschichtlichen Zeit in Mittel- und
operate, let alone to establish an occupational Nordeuropa, vol. 6, 1989, 44–61 [13] K. Smyrlis,
organization. La fortune des grands monastères byzantins (fin du
Accordingly, all that remained under the Xe–milieu du XIVe siècle), 2006 [14] A. Stöckle,
Palaiologoi (13th–15th cents.) was a few structural Spätrömische und byzantinische Zünfte. Untersuc-
remnants, such as a protomakellarios of butchers hungen zum sogenannten Eparchikon Biblion Leos
or a protomaistor of construction workers, who des Weisen, 1911 (reprint 1963) [15] S. Vryonis,
may simply have been a foreman [5117–120]. Sys- Byzantine Δημοκρατία and the Guilds in the 11th Cen-
temata in the Late Byzantine period prove merely tury, in: DOP 17, 1963, 289–314.
to have been groups within the population as a Ewald Kislinger
whole [10175–177]. The association of seafarers (to
nautikon) at Thessalonica (John Kantakouzenos,
Historiai 3,94), who lived in a district of the city 10.6. Stone working and processing
close to the sea, can only be cited as evidence to
the contrary to a very limited extent. Although the A. Introduction
association united interest in the existence of the B. Production of cut stone and millstones
occupation, it soon became a player in local poli- C. Work of masons and sculptors
tics, acting in a partisan way alongside others in D. Special materials and techniques
fields far removed from the interests of the proper E. Hydraulic slab saws
profession [7140–147].
A. Introduction
Bibliography Stone objects are an important part of the
material record of the Byzantine era. In contrast
Sources to many other regions, the end of Antiquity in the
[1] CIG [2] Das Eparchenbuch Leons des Weisen Byzantine world did not cause a general decline
(CFHB 33, Series Vindobonensis), edited by J. Koder, in the quality of stonemasons’ and sculptors’ work
1991. [5119, 136]; [773–90]. There were cultural and political
reasons for this stability, but it was also a prod-
Secondary literature uct of the long tradition of stone building, which
[3] G. Dagron, The Urban Economy, Seventh– meant that the skills and trades involved had
Twelfth Centuries, in: A. E. Laiou (ed.), The Eco-
nomic History of Byzantium. From the Seventh
deeper roots.
through the Fifteenth Century (DOS 39), vol. 1, 2002, Sculpture and architectural decoration are tra-
393–461 [4] A. Graeber, Untersuchungen zum ditionally popular fields of research in Christian
spätrömischen Korporationswesen, 1983 [5] E. Kis- archaeology and Byzantine art history. By contrast,
linger, Gewerbe im späten Byzanz, in: Handwerk scholars have only recently begun to take a greater
und Sachkultur des Spätmittelalters (Österreichische interest in studying the manufacture of simple cut
Akademie der Wissenschaften, Philosophische-Histo- stones and millstones, and there are still gaps in
rische Klasse, Sitzungsberichte 513), 1988, 103–126 [6] our knowledge. The old bias of interest in favour
J. Koder, Delikt und Strafe im Eparchenbuch. Aspe- of Antiquity has had a negative impact on research
kte des mittelalterlichen Korporationswesens in Kon- in many ancient locations that survived into the
stantinopel, in: JÖB 41, 1991, 113–131 [7] G. Makris,
Studien zur spätbyzantinischen Schiffahrt, 1988 [8]
Byzantine period or where Byzantine successor
B. Malich, Wer Handwerker ist, soll nicht Kaufmann settlements were established. Study of Byzantine
sein. Ein Grundsatz des byzantinischen Wirtschaft- stone monuments, however, is proving fruitful and
slebens im 8./9. Jahrhundert, in: H. Köpstein / offers a basis for wide-ranging research [5].
10.6. stone working and processing 358

B. Production of cut stone and large-format sculpture in the Classical tradition

millstones had ceased to exist.
Early Byzantine stonemasons had the sophisti- As in Antiquity, the favourite material for
cated range of tools of the Roman mason at their architectural and artistic sculpture was marble
disposal, similar in almost all respects to those (in Antiquity and the Byzantine period: all stone
of today. Many different kinds of hard and soft could be polished), but many other stones were
rocks from many sites across the empire could also worked (→ 10.1. Mineral resources E.). Royal
be extracted and used (→ 10.1. Mineral resources sculptures and structural elements made use of
E.). Foraminifera limestone quarries of the 3rd– Egyptian red porphyry (‘imperial porphyry’; e.g.
6th centuries at Mareotis in Egypt reveal how [1132, fig. 3]; (→ 10.1. Mineral resources E.). There was a
individual blocks and sheets were chipped out general preference for colourful stones. An impor-
at the desired size in situ before being split out tant aspect in the Byzantine period is the wide-
underneath using wedges [8121 f.]. Chisel marks on spread use of spolia. For one thing, this doubtless
rock faces show that the workforce was balanced helped to overcome a shortage of raw materials
between right-handers and left-handers. This and skilled labour, but it also functioned in many
attests to a sophisticated and professional organi- ways as a conveyor of meaning, for instance lend-
zation of labour [8124 f.]. ing legitimacy to a ruler or imparting a sense of
There was heavy demand for simple cut stones mastery over the ancient past [11137–141]. Old materi-
throughout Byzantine history, not only for sacred als might be used in their original condition or be
and profane buildings, but also for fortified walls. reworked by Byzantine masons [11139]. Distinguish-
The surface of such stones was sometimes care- ing reworked pieces from original Byzantine works
fully treated, and reuse also played an important can be difficult [11142]. Building activity in general
part [11140]. The alternation of simple blocks and began to slow in the Middle Byzantine period, and
bricks in many Byzantine structures (‘banded stone increasingly tended to be obtained from
masonry’) not only created an optical effect, but ruins [2109].
also saved on stone and the expense of working it. When Constantinople became the imperial
Millstones could be produced in situ at suitable capital, the sudden need for representational
deposits (→ 10.1. Mineral resources E.). The famous buildings also turned the city into the stone-work-
red granite of Aswan provided not only material ing capital of the empire. Individual architectural
for sculptural works, but also large millstones [14]. elements were manufactured at central work-
Mortars also survive [1306, fig. 382], along with special- shops, probably within the city [1121], using marble
ist milling equipment such as oil presses. During from the nearby Proconnesian quarries (on Pro-
the Late Byzantine period, grinding cups, grind- connesus, an island in the Propontis). These ele-
ing stones, press beds and weights were made in ments were produced in large series that exceeded
marble as components for such screw presses for the requirements of the capital and were exported
the manufacture of olive oil [13388–396]. to the provinces [763]. This led, on the one hand,
to the standardization of these architectural com-
C. Work of masons and sculptors ponents across the empire and, on the other, to
Ancient forms and techniques were received greater individualization in the other manufac-
and developed in the Early Byzantine period. Typi- turing processes that continued to be carried
cal products were architectural elements for nota- out locally. For some provincial workshops, this
bly small-scale and refined ornamentation. À-jour resulted in a decline in quality [5107]; [775], but not
techniques for making pierced surfaces were for all [5119, 133].
particularly difficult, sometimes involving break- Many pieces that were sent unfinished as
ing up the entire surface of the workpiece into a components to the provinces would have been
lattice pattern over a deep background, possibly exported in a raw form for local finishing [3];
with the help of templates [5132] (e.g. Constanti- [772 f.]. Finishing work might be carried out by local
nople, Hagia Sophia, 6th-century capital). New workshops (perhaps using pattern samples), but
formal elements reached the capital from Ana- there may also have been itinerant building oper-
tolia (Dokimeion), such as serrated, fine-toothed ations. Meanwhile, wreck finds and inscriptions
acanthus leaves, subsequently spreading from also reveal the export of finished pieces [767–69, 71 f.].
Constantinople across the empire (see below) [5132, Regional developments are well attested for
136]; [763, 73–90]. The Dokimeian marble workshops northern Syria, where influences from the regional
also produced pieces with fine-etched and cham- capital, Antioch, were adapted to local building
plevé decoration [5119]. New classes of works came traditions. From the outset, capital sculpture dif-
stonemasons’ way, as for instance in the decora- fered sharply from that of the Byzantine heart-
tive fields of liturgical structures in churches (e.g. lands [1253–67, 262–270]. Stonemasons’ workshops
ambo elements, screen panels). The furnishings have been reconstructed dating back to the late
of rock churches were sometimes carved out of 4th and early 5th centuries, centred on the archi-
the natural rock. By the Middle Byzantine period, tects Julianus, Marinus and Marcianus Cyris, and
359 10.6. stone working and processing

they were involved in the construction and deco- of the Middle and Late Byzantine periods. These
ration of many churches in the limestone massif in turn inspired the Italian Cosmati floors (with
of northern Syria. smaller pieces than the opus sectile) in the High
Interesting sporadic observations of unfinished Middle Ages [6435].
stone-working reveal manufacturing processes. Highly prized minerals and rocks were used
A range of methods were employed to protect to produce valuable objects. At Elephantine near
the most vulnerable parts of workpieces dur- Aswan, many Early Byzantine workshops con-
ing transportation and manufacture by keeping tinued to produce diorite bowls in the Roman
them in an unfinished state for as long as possible tradition. Material for these was taken from the
(e.g. bossage, i.e. leaving stones projecting uncut abandoned Temple of Khnum [9]. Alabaster was
beyond the intended surface to be finished) [1121–123, used to make reliquaries [1230, fig. 174 f.]. Soapstone
fig. 14, 18–20]. Architectural components in inconspic- (steatite), which began to be used as a substitute
uous locations, e.g. capitals in the Constantinople for → ivory (10.14.) in the Middle Byzantine period,
cisterns, were also sometimes installed half-fin- was sometimes carved into reliefs (e.g. for icons)
ished [2123]; [768]. In addition to their own symbols and gilded (→ 11.3. Art C.3.2.). The cuppas of valu-
and work marks, craftsmen also chiselled patrons’ able goblets were sometimes meticulously carved
inscriptions into their works [769–71]. out of serpentine [1348, fig. 494]. There were also many
workshops processing amber (fossilized resin), the
D. Special materials and techniques mineral sepiolith (meerschaum) and all manner of
As in Antiquity, mosaics at first played an → precious stones (10.11., with fig.).
important role as prestigious floor and wall deco-
rations (e.g. church interiors at Ravenna). Tesserae E. Hydraulic slab saws
(mosaic tiles) made of various types of stone were Large-scale production of luxurious marble
used mainly to depict skin and fabrics, and other sheets for cladding on prestigious buildings was
materials like glass were incorporated as surfaces made possible by the use of hydraulic slab saws.
became larger. One peculiarity was the small This Roman invention of the 3rd century ad
mosaic icon (→ 11.3. Art A.3.2.), incorporating mar- remained in use until at least the 6th century,
ble, → precious stones (10.11.) and other materials e.g. at Gerasa [10] and Ephesus [4]. The Ephesian
[1165, fig. 45]. stone saw was a component of a mill complex that
Floor mosaics declined in the 6th century. In was installed within the ruins of Slope House 2 in
their place, extensive floorings made of cut stone the Early Byzantine period. Originally dating from
sheets (opus sectile) began to be preferred, proba- the Imperial period, the house had been destroyed
bly inspired by Roman antecedents from northern in an earthquake (cf. fig. 1).
Syria [6435–438]. Geometric forms of various white Maps: Map 13; BNP Suppl. 3, 84, 247
and coloured marble types afforded ever more
complex and detailed patterns over the course

Fig. 1: Large hydraulic slab

saw at Ephesus, artist’s
impression (augmented
reconstruction from findings;
from: [418, fig. 17]). The saw
was driven by a wooden water
wheel of 2.8 m diameter,
producing an output of
approx. 1 kW. Two cranks
converted the rotation of the
wheel into the pendulum
motion of two wooden saw
guides. Two iron saw blades
were clamped into each of
these guides, so that the
apparatus could saw four
large sheets simultaneously
[417–30]. An archaeological
experiment has shown that
this enabled it to saw around
330 m2 per annum – twelve
times the output of manual
sawing [436–50].
10.7. pottery 360

Bibliography The main sources of clues are unfinished pieces,

[1] Byzanz. Pracht und Alltag (exhibition catalogue), pottery utensils, misfirings and traces of the man-
2010 [2] N. Asgari, Objets de marbre finis, semi- ufacturing process on products themselves.
finis et inachevés de Proconnèse, in: M. Waelkens Two raw materials were used in the manufac-
(ed.), Pierre éternelle du Nil au Rhin. Carrières et pré- ture of Byzantine pottery: a red clay of composition
fabrication, 1990, 106–126 [3] J. Kramer, Attische
Säulenbasen des 5. und 6. Jahrhunderts n. Chr. und
specific to its origin and degree of enrichment, and
ihre Rohform, in: Bonner Jahrbücher 170, 1970, a white, pink or cream-coloured clay with a high
271–278 [4] F. Mangartz / S. Wefers, Die byz- kaolin content that began to be used in the Mid-
antinische Steinsäge von Ephesos. Baubefund, Rekon- dle Byzantine period. Potters evidently exploited
struktion, Architekturteile (Monographien RGZM reserves of clay close to their workshops [510 f.];
86), 2010 [5] P. Niewöhner, Aizanoi, Dokimion [1297]. White clay was extracted in the environs
und Anatolien. Stadt und Land, Siedlungs- und Stein- of Constantinople and near Nicomedia [8]; [7324].
metzwesen vom späteren 4. bis ins 6. Jahrhundert Prior to processing, clay had to be cleaned, stored
n. Chr. (Archäologische Forschungen 23, Aizanoi 1), and then tempered with finer materials like quartz
2007 [6] U. Peschlow, Zum byzantinischen opus
sand in order to increase its elasticity and prevent
sectile-Boden, in: R. M. Boehmer / H. Hauptmann
(eds.), Beiträge zur Altertumskunde Kleinasiens. Fest- it from cracking while being fired [6].
schrift K. Bittel, 1983, 435–447 [7] U. Peschlow, Byzantine pottery was made on the fast-rotating
Kapitell, in: RAC 20, 2004, 57–123 [8] J. Röder, potter’s wheel. Kitchen, storage and transport pot-
Die antiken Steinbrüche der Mareotis, in: AA, 1967, tery were made in a functional way, i.e. their usage
118–131 [9] S. Seidlmayer et al., Stadt und Tempel essentially dictating their form. Fine ware ceram-
von Elephantine. 39./40/41. Grabungsbericht, in: Mit- ics apparently reflects changes in table customs.
teilungen des Deutschen Archäologischen Instituts, Large trays, plates, dishes and bowls were particu-
Abteilung Kairo, 72, 2016, 197–226 [10] J. Seigne larly popular in the Early Byzantine period, while
et al., Waterpowered Stone Saws in Late Antiquity. dishes and bowls for keeping food hot were pre-
First Step on the Way to Industrialisation?, in: G.
Wiplinger (ed.), Cura Aquarum in Ephesos (Pro-
ferred in the Middle Byzantine period. The spec-
ceedings of the Twelfth International Congress on the trum of tableware towards the end of the Middle
History of Water Management and Hydraulic Engi- Byzantine period was very broad, with pots and
neering in the Mediterranean Region, Ephesus/Selçuk jugs, cups, pans, beakers, mugs, bowls, dishes and
2004) (BABESCH Suppl. 12, ÖAI Sonderschriften 42), plates. All vessels of this period were relatively
2006, 371–378 [11] J.-P. Sodini, Marble and Stone- small and held only modest volumes.
working in Byzantium, Seventh–Fifteenth Centuries, Goods and workshops differed particularly in
in: A. E. Laiou (ed.), The Economic History of Byz- details like the design of rims and bases [331–61].
antium. From the Seventh through the Fifteenth Cen-
tury (DOS 39), vol. 1, 2002, 129–146 [12] C. Strube,
B. Surface treatment
Baudekoration im nordsyrischen Kalksteinmassiv,
vol. 1: Kapitell-, Tür- und Gesimsformen der Kirchen Byzantine pottery reveals a number of
des 4. und 5. Jahrhunderts n. Chr. (Damaszener Forsc- approaches to functional surface treatment. The
hungen 5), 1993 [13] U. Weber, Eine spätbyzan- outer surfaces of cooking pots were generally
tinische Ölpresse im Apollonheiligtum von Didyma, merely smoothed with a wet cloth, and water jugs
in: IstMitt 59, 2009, 383–406 [14] S. Wefers / F. were polished with a rag [4365]. Slip and glaze were
Mangartz, Millstones of Aswan Red Granite Found generally applied to ceramic tableware.
on the Island of Elephantine, Egypt, in: AmS-Skrifter A slip is a clay slurry that is applied to the wet
24, 2014, 83–96. or leather-hard vessel body to improve its quality,
or to form the primary coat for a glaze [1420]. It
Vera Holtmeyer-Wild
Fritz Mangartz
was used to ensure that the desired shade of glaze
did not alter in colour and that it adhered prop-
erly. To make the slip, clay was mixed with more
10.7. Pottery
water than when forming a vessel, creating a fluid
A. Sources, raw materials, forms slurry. The most widespread, white coloration was
B. Surface treatment achieved by using iron-free pipeclays or adding tin
C. Decoration oxide; the rarer brownish colour was made using
D. Firing iron or manganese oxides [1420]. The slip was
applied by dipping or pouring. It was allowed to
A. Sources, raw materials, forms dry before the glaze was applied, with the vessel
Byzantine sources provide no information left standing on a ring or on the ground. This was
about the manufacture of pottery. Only Theophi- the origin of the trickle marks that characterises
los Presbyter (early 12th cent.) gives a brief the slip.
description of the technique for glazing painted Slips were also used for decoration in some
ceramic vessels (Schedula diversarum artium 2,16 types of pottery (especially ‘slip-painted ware’, cf.
[1]). Manufacturing processes must therefore be [3112–117]; [13124 f.]). Here, the slip was not used as a
reconstructed on the basis of products themselves. coating for the entire vessel, but was painted on
361 10.7. pottery

with a brush or a malhorn to produce patterns in after the application of the white slip and then
that emerged in colour after the application of the glazed, producing a dark decoration against a light
glaze. glaze background. Champlevé decoration used the
Generally, vessels had slip applied to the vis- same technique, but the background was scraped
ible side (the interior of open vessels, the exterior out, leaving a positive image of the motif. Many
of closed vessels). The exterior of an open vessel objects show traces of the tools used on them,
might be entirely without slip, or partly or wholly such as compass pricks where circles have been
covered in a slip. There is a possible connection drawn, or grooves made by a gouge scraping out
between the level to which the slip was applied on areas of surface.
the outside of a vessel and the particular pottery
production centre, because craftsmen tended to D. Firing
reproduce the same dipping depth as they became Once a vessel was made, it was dried and fired.
habituated to it. Individual groups of wares also Archaeological findings from Corinth (12th–13th
reveal different application levels [325 f.]. cents.) and Amorion (late 8th–9th cents.) reveal
The glaze was not only decorative, but also domed structures of the Byzantine era as kilns
made the vessel watertight. Lead glazes were used (cf. fig. 2), located in artisanal districts [93–25];
in the Byzantine era. The base material for all
glazes was silicon dioxide, generally added in the
form of quartz sand. It has a high melting point.
The fluxes added for this reason, such as lead or
alkaline oxides, lowered the melting point. Plant
ash was already used as a source of alkalis at an
early date, and probably during the Byzantine era
(Theophilus, Schedula diversarum artium 2,5; 2,6
[246–55]).
Glaze colours included delicate, almost trans-
parent shades of whitish-yellow, yellow or green.
There were also stronger green, yellow and brown
hues, achieved by the addition of tin or antimony
oxide (producing transparent or white), iron
oxides (colourless, light yellow to brown) or cop-
per oxides (light to dark green) [262–73]. The glaze
colour was envisaged by the potter and developed
on the areas where the slip was applied. Where it
was unglazed, it appeared brown, like the earth-
enware substrate.
The glaze was applied in two steps. The fluid
was first poured inside the vessel, which was agi-
tated until the interior was completely covered.
The piece was then fitted to the ring, inverted and
dipped into the glaze bath. It was righted again to
dry prior to firing. This process is revealed in the
glaze streaks that run down into the lower, gener-
ally unglazed section of the exterior.

C. Decoration
A very wide range of techniques (application,
stamping, painting, scraping, scoring, sgraffito)
produced decoration in Byzantine pottery, and
some are characteristic of a particular type of
ware or phase. Two important decoration types Fig. 2: Top: reconstruction of a kiln with shelves from
are noteworthy in painted wares: underglazing Serres (H2 13th cent.; from: [1132, fig. 22]); bottom: kiln
of polychrome white wares, and overglazing of at Amorion (late 8th–9th cents.; from: [4346, fig. 1]). The
furnace, generally lined with field stones or cut stones,
the various polychrome ‘red-clay’ sgraffito wares, was sunk into the ground, with the kiln floor and firing
which differed, for instance, in the consistency, space above. The floor and superstructure were made of
grip and colour brilliance of the glaze and the bricks and mud, narrowing in a cone shape towards the
detail of the drawing. chimney. The wares to be fired were placed on shelving,
One of the most important decorative forms with various clay props and pillars separating them and
from the end of the Middle Byzantine Period preventing them from falling over [921–25].
onwards was sgraffito, in which a motif was scraped
10.8. ironworking 362

[4345, fig. 1]. Firing tripods, for firing pottery in stacks B. Written and pictorial sources
in kilns, became widespread by the early 13th cen- During the Early Byzantine period, there were
tury at the latest. This new technology greatly small, simple smithies in almost every village, and
increased the productivity of a kiln [10]; [329 f.], and larger villages would also have a metalworking
it probably explains the upsurge of Late Byzantine shop. Urban centres hosted specialist branches
glazed pottery. of the ironworking trade, attested in occupation
names (e.g. weaponsmith, nailsmith, knifesmith)
Bibliography [6]. Workshops in cities were concentrated in
particular districts or streets, as at Constanti-
Sources nople [5197, fig. 20]. Despite specialization, the vari-
[1] Theophilus Presbyter, Schedula diversarum ous branches were not strictly segregated, but
artium, edited by A. Ilg, 1874. overlapped. There were also close connections
with other specialist trades. In the great quar-
Secondary literature ries of Egypt, for instance, skilled smiths worked
[2] M. A. Bezborodov, Chemie und Technologie with stonemasons to ensure the quality of tools
der antiken und mittelalterlichen Gläser, 1975 [3] [2140, 144 f.].
B. Böhlendorf-Arslan, Glasierte byzantinische A smith’s basic equipment included the forge
Keramik aus der Türkei, 2004 [4] B. Böhlen- and anvil. Bellows stoked the fire in the furnace,
dorf-Arslan, Die mittelbyzantinische Keramik aus
and illustrations survive, documenting local Medi-
Amorion, in: F. Daim / J. Drauschke (eds.), Byz-
anz – das Römerreich im Mittelalter, Teil 2/1, 2010, terranean development from the skin bellows of
345–371 [5] H. Crane, Traditional Pottery Making the Roman and Early Byzantine periods to the
in the Sardis Region of Western Turkey, in: Muqarnas improved concertina bellows of the Middle Byzan-
5, 1988, 9–20 [6] R. B. Heimann, Mineralogische tine period [714]. The tales of the miracles of Saint
Vorgänge beim Brennen von Keramik und Archäo- Artemius also reveal that ‘machines’ were used in
thermometrie, in: Acta Praehistorica et Archaeo- workshops [3148–150].
logica A 9/10, 1978–1979, 79–82 [7] R. B. Mason / Early Byzantine papyri show that smithing was
M. Mundell Mango, Glazed ‘Tiles of Nicomedia’ probably passed on from father to son before the
in Bithynia, Constantinople, and Elsewhere, in: C. son reached the age of 12. Training lasted between
Mango / G. Dagron (eds.), Constantinople and its
Hinterland (Papers from the Twenty-Seventh Spring
three and five years [2141]. The famous Middle
Symposium of Byzantine Studies, Oxford 1993), 1995, Byzantine ivory boxes depicting Adam and Eve
313–331 [8] A. H. S. Megaw / R. E. Jones, Spec- smithing raise the question of whether women
tographic Analyses of Byzantine and Allied Pottery, also worked in smithies [15, figs. 3–5].
in: JÖB 32/3, 1982, 577–585 [9] C. H. Morgan, In common with practitioners of a number of
The Byzantine Pottery (Corinth 11), 1942 [10] D. other trades, smiths had been organized into craft
Papanikola-Bakirtzis, Τριποδίσκοι ψησίματος των associations since the Roman Imperial period (→
βυζαντινών και μεταβυζαντινών αγγείων, in: Ametos. 10.5. Occupational associations). Apart from social
Festschrift M. Andronikos, 1986, 641–648 [11] D. functions, the main focus of the work of such asso-
Papanikola-Bakirtzis et al., Ceramic Art from
ciations was on occupational matters. The social
Byzantine Serres, 1992 [12] B. Tekkök-Biçken,
Pottery Production in the Troad. Ancient and Mod- disrepute that still clung to smithing during Antiq-
ern Akköy, in: Near Eastern Archaeology 63/2, 2000, uity faded in the Byzantine period and ultimately
94–101 [13] J. Vroom, Byzantine to Modern Pottery vanished.
in the Aegean, 7th to 20th Century. An Introduction
and Field Guide, 2005 [14] G. Weiss, Alte Keramik C. Archaeological findings
neu entdeckt, 1985. Despite the size of the Byzantine Empire, only
a few smithies have been identified with confi-
Beate Böhlendorf-Arslan dence. In most cases, the conclusive evidence has
only been slag or, more rarely, tools found inside
10.8. Ironworking rooms [486–91]. One unusual discovery has been the
smithy of Horvat ‘Ovesh, dating from the early 7th
A. Sources century [1246–256]. One of the rooms in the exca-
B. Written and pictorial sources vated complex of buildings was found to contain
C. Archaeological findings the base stone for the anvil installation, and sev-
eral anvils, tongs, hammers and chisels of various
A. Sources sizes and forms were unearthed in the adjacent
The sources on Byzantine ironworking vary room. What may have been an oven, sunk into
widely. While papyrus documents offer a detailed the ground, was identified in a courtyard in front
picture for Egypt, the record in many other regions of the building. In terms of developmental history,
consists of sporadic written texts, illustrations and the tools in the smith’s repertoire, such as anvils,
archaeological finds and findings. hammers and tongs, show little change between
363 10.9. non-ferrous metals

the Roman Imperial period and the Byzantine era. Besides pure tin bronzes, the most common
So far, there is a striking absence in the Byzantine alloys identified in non-ferrous metal products
period of large, cubic anvils of the type still found from the Byzantine Empire have been copper and
in Late Antiquity. brass for chasing and embossing work. Adding
lead created alloys well suited to casting, so that
Bibliography alloys of copper, tin, zinc and lead are often found
[1] M. Aviam, Jews, Pagans and Christians in the Gal- in Byzantine metalwork, corresponding to modern
ilee. 25 Years of Archaeological Excavations and Sur- red brass or gunmetal alloys. The frequency with
veys Hellenistic to Byzantine Periods (Land of Galilee which these quaternary mixtures are found also
1), 2004 [2] A. Bülow-Jacobsen, On Smiths and suggests a widespread practice of melting down
Quarries, in: B. Kramer et al. (eds.), Akten des 21. old metal.
Internationalen Papyrologenkongresses (Berlin 1995) The ease with which objects can be melted
(Archiv für Papyrusforschung und verwandte Gebiete. down to reuse their non-ferrous metallic material
Beiheft 3), 1997, 139–145 [3] V. S. Crisafulli / J. W. means that heavy losses of finished products are to
Nesbitt, The Miracles of St. Artemios. A Collection
be expected in all historical periods. Even so, the
of Miracle Stories by an Anonymous Author of Sev-
enth-Century Byzantium (The Medieval Mediterra- pieces that survive – especially from settlement
nean. Peoples, Economies and Cultures, 400–1453 13), excavations (cf. e.g. the articles on Messene, Per-
1997 [4] W. Gaitzsch, Eisenfunde aus Pergamon. gamum, Ephesus, Kefalos on Cos, Elaiussa Sebaste,
Geräte, Werkzeuge und Waffen (Pergamenische Amorion and Boğazköy in [4]) – are considerably
Forschungen 14), 2005 [5] M. Mundell Mango, more numerous than, for example, precious-metal
The Commercial Map of Constantinople, in: DOP 54, objects. Being less valuable, these objects were
2000, 189–207 [6] K. Ruffing, Die berufliche Spe- produced in larger quantities and circulated far
zialisierung in Handel und Handwerk. Untersuchun- more widely, including among less privileged sec-
gen zu ihrer Entwicklung und zu ihren Bedingungen tions of the population. The trend towards the
in der römischen Kaiserzeit im östlichen Mittelmeer-
raum auf der Grundlage griechischer Inschriften und
more frequent use of non-ferrous metals, not least
Papyri (Pharos 24), 2008 [7] G. Weisgerber / M. in making liturgical vessels, even intensified after
Seifert, Mittelalterliche Schmiede und ihre Gebläse, 800 [641].
in: Der Anschnitt 44/1–2, 1992, 2–17. The constant exchange with neighbouring cul-
tures and their production of imitations of Byz-
Bendeguz Tobias antine originals, along with the dramatic shifts
in the Byzantine frontier that took place in the
10.9. Non-ferrous metals 7th century and thereafter, sometimes make it dif-
ficult to attribute a particular object to a specific
A. Definitions and preservation conditions culture. Some pieces from the Fatimid non-ferrous
B. Products metal hoard of Tiberias, which was probably bur-
C. Trade organization, workshops and processing ied in the last quarter of the 11th century, are for
techniques instance indistinguishable from Byzantine prod-
ucts, even though they clearly come from a differ-
A. Definitions and preservation ent cultural context [9].
conditions
The term ‘non-ferrous metal’ here applies B. Products
to all materials and products in which copper Just as in the Roman Imperial period and Late
alloys form the key component. Such materials Antiquity, non-ferrous metal objects were used in
are often indeterminately referred to as ‘bronze’, virtually all spheres of life [12448–450]. This helps
which strictly speaking is an alloy of copper and to illuminate the continuity in production tech-
tin, but this was a rare composition for Byzantine niques and functional types, which remained
objects. The main non-ferrous materials were a strong until at least the Middle Byzantine period.
range of other alloys, especially of copper with Profane objects included sieves, ladles, spoons,
lead and zinc. Without doubt, the key factors kettles, authepsae (vessels for heating water, simi-
since Late Antiquity were the availability of raw lar to samovars), bottles, pots, jugs, basins, pans,
materials and – particularly during shortages and dippers (trullae), beakers, dishes, ‘bath’ pails and
in times of crisis – the practice of recycling. The tripods. The handles and grips found on many
choice of alloy, however, was equally dependent of these objects and vessels were generally cast
on the manufacturing technique used, albeit by separately and fitted at a later stage. There were
no means to an extent comparable to the Roman also decorative fittings and box fittings, keys and
period, and on the degree of refinement required locks, door mountings and, in prestigious settings
by the design of the desired finished product. Cer- (churches, palaces), entire doors made of cop-
tain substances would be added, for instance, to per alloys. Statuettes and large bronzes were also
influence the fluidity of the molten metal or the made, at least in the earlier centuries. A consid-
colour of a vessel. erable portion of the material was also used to
10.9. non-ferrous metals 364

mint folleis (coins made of copper and copper decorated by engraving, chasing and punching.
alloys). Tinning was done for aesthetic reasons and to
Small finds from the personal sphere included protect against corrosion. Like other products of
belt buckles and fittings, finger rings, earrings and fine smithing work, copper alloy objects had their
armrings, pins, fibulae and other garment clasps, surfaces enhanced by gilding, niello, enamelling
decorative pendants and pendant amulets, relic and sometimes damascening.
crosses, mirrors and amphoriskoi (perfume flasks). Although conclusive findings are rare, it seems
Objects found in industrial and artisanal contexts likely that workshops were widespread throughout
include weights and scales, measuring vessels, the empire. This assumption is supported, at least,
stamps, cosmetic and medical equipment and by the plethora of casting moulds known from
finger distaffs (devices for making yarn). Bells and collections (e.g. [18170, nos. 50–52]), although these
parts of → musical instruments (14.10.) were also may also have been used to cast precious-metal
made of copper alloys. objects. In the case of Sardeis, the only evidence
Items found mainly or exclusively in sacred and for local production is the abundance of material.
liturgical contexts include censers and incense No installations have yet been found [157].
holders, incense scoops, oil lamps, candlesticks Archaeological evidence for copper smithies
and candelabra, polycandela (chandeliers) with in Constantinople is lacking, as it is for fine gold
their mountings and chains, candle and lamp and silver forging workshops (→ 10.10. Goldsmith-
mountings, processional and hand crosses with ing and silversmithing). Written sources, however,
rod attachments, diskoi (patens), chalices and, of indicate that they were found north of the Augus-
course, icons. taeum and around the Church of the Theotokos of
Some museum collections offer a cross-section Chalkoprateia in the Early and Middle Byzantine
of the listed object types (e.g. [19118–143, nos. 200–277]). periods [11197, 202, figs. 20, 27]. At Rome, by contrast,
The full spectrum of non-ferrous metal objects findings from the Crypta Balbi in the 7th and 8th
typically in everyday use in a location has only centuries attest to a workshop that hosted artisans
been found in a few cities of the Byzantine Empire, with various specialities. The profusion of models
notably Corinth and Cherson [5]; [18196–273, nos. 131– (prototypes of objects to be cast) shows that they
290]. The gallery shops of the Early Byzantine city must have included smiths working in non-ferrous
of Sardeis have yielded a very wide range of finds, metals, whose output included belt buckles, fit-
and the objects concerned were probably also on tings and strap ends [13].
sale there [15]. Unlike the objects in these cities, More evidence of non-ferrous metalworking
which tend to be hammered, most non-ferrous has been found in the provinces. Although fur-
metalwork of Late Antique and Early Byzantine naces and workplaces have rarely been confirmed,
Egypt was cast (‘Coptic bronzes’; cf. [2]; [3]; [17]). crucibles, casting moulds, models, slag, semi-fin-
These pieces were produced at various locations ished products and production waste indicate
in Egypt (see below, C.) and some even found their the existence of a workshop. Such findings have
way to Western Europe. been established, for instance, at Justiniana Prima
(now Caričin Grad), where the evidence of casting
C. Trade organization, workshops moulds, semi-finished pieces and models demon-
and processing techniques strates the production of fibulae, belt buckles, fit-
Metalworking had been a highly specialized tings and strap ends [7771, fig. 19, 6–8].
trade since at least the Roman Imperial period, The archaeological and historical sources con-
if not before. For instance, there is evidence of cerning artisanal production at Thessalonica have
artisans specializing in copper metals. The cop- been thoroughly assessed [1]. There was a copper-
persmithing quarters identified in Constantinople smiths’ market in the west of the main agora in the
and elsewhere also provide evidence of this (see Early Byzantine period, and a similar facility also
below). Coppersmiths were working in both gov- operated in the Middle Byzantine period. Many
ernment and private workshops [12445]. finds indicate metal processing in the city, includ-
Although objects made of copper alloys were ing some installations related to non-ferrous met-
everyday utensils in all regions and for all social als. At Ephesus, crucible and mould finds show
classes, scholars have hitherto paid little attention that there was a Late Antique/Early Byzantine
to production processes [845]. The aforementioned workshop in Hanghaus 2. Semi-finished pieces
alloy types (see above, A.) highlight the impor- and casting waste are also found more widely
tance of metal casting as against simple smithing across the city.
and beating work. The raw surface of a newly cast Large-scale production of small ladles in the
object was generally finished by being turned on late 5th and early 6th centuries has been dem-
a lathe [10]. Sheet metal and cast objects were onstrated at the Late Antique settlement on the
365 10.10. goldsmithing and silversmithing

Nile island of Elephantine near Aswan. The bowls Applied Arts 4th–7th Centuries. Catalogue of the Her-
were made using the lost-wax technique. Besides mitage Collection, 2006.
casting crucibles, moulds, slag and waste, a small,
rectangular furnace has been excavated. In all Jörg Drauschke
Susanne Greiff
likelihood, it was used to heat the crucibles and
produce the molten metal [14].
Plans: Plans 1–3 10.10. Goldsmithing and silversmithing

Bibliography A. Product range, status and preservation

[1] A. Antonaras, Arts, Crafts and Trades in Ancient conditions
and Byzantine Thessaloniki (Byzanz zwischen Ori- B. Trade organization and production sites
ent und Okzident 2), 2016 [2] D. Bénazeth, L’art C. Materials and processing techniques
du métal au début de l’ère chrétienne, 1992 [3] D.
Bénazeth, Catalogue général du Musée copte du
Caire, vol. 1: Objets en métal (Mémoires de l’IFAO
A. Product range, status and
119), 2001 [4] B. Böhlendorf-Arslan / A. preservation conditions
Ricci (eds.), Byzantine Small Finds in Archaeologi- Byzantine goldsmiths and silversmiths made
cal Contexts (Byzas 15), 2012 [5] G. R. Davidson, jewellery and clothing accessories, including offi-
The Minor Objects (Corinth 12), 1952 [6] M. A. cial insignia and badges of office such as fibulae,
Eser, Metalworks in Liturgy and Everyday Life, in: belts, diadems, crowns and decorations for mili-
A. Ödekan (ed.), ‘The Remnants’. 12th and 13th taria, such as helmet or sword fittings. Particularly
Centuries Byzantine Objects in Turkey (exhibition in the Early Byzantine period, even household
catalogue), 2007, 40–42 [7] V. Ivanišević, Caričin equipment like tableware might be made of sil-
Grad. The Fortifications and the Intramural Housing ver. Objects were also made in precious metals
in the Lower Town, in: F. Daim / J. Drauschke
(eds.), Byzanz. Das Römerreich im Mittelalter, Teil
for the Church and the demands of Christian cult,
2/2 (Monographien RGZM 84,2/2), 2010, 747–775 [8] including liturgical equipment (chalices, diskoi),
N. Kellens, Metal Technology in Late Antiquity. A lamps, candlesticks, censers, processional crosses,
Bibliographical Note, in: L. Lavan et al. (eds.), Tech- reliquaries (cf. → 11.3. Art, fig. 11), book covers and
nology in Transition A.D. 300–650 (Late Antique facings for liturgical furnishings, icons and icon
Archaeology 4), 2007, 41–51 [9] E. Khamis, Tibe- screens.
rias. Excavations in the House of the Bronzes, Final Besides their aesthetic impact, material value
Report, vol. 2: The Fatimid Metalwork Hoard from was also central to the importance of precious-
Tiberias (Quedem 55), 2013 [10] D. Kotzamami metal objects. Determining exact monetary values
et al., The Metallurgical Investigation of Copper-
Alloys Metalwork of the Benaki Museum in the 4th
is difficult, but legal documents like wills and con-
to 7th Centuries A.D., in: History, Technology and tracts provide information regarding former own-
Conservation of Ancient Metals, Glass and Enam- ers and uses of objects. Written sources sometimes
els, Program and Abstracts (International Sympo- reveal the relationship between the pound (litra)
sium, Athens 2011), 2011, 29–30 [11] M. Mundell and contemporary nominal coins. For instance, a
Mango, The Commercial Map of Constantinople, in: pound of silver equated to four solidi in the Early
DOP 54, 2000, 189–207 [12] M. Mundell Mango, Byzantine period.
II.8.5. Metalwork, in: E. Jeffreys et al. (eds.), The The products of Byzantine goldsmiths and sil-
Oxford Handbook of Byzantine Studies, 2008, 444– versmiths were highly valued outside the empire,
452 [13] M. Ricci, Rome-Byzantium Affinity and not only for their material value, but also for their
Difference in the Production of Luxury Goods, in: B.
Böhlendorf-Arslan / A. Ricci (eds.), Byzan-
high level of artisanal sophistication, which made
tine Small Finds in Archaeological Contexts (Byzas them an inspiration to neighbouring cultures.
15), 2012, 1–16 [14] S. Seidlmayer et al., Stadt und Such works played an important part in diplo-
Tempel von Elephantine. 39./40/41. Grabungsberi- matic exchange. Questions of Byzantine origins
cht, in: Mitteilungen des Deutschen Archäologischen and manufacture or of import and export are,
Instituts, Abteilung Kairo, 72, 2016, 197–226 [15] however, generally difficult to answer, given the
J. C. Waldbaum, Metalwork from Sardis. The Finds frequent lack of archaeological context and the
through 1974 (Archaeological Exploration Sardis 8), rarity of well-documented finds from imperial ter-
1983 [16] S. Wefers / F. Mangartz, Die byzan- ritories and what was supposedly the most impor-
tinischen Werkstätten von Ephesos, in: F. Daim /
J. Drauschke (eds.), Byzanz. Das Römerreich im
tant production centre, Constantinople. Finds also
Mittelalter, Teil 2/2 (Monographien RGZM 84,2/2), frequently come from the provinces or neighbour-
2010, 713–729 [17] K. Werz, ‘Sogenanntes kopti- ing countries, making it difficult in most cases
sches’ Buntmetallgeschirr, 2005 [18] T. Yashaeva to ascertain their exact relationship to the style-
et al. (eds.), The Legacy of Byzantine Cherson, 2011 defining art of the capital. Assessment of genuine
[19] V. Zalesskaya, Monuments of Byzantine Byzantine products is further hampered by the
10.10. goldsmithing and silversmithing 366

fact that influences were absorbed from neigh- The written sources from Constantinople are
bouring cultures, e.g. from the Sassanid, Fatimid certainly the most useful. There is no trace of the
and Seljuk domains. The era of the Crusades in expected palace studios or urban workshops in
particular heralded increasing Western European the city’s archaeological record, but the Notitia
influences, while exchange with the Kievan Rus’ Urbis Constantinopolitanae (425) and the Book of
becomes especially apparent in the 12th century. the Eparch (912) provide solid textual evidence
For these reasons alone, the surviving artefacts [13189]. They show government regulation of gold-
cannot be regarded as representative of what was smiths and silversmiths, who were organized
originally made. Moreover, it is likely that the in a corporation. For instance, goldsmiths, who
steady shrinkage of the Byzantine Empire and were only allowed to work after applying to the
the economic crises it suffered led to a continual eparchs, were required to work exclusively in the
decline in production and deterioration in the shops along the main thoroughfare (Mese), and
fineness of alloys, as also detectable in coinage not on their private premises. Silversmiths in the
produced from the 11th century and later. Far more Early and Middle Byzantine periods were also lim-
precious-metal objects, especially vessels and jew- ited to the stretch of the Mese between the Milion
ellery, survive from the Early Byzantine period and the Forum of Constantine. Luxury goods were
than from later periods, because of the abundance generally traded in the city centre, in the Forum
of grave goods and hoard finds buried in times of of Constantine, the stoai (arcades) along the Mese
crisis. The custom of burying grave goods declined and the Portico of Achilles that led to the Chalce
later, and fewer find complexes survive from later Gate of the Great Palace [13197, 202, 204].
phases. It appears that the export of gold and silver
In principle, heavy losses must be expected, objects made by the smiths of Constantinople was
because precious-metal objects would for vari- subject to official controls, like the export of other
ous reasons regularly be melted down for their luxury goods, especially silks. The official stamps
material content. Many objects were preserved placed on silver objects (cf. fig. 3) between the late
after reaching Western Europe in the wake of the 5th century and the middle of the 7th also indi-
Fourth Crusade (1204), while no comparable pres- cate the involvement of government departments
ervation took place in the (former) empire. It has (comitiva sacrarum largitionum/‘fiscal authority’,
been estimated [10213] that the thousand or so sur- praefectus urbi/‘urban prefect’) in the manufactur-
viving pieces of Byzantine enamelwork represent ing process. Standardized measures and designs
only 1–2 % of the original production, although it suggest centralized mass production [12212 f.],
is unclear whether this ratio can also be applied to with the corporation of silversmiths presumably
other luxury objects. involved in the manufacture and marketing of the
Illustrations can only partially compensate for stamped objects.
the lack of surviving objects. In the Middle and ‘Palace workshops’ that produced objects to
Late Byzantine periods in particular, pictorial rep- state requirements are attested in documents and
resentations frequently reflected old traditions, by many manufacturers’ inscriptions and stamps
and thus did not directly reflect the fashions of the on objects dating from Late Antiquity. These
day, for instance in jewellery, insignia or official workshops were either directly answerable to
decorations [268–71]. Dating is accordingly often the comes sacrarum largitionum or were commis-
problematic, given that archaeological contexts sioned by him for the serial production of insignia
and information relating to the specific object and objects for the emperor to bestow (largitio),
are generally lacking. The few exceptions include one example being the missorium of Theodosius
Early Byzantine stamps on silver vessels [3]. I (4th cent., now Madrid, Real Academia de la
Because of this incoherent situation, scholars Historia). Although their exact locations are not
have not yet succeeded in producing a survey of known, there were presumably also court work-
Byzantine goldsmithing and silversmithing work. shops in the Middle and Late Byzantine periods.
Only a few groups of objects have been well Many objects can be identified as originating
researched (enamelwork: [16]; silver objects: [11]; in ‘imperial’ workshops on the basis of inscrip-
[3]; silver spoons: [9]; icon fittings: [8]; [4]; jewel- tions and other indications. Examples include the
lery: [2]; opus interrasile: [19]). reliquary known as the Limburg Staurotheke (cf.
→ 11.3. Art, fig. 11), which bears inscriptions giving
B. Trade organization and the names of two emperors, and the Preslav Trea-
production sites sure (first half of the 10th cent., probably ca. 927),
Scholars formerly tended to assume that Con- which may have been a diplomatic gift from the
stantinople was the main artistic and production Byzantine court. More generally, the Byzantine
centre, but a more nuanced view is warranted enamel works that began appearing in the 9th cen-
today, given the abundant evidence of provincial tury did so exclusively in the orbit of the emperor
production. until the 10th century, and only thereafter began
367 10.10. goldsmithing and silversmithing

Fig. 3: Silver dish depicting

St. Theodore (ca. 527–550).
This dish, part of a group
of objects bearing five
official stamps, was made
by hammering. Fire gilding
was one of the decorative
techniques used, along
with processes of incising
and hammering material.
Two of the stamps bear
the monogram of Justinian
I (527–565). The so-called
secondary monogram on
two other stamps can with
reasonable confidence be
associated with the comes
sacrarum largitionum for
the years 532–539, Flavius
Strategius Apion.

occasionally finding their way into the possession tine period. Studies investigating itinerant Byzan-
of senior government officials [218–40]. tine artisans also support this finding (especially
Without clear evidence directly relating to the in the Avar Khanate [156–17, find list 2, 21–23]).
object or some archaeological context, however,
identifying the exact production site of a specific C. Materials and processing
piece or group of products is difficult. The few techniques
clues include stamps and manufacturers’ inscrip- The spectrum of Byzantine goldsmithing and
tions on silver objects. Besides Constantinople, silversmithing methods and techniques was just
these clues also point to Antioch on the Orontes, as broad as that of their products and also drew
Ephesus, Carthage, Naissus, Nicomedia, Tarsus on the Roman artisanal tradition (survey in [5]).
and Thessalonica as production centres of the The Byzantines also, however, adopted new meth-
Eastern Roman Empire in the 4th–7th centuries. ods, such as the enamel technique, which began
Recent finds from Thessalonica attest to a taking hold in the 9th century (and whose origins
thriving goldsmithing and silversmithing indus- – contrary to the prevailing view of earlier schol-
try in the city [1], and there were probably also ars – probably lay in the West) and wire-drawing,
workshops in provincial cities and pilgrimage which became established in Byzantium by the
sites producing small-format mementoes in (pre- Middle Byzantine period at the latest. The most
cious) metals, as well as jewellery. Studies of Early important written sources (in general, see: [18];
Byzantine goldsmithing have recently also turned [14]) include a Byzantine goldsmith’s treatise (11th
their attention towards regional centres in Italy cent., Paris, Bibliothèque nationale Par. Gr. 2327
(Ravenna) and Egypt as production centres for [17]) containing 69 recipes and instructions and
high-end precious-metal objects. Object groups mentioning the processes of enamelling, filigree
like Late Byzantine icon frames can be shown to and wire-drawing for the first time.
have been manufactured not only in Constanti- Widespread techniques included metal cast-
nople, but also in Thessalonica and other centres ing, which permitted the straightforward manu-
[8]; [4]. Furthermore, numerous finds of tools and facture of large numbers of identical objects. This
epigraphic findings such as gravestones reveal is evidenced by many finds of models and casting
that these crafts were relatively widespread even moulds intended for the manufacture of belt buck-
beyond major urban centres in the Early Byzan- les, torcs, rings, earrings and crosses. Silver and
10.10. goldsmithing and silversmithing 368

gold jewellery was also made by hand using metal is often assumed that the aforementioned stamps
hammered into sheets and bands, or with the on Early Byzantine silver vessels (see fig. 3) guar-
help of dies. Reaction soldering was often used to anteed the fineness of the raw material (summary
make joins, as it made for neat and stable results. [7483 f., note 7]). In general, however, it is likely that
The process involves mixing a usually vegetable the precious-metal smith himself checked the
glue with a cuprous mineral. The mixture reacts fineness. He could do so by measuring the ratio
when heated – hence the name – and by reduc- of weight to volume (specific weight) or by check-
ing the melting point, creates a local soldering ing the colour rubbed off on a finely grained black
joint. ‘touchstone’.
A reaction solder of this kind was also used to Touchstones of this kind constituted part of
join the tiny metal spheres needed for the popu- a goldsmith’s or silversmith’s basic repertoire
lar granulation technique to the substrate mate- of tools, along with scales, files, tongs, punches,
rial, and to create the filigree wire decorations burins, hammers, anvils, crucibles and much else
that became particularly popular in the Middle besides (summary of tools from graves of the Avar
and Late Byzantine periods. Beaded and filigree period: [1599–141]). Crucibles were essential tools for
wires enriched the repertoire of decorative tech- melting raw materials. The metal (especially sil-
niques in many ways. Particularly graceful jewel- ver) might come to the workshop not only in the
lery pieces were made from the 3rd to the early form of ingots, but often also in processed form
8th centuries using an openwork technique in or as fragments of jewellery or vessels. Gold coins
the opus interrasile style [19]; they were often set were used as a precious-metal resource, and in the
with individual coloured → precious stones (10.11.), Early Byzantine period they were also inset into
such as green emeralds, blue sapphires and dark jewellery as a decorative element.
red garnets. Pearls and glass inlays were also used. Maps: Map 3, Map 13, Maps 15–17
Colour contrast also began to be achieved with
enamelling in the 9th century. Bibliography
The lines of the monograms that became popu- [1] A. Antonaras, Arts, Crafts and Trades in Ancient
lar in the 6th/7th centuries, as well as inscriptions and Byzantine Thessaloniki. Archaeological, Literary
in general and figural and ornamental portrayals, and Epigraphic Evidence (Byzanz zwischen Orient
were often filled with dark niello paste. Niello und Okzident 2), 2016 [2] A. Bosselmann-Ruick-
consists of silver and/or copper sulphide that is bie, Byzantinischer Schmuck des 9. bis frühen 13. Jah-
pressed into indentations while hot. A new type rhunderts, 2011 [3] E. C. Dodd, Byzantine Silver
Stamps, 1961 (forthcoming: E. C. Dodd, Byzantine Silver
of niello began to be used in the 9th or 10th cen-
Stamps, vol. 2) [4] J. Durand, Precious-Metal Icon
turies, in which the addition of lead to the origi- Revetments, in: H. C. Evans (ed.), Byzantium. Faith
nal recipe produced a paste that melted at around and Power (1261–1557) (exhibition catalogue) [5] M.
400  °C, making it easier to apply (cf. e.g. the 11th- Fecht / B. Bühler, in: F. Daim / M. Schulze-
century goldsmiths’ treatise [17168, recipe 14b]). Dörrlamm (eds), Die byzantinischen Goldschmied-
Contrasts could also be achieved by partial earbeiten im Römisch-Germanischen Zentralmuseum
gilding. Fire gilding, in which a gold amalgam (Katalog Vor- und Frühgeschichtlicher Altertümer
paste was made by mixing gold with mercury, was 42), 2019 [6] E. Foltz, Zur Herstellungstechnik
the most widespread method. Part of the mercury der byzantinischen Silberschalen aus dem Schatz-
evaporated when heated, leaving an alloy of gold fund von Lambousa, in: Jahrbuch des Römisch-
Germanischen Zentralmuseums 22, 1975, 221–245 [7]
and mercury on the surface that could be polished B. Fourlas, Eine frühbyzantinische Silberschale
to achieve a warm golden tone. Leaf gilding and mit der Darstellung des heiligen Theodor, in: Jahr-
plating were also used. buch des Römisch-Germanischen Zentralmuseums
Many of these techniques were practiced 55, 2008, 483–528 [8] A. Grabar, Les revêtements
by specialized craftsmen, effecting a division of en or et en argent des icones byzantines du Moyen
labour. A manuscript of the 10th/11th centuries for âge, 1975 [9] R. Hauser, Spätantike und frühby­
instance mentions participant specialists in melt- zantinische Silberlöffel. Bemerkungen zur Produk-
ing, filing, hammering gold sheet, gilding and so tion von Luxusgütern im 5. bis 7. Jahrhundert (JbAC
on [14123 f.]. Presumably, several such craftsmen will suppl. 19), 1992 [10] P. Hetherington, Byzantine
Cloisonné Enamel. Production, Survival and Loss, in:
have been involved at larger operations.
Byz 76, 2006, 185–215 [11] M. Mundell Mango,
There were also special workshops for manufac- Silver from Early Byzantium. The Kaper Koraon and
turing precious-metal vessels for luxury tableware Related Treasures, 1986 [12] M. Mundell Mango,
or for liturgical purposes. Vessels with very thin The Purpose and Places of Byzantine Silver Stamp-
walls could be produced by hammering, remov- ing, in: S. A. Boyd / M. Mundell Mango (eds.),
ing material on the lathe or pressing on a rotating Ecclesiastical Silver Plate in Sixth-Century Byzantium
spindle [6]. Metals of sufficient purity had to be (Papers of a Symposium, Baltimore/Dumbarton Oaks,
used for these mechanically intensive processes. It 1986), 1992, 203–216 [13] M. Mundell Mango,
369 10.11. precious stones

The Commercial Map of Constantinople, in: DOP

54, 2000, 189–207 [14] M. K. Papathanassiou,
Metallurgy and Metalworking Techniques, in: A. E.
Laiou (ed.), The Economic History of Byzantium.
From the Seventh through the Fifteenth Century
(DOS 39), vol. 1, 2002, 121–127 [15] Z. Rácz, Die
Goldschmiedegräber der Awarenzeit (Monographien
des RGZM 116), 2014 [16] K. Wessel, Die byzan-
tinische Emailkunst vom 5. bis zum 13. Jahrhundert,
1967 [17] J. Wolters, Der Traktat ‘Über die edle
und hochberühmte Goldschmiedekunst’ (11. Jahrhun-
dert), in: Das Münster 3, 2004, 162–181 [18] J. Wolt-
ers, Written Sources on the History of Goldsmithing
Techniques from the Beginnings to the End of the 12th
Century, in: Jewellery Studies 11, 2008, 46–66 [19] A.
Yeroulanou, Diatrita. Gold Pierced-Work Jewellery
from the 3rd to the 7th Century, 1999.

Antje Bosselmann-Ruickbie
Benjamin Fourlas
Susanne Greiff

10.11. Precious stones

A. Introduction
B. Types
C. Deposits and production centres
D. Interpretation of qualities and symbolism
Fig. 4: Sardonyx chalice from the San Marco Treasure
A. Introduction (Tesoro no. 65 [7144]). This chalice was a drinking vessel
belonging to an Emperor Romanos, generally identified
Precious stones were often used by Eastern as Romanos II (959–963). The cuppa was believed to be
Roman and Byzantine → goldsmiths (10.10.) in a Late Antique spolia, but it may have been made at the
a variety of objects, such as reliquaries, crosses, same time as the Middle Byzantine base [7144].
metal icons, jewellery, costume and weapon com-
ponents, garments (esp. the imperial loros) and
crowns (preserved only in illustrations), as well
as in metal vessels and metal fittings on stone survives from the Late Byzantine period. Pre-
vessels. Besides the stones generally polished as cious stones increasingly began to be replaced by
cabochons or pierced droplet-shaped pendants → glass (10.12.) imitations. This was also the period
for jewellery or crosses, both vessels (cf. fig. 4) in which faceting began in Europe, but it is rarely
and, in the Middle and Late Byzantine periods, found in the Byzantine tradition.
entire icons were also made of precious stones
(esp. Venice/San Marco [181–84]; whether Byzan- B. Types
tine or ancient is often uncertain; e.g. [6]). Gems Scientific analysis has seldom been made of
and seals, generally made of opaque or semi-­ Byzantine precious stones, and conclusive iden-
transparent stones, are found dating mainly from tification is often impossible. There are also dif-
the Early Byzantine period [11], but also from the ficulties involved in securely identifying stones
Middle Byzantine (e.g. pyramidal seals, 10th–13th mentioned in written sources (e.g. ‘hyacinth’,
cents. [10]), and more rarely the Late Byzantine ‘anthrax’), because stones of the same colour were
period (e.g. [12nos. 38–49]; general [13]; [14]). Lapis often given the same name, and scientific mineral-
lazuli was also ground up to make a pigment ogy did not yet exist.
for painting (e.g. the Freising St. Luke). Written From what is known, it is clear that sapphires,
sources also attest to the use of ground-up pre- emeralds and amethysts (on which [4]) were par-
cious stones as a medicinal remedy. ticularly popular, and often combined with pearls,
Precious stones (e.g. as vessels) are some- which in the Middle Ages were usually counted
times mentioned as included in diplomatic gifts among the precious stones. During the Age of
from the Byzantine emperors [182 f.]. For predomi- Migrations and the Early Byzantine period, red
nantly economic reasons, precious-stone working garnets, polished flat, were often used as inlays
also began to decline in the Middle Byzantine in fibulae and other gold objects – a style virtu-
period, like goldsmithing in general, so that little ally unknown in later Byzantium. Agates (e.g.
10.12. glass 370

sardonyx), amethyst, carnelian, rock crystal, gar- Psellos and the catalogue of gems in the Sophro-
net and (red) jasper were frequently used as cabo- syne poem by Theodore Meliteniotes are impor-
chons and cut stones, as well as chalcedony and tant texts [8]; [2].
more rarely aquamarines, while red agate, sard- Map: BNP Suppl. 3, 205
onyx and crystal were used in vessels. Turquoises
and chrysoprase were rare (e.g. gems in the Krem- Bibliography
lin [12nos. 46, 47, 41]), although their colours were cer- [1] D. Alcouffe, Antike, byzantinische und
tainly imitated in glass and enamel. Lapis lazuli abendländische Steinschneidekunst, in: H. Hel-
lenkemper (ed.), Der Schatz von San Marco in
was used rather more often, for instance in stone
Venedig (exhibition catalogue), 1984, 81–235 [2]
icons or a small Late Byzantine cross (now in the E. Avgoloupi, Simbologia delle gemme imperiali
Benaki Museum, Athens). bizantine nella tradizione simbolica mediterranea
Red, green and often blue stones were of par- delle pietre preziose (secoli I–XV d. C.), 2013 [3] J.
ticular significance in the staging of the emperor Bracker, Eine Kölner Kameenwerkstatt im Dienste
(loros and crown), and a provision of the Codex konstantinischer Familienpolitik, in: JbAC 17, 1974,
Justinianus (433, 12 [11]) accordingly reserved mar- 103–108 [4] J. Drauschke, Byzantine Jewellery?
garitae (pearls), smaragdi and hyacinthi (rubies, Amethyst Beads in East and West during the Early
tourmalines, garnets, but contrary to frequently Byzantine Period, in: C. Entwistle / N. Adams
voiced opinion probably not sapphires or other (eds.), Intelligible Beauty. Recent Research on Byz-
antine Jewellery, 2010, 50–60 [5] S. D. Gotein,
blue stones) for the use of the imperial court. Letters of Medieval Jewish Traders, 1973 [6] M.
Hall, A ‘Splendid and Probably Unique Pebble’.
C. Deposits and production centres The ‘Benetier de Charlemagne’, in: The Burlington
Many precious stones came from mines in Magazine 154, no. 1311, 2013, 388–393 [7] H. Hel-
India and Sri Lanka and were transported ini- lenkemper (ed.), Der Schatz von San Marco in
tially by land, then later by sea (→ 9.1. Land routes; Venedig (exhibition catalogue), 1984 [8] C. Meier,
→ 9.2. Sea routes). Textual records often name the Gemma spiritalis. Methode und Gebrauch der Edel-
Indian subcontinent as the place of origin of pre- steinallegorese vom frühen Christentum bis ins
cious stones, e.g. Epiphanius of Salamis in the first 18. Jahrhundert, 1977 [9] I. Shaw et al., Emerald
Mining in Roman and Byzantine Egypt, in: JRA 12,
Christian gem book (De gemmis, late 4th cent.; see
1999, 203–215 [10] J. Spier, Middle Byzantine (10th–
below, D.), who also mentions Africa, particularly 13th Century ad) Stamp Seals in Semi-Precious Stone,
Ethiopia. A letter dating from around 1000 men- in: C. Entwistle (ed.), Through a Glass Brightly,
tions a gemstone exchange at Cairo [526], and 2003, 114–126 [11] J. Spier, Late Antique and Early
Egypt was long the main source for emeralds [9], Christian Gems, 2007 [12] I. Sterligova, On the
which were particularly prized in their natural Art of Miniature Carving in Byzantium, in: Byzan-
hexagonal prismatic form. tine Antiquities. Works of Art from the Fourth to the
Indications of where objects were produced Fifteenth Centuries in the Collection of the Moscow
are rare. The exceptions include an agate bowl Kremlin Museums, 2013, 194–251 [13] H. Wentzel,
of the 4th century, now in Vienna, which bears Intaglio, in: RBK 3, 1975, 498–505 [14] H. Wentzel,
Kameen, in: RBK 3, 1975, 903–927 [15] W. Zwickel,
an inscription mentioning the Trier workshop Die Edelsteine im Brustschild des Hohenpriesters und
of Flavius Aristo. It has also been suggested that beim himmlischen Jerusalem, in: W. Zwickel (ed.),
Cologne was a production site in the Constantin- Edelsteine in der Bibel, 2002, 50–70.
ian period [3]. It seems likely that vessels and cut
stones were made chiefly at Constantinople in the Stefan Albrecht
Middle Byzantine period, but as yet no evidence Antje Bosselmann-Ruickbie
has been found. Susanne Greiff

D. Interpretation of qualities and 10.12. Glass

symbolism
Epiphanius of Salamis founded Christian gem- A. Introduction
stone allegory in his De gemmis, a discussion of B. Preservation conditions, research and range of
the twelve stones in the breastplate of the high forms
priest (Ex 28,17–20 [par., 39,10–13]; see [15]). The C. Workshops
allegorical interpretation of the stones in the walls D. Raw glass production
of Heavenly Jerusalem as listed in Rv 21,18–20 was E. Processing techniques: design and decoration
also very important. Interpretations of stones were
many and varied and depended on the exegesis A. Introduction
of individual authors, which fluctuated between Byzantine glass has long been a subject of
Christian symbolism and putative medical and scholarly interest. Initially, interest focused
magical properties. Besides Epiphanius, Michael mainly on mosaics and objects with Christian
371 10.12. glass

illustrations. Only in recent decades have studies trum of glassware can only be provisional for these
delved deeper, investigating the production and periods.
processing of raw glass and the distribution of The onset of Late Antiquity was a golden
glass vessels. Thorough work on materials, and in age for the glass industry in the Eastern Roman
particular the potential of scientific findings, now Empire. The period from the 3rd to the 5th century
permit full justice to be done to the find material in particular reveals an unprecedented produc-
[91–4]; [13]. tion boom in Syria and Palaestina. For tableware,
The question of the starting point of the ‘Byz- there were around 30 available forms for serving
antine period’ in glassware cannot be answered food (plates and bowls), 22 forms of beakers and
straightforwardly with reference to historical peri- 46 forms of jugs and bottles. There were also 44
odizations. The materials themselves reveal that types of unguentaria, small vessels that were used
glass blowers were developing a new formal lan- for storing various products, such as cosmetics,
guage and aesthetic in the second half of the 5th fragrant oils and medicines. Glass vessels for inte-
century. A tendency towards uniformity of form is rior lighting were added to the range in the 4th
observable, and in terms of coloration, green and century [18132–135]. Highly specialized forms like
blue hues and yellowish-green or yellowish-brown late cage cups (diatreta), wheel-cut vessels and
glass now came to the fore. Taken together, these zwischengoldgläser (glasses featuring designs in
developments signal the foundation of a char- gold leaf sealed between layers of glass) dating
acteristic Byzantine style [18260 f.]. Although Late from the 4th and 5th centuries are found in the
Antiquity heralded a phase in which the chemical Western Empire [15389–399, 413–424, 461–474]. Many other
composition of glass was subject to greater varia- kinds of glass objects, such as bangles, glass cam-
tion, the basic techniques of glass production and eos, pendants, pearls, imitation gemstones, incrus-
processing known since Roman Antiquity were tations and weights, were in use throughout the
carried without interruption into the Byzantine empire. Production of flat glass for window panes
period. and mosaic tesserae continued without interrup-
tion from Roman Antiquity.
B. Preservation conditions, research The range of forms began to diminish in the
and range of forms late 5th century. Beakers and stemmed goblets,
bottles, jugs, bowls and glass lamps were pro-
B.1. Finds and glass of the Early Byzantine period duced with astonishing homogeneity throughout
B.2. Middle and Late Byzantine period the territory of the empire. One instance of this
uniformity of form is the stemmed goblet with
B.1. Finds and glass of the Early a curved-out foot, which was widespread across
Byzantine period the empire and beyond, and which was used as a
Some Byzantine hollow glassware pieces and drinking vessel and probably also as a lamp. Nota-
glass objects are known from important collec- bly fewer forms were available than in previous
tions and museum inventories [18]; [22], but far centuries in Palaestina, and the use of glass trays
more are known from archaeological excavations and plates can only be conjectured. Small jugs
and surveys of locations in the former Byzantine and flasks with Christian and Jewish imagery were
imperial territories. However, settlement finds used to store liquids that pilgrims could take from
are generally severely fragmented, which consid- holy places (→ 9.7. Pilgrimage). Glass lamps were
erably hampers the study and reconstruction of used as components in polycandela, but could also
vessels. Find materials from some locations have be fitted with handles and hung up individually
nevertheless been comprehensively exhibited, e.g. [18261–264].
Athens [21], Nicopolis ad Istrum, Cherson, Ephe-
sus, Sardeis, Amorion (see below, B.2.), Beirut and B.2. Middle and Late Byzantine period
Carthage (literature and other locations in [9]). The material basis for knowledge of Byzantine
Other studies have examined larger regions, glasses already begins to thin out in the 8th cen-
such as Jordan and Syria, Palaestina, Tunisia and tury [102]. The provinces formerly known for their
Italy (literature in [9]). Taking into consideration rich production and processing of glass, namely
other finds that have been published in prelimi- Syria, Palaestina and Egypt (see below), were
nary reports, the state of research across many lost to the Arab conquests, and the regions still
Byzantine regions is very healthy, although it is under Byzantine control rarely yield finds. Find-
biased towards material remains of Late Antique ings from Butrint dated to around 800 [8] include
and Early Byzantine glass. The lack of available greenish and blue-green glass vessels, while other
find contexts makes Middle and Late Byzantine hues (colourless and yellowish) remain negligible.
glass comparatively difficult to assess. Conclu- Typical types of the period included stemmed
sions regarding the evolution of the formal spec- goblets and, in smaller quantities, beakers, flasks
10.12. glass 372

and an individual hanging lamp. Decorations, in figs. 62–71].

Although the production of window glass
the form of applied glass threads, are simple and abated, the manufacture and use of glass tesserae
rare. Although fragments of window glass are also for mosaics continued uninterrupted [11122]; [7].
found and lumps of raw glass may indicate local There has been little or no difference in the
glass production, the overall picture appears to amount of hollow glassware from the Late Byz-
reflect the declining importance of glass objects antine period compared to the preceding period.
in daily life. Even large centres like Thessalonica have yielded
This trend seems to have continued through- few glass vessels (mostly unguentaria and bulbous,
out the Middle Byzantine period, and the ques- long-necked bottles) that can be dated to the 13th–
tion arises as to whether there really was a general 15th centuries, and most of these are products of
decline in the manufacture and use of glass objects Venetian or Syrian glass manufactories [1194 f., fig. 21 f.].
in the Byzantine heartlands, or whether the find- The find spectrum of other locations that stretch
ings are explained by the relative lack of archaeo- into the Late Byzantine period also includes bea-
logical studies of sites from this period. Given the kers, goblets, handled lamps, window glass and
small numbers and sometimes high quality of bangles.
the glass objects preserved from these centuries,
it has even become generally accepted that Byz- C. Workshops
antine glass was for the most part only a luxury For both workshops and for objects, the bulk
[3596]. The 10th-century glass objects found in the of our knowledge relates to Late Antiquity and
San Marco Treasure certainly were luxury items – the Early Byzantine period. As far as is currently
especially the colourless chalices, plates and lamps known, raw glass was probably produced (as
mostly contained in silver-gilt mounts and with in Roman Antiquity) in specialized workshops,
engraved or applied decorations [5nos. 58, 63, 65, 72, where large quantities of raw glass were smelted
78–81]. Their cultural origin, however, is controver- in tank furnaces measuring up to 4 × 6 m (see e.g.
sial, as indeed are the coloured beakers and flasks [4]). The raw glass was then portioned out and
of the 12th century, which are also classed as ‘lux- processed into hollow glassware and plate glass
ury goods’ [6339, fig. 7 f.]. in secondary workshops separated (at some dis-
By contrast, a few excavated locations with tance) from the raw glass production. All the raw
suitable stratigraphy demonstrate that glass cer- glass production sites identified to date have been
tainly was a utilitarian substance in the Middle found in the eastern Mediterranean, where simi-
Byzantine period. At Amorion, for instance, the lar facilities are already known dating back to the
find spectrum includes not only window glass and early Roman Imperial period (in Egypt and Leba-
glass jewellery (esp. beads, finger rings and ban- non). The workshops of Arsuf/Apollonia (6th/7th
gles), but also flasks, jugs, beakers, bowls, drinking cents.) and Beit Eli’ezer (7th/8th cents.) were of
vessels and lamps. The range of colours and deco- considerable importance in Late Antiquity and
rative techniques is limited. The Blue Coil Ware the Early Byzantine period (cf. fig. 5), and Beit
probably dating from the 11th century has thread She’arim has even yielded an intact slab of raw
decorations, while other vessels probably of the glass weighing 9 tons (albeit flawed in composi-
same period were decorated using tongs [14174–178]. tion). The technique of manufacturing raw glass in
Other locations with Middle Byzantine glass tank furnaces can be traced long into the Islamic
finds are few and far between. They include period (8th–12th cents.) at work sites in Tyre and
Corinth, where glass vessels are found through to Raqqa [910 f.].
the 12th century with a formal spectrum almost Besides this archaeological evidence of raw
identical to that of Amorion, and Athens. The glass glass production, the identification of a hitherto
finds at these two locations have some common- unknown chemical composition of glass in finds
alities, but also show similarities to earlier Islamic from Pergamum indicates a production centre of
glasses of the 8th–10th centuries [19]. In particu- regional significance somewhere in western Asia
lar, the Islamic glass from the cargo of the Serçe Minor [16].
Limanı shipwreck (ca. 1025), which was probably Archaeological findings of secondary work-
collected for recycling purposes [2], clearly shows shops, where raw glass and/or recycled glass
how difficult it is to distinguish individual pieces were processed into objects, have been made in
of Byzantine glass from products of Islamic glass abundance, and it must be assumed that such
manufactories of the same date. workshops were originally much more widely dis-
The spectrum of glass bangles can be clearly tributed across Byzantine territory. The workshop
described. These pieces remained popular from at Jalame is particularly noteworthy, although
Antiquity until the Late Byzantine period, as evi- it was already operating in the 4th century [20].
dence at Pergamum and elsewhere shows [1796 f., Palaestina and adjacent regions are on the whole
373 10.12. glass

Fig. 5: Finding of a raw glass furnace

at the production site of Arsuf/
Apollonia. Tank furnaces like this,
which could attain dimensions of
4 × 6 m, with another rectangular
chamber for heating placed in front,
were used from the Roman Imperial
period on. The raw materials for
glassmaking were mixed in them and
melted down at high temperatures
(up to 1200  °C). The product was a
large slab of raw glass, which was
broken into smaller pieces for further
processing. Remains of raw glass are
sometimes preserved on the floors of
these furnaces.

very well researched in respect of Early Byzan- bubbles in the molten glass. Calcium oxide and
tine glass finds and their possible places of origin aluminium oxide functioned as stabilizing agents,
[911]. Other installations are found in Alexandria, making the glass more resistant to chemical action,
Beirut and Ephesus. Kilns differ in design, but are but these were generally already present in sands
mostly much smaller than the raw glass furnaces. as natural mineral components. After cooling, the
Raw glass masses were melted down again in material was broken into raw glass fragments to be
large melting-pots; then any additional colorants transported from the primary workshop to com-
were added before the glass was worked into the mercial operations. Because they used different
desired form. Often, shops selling glassware were sources of sand, Byzantine glassmakers’ products
located adjacent to these workshops (e.g. at Beit differed slightly in composition from Roman glass
She’an and Sardeis). There are a few indications finds. In some places, however, indirect evidence
of secondary workshops in Asia Minor [12esp. fig. 2]. proves that traditional Roman recipes were still in
Information on Middle and Late Byzantine glass use (e.g. glass finds from Caričin Grad/Justiniana
workshops is again unsatisfactory. Two workshop Prima).
complexes have been excavated at Corinth, but Byzantine glass was generally made using min-
the dating of one (11th/12th or 13th/14th cents.?) eral soda from salt lakes in Egypt, but Islamic
is controversial [11123]. Written sources occasion- glass after the 8th century or so was manufac-
ally attest to glass workshops in Constantinople tured with the ashes of salt-tolerant plants, which
[6], and analysis of glass windows in the Church are also rich in sodium carbonate. Even within the
of Christ Pantokrator (now Zeyrek Çamii, 1124– relatively uniform basic recipe of the Byzantine
1136) and the Chora Church (now Kariye Çamii, mineral soda glasses, however, chemical analysis
1120) has revealed a composition that differs from reveals nuances that indicate divergent develop-
western and Islamic glasses, which suggests local ment, sometimes regional, sometimes chronologi-
production [11122]. There is also archaeological evi- cal. These subtle differences arise from variations
dence of the continuity of glass-processing work- in the sand that was used at different raw-glass
shops at least into the Middle Byzantine period at manufacturing sites in Egypt, the Levant and
Thessalonica [1], but by the Late Byzantine period, neighbouring regions, but sometimes also from
indications of their existence in the territories still the use of mineral soda from sources other than
ruled by Byzantium are very sporadic. the Egyptian salt lakes. The aforementioned raw
glass production in Asia Minor combines both.
D. Raw glass production Variations in the composition of end products
Chemically speaking, Byzantine glass belongs may also derive from the use of recycled glass,
to the group of soda-lime-silica glasses; the basic which was common in both the primary and sec-
recipe remained relatively unchanged since ondary workshops.
Roman times. It was made by mixing quartz-rich
sand with sodium carbonate (also called natron or E. Processing techniques: design and
soda) obtained from salt lakes, making a blend of decoration
sand and flux that was then heated to 1200 °C in a Raw glass was shaped into the desired end
tank furnace (see above, C.). Various mineral salts product in secondary workshops using rela-
were also added as refining agents to minimize tively simple furnace constructions that reached
10.12. glass 374

temperatures between 650 °C and 1 000 °C. The Bibliography

spectrum of shaping techniques was the same as in [1] A. Antonaras, The Production and Uses of
the Roman period [18]. Freely blown forms made Glass in Byzantine Thessaloniki, in: C. Entwis-
with the glassmaker’s blowpipe were the com- tle / L. James (eds.), New Light on Old Glasses.
monest. These achieved their final shape with the Recent Research on Byzantine Mosaics and Glass
(Research Publication 197), 2013, 189–198 [2] G. F.
addition of rims, spouts, necks, feet, handles and Bass, Serçe Limanı, vol. 2: The Glass of an Eleventh-
so on using pontils, jacks, shears and other tools. Century Shipwreck, 2009 [3] V. François / J.-M.
Mould-blown glass seems to have been rarer. Spieser, Pottery and Glass in Byzantium, in: A. E.
Examples include Early Byzantine pilgrims’ flasks Laiou (ed.), The Economic History of Byzantium.
(see above, B.1.). The equipment and procedure From the Seventh through the Fifteenth Century
differ from those of free-blown glass in that the (DOS 39), vol. 2, 2002, 593–609 [4] I. C. Free-
primary form and design of the surface were cre- stone, Glass Production in Late Antiquity and the
ated by blowing the glass into an open-ended Early Islamic Period. A Geochemical Perspective, in:
stone mould consisting of two united halves. The M. Magetti / B. Messiga (eds.), Geomaterials in
Cultural Heritage (Geological Society Special Publica-
mould can contain negative geometric or figural
tions 257), 2006, 201–216 [5] H. R. Hahnloser et
decorations that will then appear in the positive al., Il tesoro di San Marco, vol. 2: Il tesoro e il museo,
on the completed vessel. 1971 [6] J. Henderson / M. Mundell Mango,
Pressed glass also requires a negative mould Glass at Medieval Constantinople. Preliminary Scien-
to create the shape of the finished exterior, but tific Evidence, in: C. Mango / G. Dagron (eds.),
here the mass of glass is not blown in, but rather Constantinople and its Hinterland (Society for the
pressed into the mould using a stamp. The design Promotion of Byzantine Studies Publications 3), 1995,
of the stamp in turn dictates the internal form of 333–356 [7] L. James et al., Mosaics by Numbers.
the vessel. Some Preliminary Evidence from the Leverhulme
A relief could now be created on the glass sur- Database, in: C. Entwistle / L. James (eds.), New
Light on Old Glasses. Recent Research on Byzantine
face produced by one of the above techniques by Mosaics and Glass (Research Publication 197), 2013,
grinding the glass with abrasive powder and a 310–328 [8] S. Jennings, A Group of Glass ca. 800
rotating wheel. Tweezers or patterned die stamps A.D. from Tower 2 on the Western Defences, Butrint,
again required the glass surface to be heated to Albania, in: J. Drauschke / D. Keller (eds.), Glass
make it malleable. Thread decorations and dots in Byzantium. Production, Usage, Analyses (RGZM
were also added to a heated piece, using transpar- Tagungen 8), 2010, 225–235 [9] D. Keller, Byzan-
ent or opaque coloured glass. Another hot-glass tine Glass. Past, Present and Future. A Short History
process is enamel painting (→ 10.10. Goldsmithing of Research on Byzantine Glass, in: J. Drauschke /
and silversmithing), which is found especially on D. Keller (eds.), Glass in Byzantium. Production,
Usage, Analyses (RGZM Tagungen 8), 2010, 1–24 [10]
the glass bangles that were particularly popular in
D. Keller et al., Glass from the Later First Millen-
the Middle and Late Byzantine periods. Enamel nium A.D. Current State of Research, in: D. Keller
decoration involved stirring a fine powder of et al. (eds.), Neighbours and Successors of Rome, 2014,
coloured glass into a paste, painting it onto the 1–5 [11] A. E. Laiou / C. Morrisson, The Byzan-
cold glass surface in the desired design, then firing tine Economy, 2007 [12] V. Lauwers et al., Evi-
the piece. Lustre painting proceeded in the same dence for Anatolian Glassworking in Antiquity. The
way, but used a paint of pulverized metal. It was Case of Sagalassos (Southwestern Turkey), in: Journal
used on glass bangles and more rarely on vessels of Glass Studies 49, 2007, 39–46 [13] V. Lauwers,
(e.g. the San Marco Treasure; see above, B.2.) and Glass Technology in Late Antiquity. A Bibliographi-
probably originated in the Islamic world. cal Note, in: L. Lavan et al. (eds.), Technology in
Transition A.D. 300–650 (Late Antique Archaeology
Transparent glass was often combined with 4), 2007, 53–61 [14] C. S. Lightfoot, Glass Finds
gold in the Byzantine period, and not only in the at Amorion, in: DOP 59, 2005, 173–181 [15] A. von
making of gold glass tesserae, which are preserved Saldern, Antikes Glas (Handbuch der Archäologie),
in large numbers. Gold leaf or thin gold plate was 2004 [16] N. Schibille, Late Byzantine Mineral
laid on a glass surface, covered with a thin layer Soda High Alumina Glasses from Asia Minor. A New
of molten glass and, once cooled, cut into mosaic Primary Glass Production Group, in: PLoS ONE 6(4),
tiles. 2011 (e18970, doi:10.1371/journal.pone.0018970) [17]
The procedure for making zwischengoldglas H. Schwarzer, Spätantike, byzantinische und isla-
was similar, except that here the glass sheets con- mische Glasfunde aus Pergamon, in: E. Laflı (ed.),
Late Antique/Early Byzantine Glass in the Eastern
taining the gold decoration were ‘welded’ together
Mediterranean (Acta Congressus Internationalis
at high temperature. Decorations made of cut gold Smyrnensis 2), 2009, 85–109 [18] E. M. Stern,
plate could also be pressed into the surface of glass Römisches, byzantinisches und frühmittelalterli-
softened by heat or were sometimes affixed ‘cold’ ches Glas, 10 v. Chr.–700 n. Chr. Sammlung. Ernesto
using an organic adhesive. Wolf, 2001 [19] E. M. Stern, Medieval Glass from
Map: BNP Suppl. 3, 247 the Athenian Agora (9th–14th Century) and Some
375 10.13. bone carving

Thoughts on Glass Usage and Glass Production in the ivory, it is less smooth to work. It offers smaller
Byzantine Empire, in: J. Drauschke / D. Keller blanks, and hence delivers smaller products.
(eds.), Glass in Byzantium. Production, Usage, Analy- Bonework finds in the Mediterranean, whether
ses (RGZM Tagungen 8), 2010, 107–120 [20] G. D. from Late Antique/Early Byzantine Egypt (Alex-
Weinberg (ed.), Excavations at Jalame. Site of a
Glass Factory in Late Roman Palestine, 1988 [21]
andria, Kom el-Dikka, Abu Mena) or Rome, show
G. D. Weinberg / E. M. Stern, Vessel Glass (The an increase in supply and demand for bone prod-
Athenian Agora 34), 2009 [22] D. Whitehouse, ucts beginning in Late Antiquity and especially
Roman Glass in the Corning Museum of Glass, vol. 3, between the 4th and 6th centuries [4]; [6]. This is
2003. no longer interpreted as a sign of decline in artistic
creativity and material culture in Late Antiquity.
Jörg Drauschke On the contrary: because the rise in bone carving
Susanne Greiff went hand in hand with increasing production of
ivory work, it appears that the popularity of the
10.13. Bone carving exotic material was stimulating demand for bone
carvings [6]. Noteworthy in this context are the
Whereas late medieval and early modern bone Late Antique empress statuettes in the Princeton
carving in the west can be reconstructed on a University Art Museum – carvings of striking qual-
detailed local level by means of systematic evalu- ity, but made of bone [5].
ations of excavations and guild records [3], there Rosette caskets became popular in the Middle
is little archaeological evidence to support conclu- Byzantine period, especially the 11th and 12th cen-
sions regarding the workshop organization of Late turies. These were wooden boxes of about the size
Antique and Byzantine bone carvers. As a result, of a shoe box, decorated with ornamental (rosette)
those workshop find complexes that do exist, e.g. and figural decorations made of strips of bone [2];
the 5th-century production residues, workshop [1]. Very rarely, ivory plaques appear on these cas-
waste and semi-finished bone products from the kets in addition to the bone strips. Even though
Palatine Hill in Rome, acquire exemplary propor- the materials can barely be distinguished with the
tions [6]. naked eye today, particularly when the bone is
Bones have been used since time immemorial of good quality and dense, and the finished relief
to make items like combs, toys, gaming pieces, was polished to bring it optically very close to the
containers (caddies and boxes), furniture inlays, ivory, it must be assumed that Byzantine clients
musical instruments (pipes and flutes), handles and users were practised in telling the difference.
and grips and small sculptures. The bones gen- They probably examined the different materials
erally used were the metapodia (metatarsals and when selecting them.
metacarpals), or more rarely flat bones like ribs For some periods, it is difficult to determine
and scapulas, which were used for making fittings the chronological sequence of bone carving and of
and mounts. the different manners and styles of working and
Unlike ivory and antlers, bones are found workshops involved. With only rather unsystem-
everywhere as waste products or by-products atic scientific investigations (e.g. C14 analyses) and
of livestock farming and meat consumption. In stratigraphically documented bone finds as yet
themselves, therefore, they are not a costly raw available, the methods of art history, classifying
material, but this does not necessarily justify dis- pieces by stylistic criticism, remain an important
missing bone as a cheap alternative to ivory. Pro- basis for the dating of Late Antique and Byzantine
cesses of rationalization and division of labour bone carvings. The chronological and geographi-
probably began to develop as serial manufacture cal accuracy of such findings must be regarded as
of small items like needles and hairpins emerged. precarious.
Bone and ivory waste from the same find context
– from Classical Greek Sparta and Olympia to Bibliography
Late Antique Byzantine Alexandria and Cairo – [1] G. Bühl, Die Regelmäßigkeit des Unregelmäßi-
suggest that these materials were used alongside gen. Überlegungen zum Herstellungsverfahren der
each other by the same makers creating the same sogenannten byzantinischen Rosettenkästen, in:
products [6]. BZ 93, 2000, 23–36 [2] A. Cutler, On Byzantine
The working of bone using saws, files, rotary Boxes, in: Journal of the Walters Art Gallery 42/43,
1985, 32–47 [3] M. Erath, Studien zum mittelal-
grinding tools, knives, drills and other instru- terlichen Knochenschnitzhandwerk. Die Entwick-
ments differed little from the techniques used on lung eines spezialisierten Handwerks in Konstanz,
→ ivory (10.14.). The risk of breakage during cutting 1996 (www.freidok.uni-freiburg.de/data/526) [4] L.
and carving, however, was greater, because bone Marangou, Bone Carvings from Egypt, 1976 [5] A.
differs fundamentally in structure and substance St. Clair, Imperial Virtue. Questions of Form and
from ivory (or more properly, elephant dentine). Function in the Case of Four Late Antique Statuettes,
Bone is less dense, and lacking the dentine of
10.14. ivory 376

in: DOP 50, 1996, 147–162 [6] A. St. Clair, Carv- rate the surfaces of ivory objects, and their main
ing as Craft. Palatine East and the Greco-Roman Bone agenda has been to clarify issues of iconography,
and Ivory Carving Tradition, 2003. date and place of origin. Generally, these images
have been discussed separately from, and with-
Gudrun Bühl
out consideration of the form and function of the
objects that bear them.
10.14. Ivory Only in recent times has scholarly discussion
expanded to include aspects such as manufactur-
A. Introduction ing techniques, the conditions and constants of the
B. Value substance and its materiality, and the role played
C. The material and its properties by the manufacturing industry and its products in
D. Techniques and processing Byzantine society. Material studies and analyses of
E. Manufacturing processes and products the manufacturing processes of ivory objects are
giving profound new insights into the craft and
A. Introduction improving our understanding of the finished prod-
Ivory carving is the craft of creating objects uct and the trade, as well as of the importance of
and mechanisms from animal tooth materials, the objects and artworks it produced.
specifically elephant dentine from the front upper
tusks of the Asian and African elephants, which B. Value
are rooted in oval bone recesses in the upper jaw. The Prices Edict issued by Diocletian in ad 301
African and Asian ivories were both traded and [1025] set the price of a Roman pound of ivory at 150
worked in Byzantium, but African was preferred, denarii. A pound of silver was 40 times as expen-
since the Asian elephant has smaller tusks and the sive as ivory, and a pound of silk cost 24 times as
female only has embryonic tusks (‘tushes’), which much. Yet even if the value of raw ivory lagged
are of limited value in manufacturing. Ivory has far behind precious metals and → precious stones
long been highly prized for its unique qualities. (10.11.), its prestige was undisputed. Testifying to
‘In Antiquity, it was a coveted and keenly traded this is the much-cited law of ad 384 (Cod.Theod.
commodity, and all ancient peoples, from the 15,9,1), stipulating that, in the Eastern Empire, ivory
Egyptians to the Romans, made utilitarian objects could be used exclusively to produce diptychs for
and works of art from it’ [1612]. senior magistrates, the consules ordinarii (→ 11.3.
The early 4th century saw an upsurge in ivory Art C.3.1.) [8]. Two factors are reflected here: first,
carving. Used freely as a raw material until the the relatively broad availability of the material and
6th century, ivory retained its value and prestige hence the possibility that a broad spectrum of the
in medieval Byzantium, but political conditions population could buy it, and, secondly, a stubborn
and especially the Islamic conquest of the main insistence on the exclusivity and prestige of ivory.
regions from which it was imported (modern Besides furniture decorations like inlays and
Egypt and North Africa) depressed the trade in the attachments, boxes and caddies, combs, hairpins,
7th and 8th centuries [1020–37]. Despite continuing dolls, gaming pieces and dice, ivory was also tradi-
shortages, the ivory trade seems to have enjoyed tionally used to make objects for representational
a resurgence after the Eikonomachia, especially in purposes, generally as insignia, in the context of
the 10th and 11th centuries, when it became even the imperial court and the Church (→ 11.3. Art C.3.
more highly regarded as a working material (see with figs. 10 and 12). Examples include consular
below, E.). The main products in the Early Byz- and religious diptychs, official chairs and ivory
antine period were cylindrical boxes (pyxides; see plaques fitted to thrones.
below, fig. 6a/b) and diptychs (folding two-part
tablets; → 11.3. Art, fig. 10), whereas the most abun- C. The material and its properties
dant items surviving from the Middle Byzantine As freestanding sculpture declined since
period are relief tablets (icons), smaller in format Late Antiquity, relief sculpture rose in its place
than Early Byzantine ivory objects. The material to become one of the most important pictorial
and craft then seem to have fallen out of fashion modes of the Byzantine era alongside mosaic art
in the last two Byzantine centuries [12185–225 et al.]. and painting. This was probably one reason why
Carved ivory pieces have been preserved in ivory carving attained such a high status in the
relatively large numbers. Around 200 Early Byz- Byzantine empire.
antine and 400 (mainly) Middle Byzantine objects One factor contributing to the popularity and
are known [2775]; [1241] (→ 11.3. Art C.3. with figs. 10 growing reputation of ivory that should not be
and 12). Art historians who have investigated Late underestimated is its specific material properties
Antique and Byzantine ivory art since the early [20]; [21]. The natural composition of ivory, offer-
20th century (corpus works [18]; [31]) have tradi- ing extreme hardness, denseness and polishability,
tionally focused on the relief ‘pictures’ that deco- meant that it was ideally suited to the making of
highly detailed relief works.
377 10.14. ivory

The tusks of the African elephant are 2–3 m ing machines. Ivory is drilled, planed, polished
long. With a diameter of around 16 cm at the and worked with the help of a range of whittles,
neck, they can attain a weight of up to 90 kg. The scrapers, rasps and files. ‘Cutting’ ivory in fact
dentine is made up of about 60% inorganic mate- amounts to scraping, which compared to wood-
rial and 30–40% collagen, a protein that lends the working produces minimal shavings, since the
material elasticity and smoothness. Fresh ivory material is extraordinarily dense. Although the
contains approximately 20% water, making it technique for working ivory is basically similar to
likely that even in Antiquity, it was stored before that for working wood, there are important dif-
being used. ferences. Cutting directly into the material with
The sabre-shaped tusk is hollow where it fits a hammer and chisel, for instance, is impossible.
into the oval bone socket in the upper jaw, and Unlike wood, ivory is not brittle, which makes it
the wall ends paper thin. This part, which in a possible to model the surface and relief with great
grown animal makes up over a third of the total precision and detail, with fine, thin bridges carved
length, is the dental cavity. The tissue (‘pulp’) that clear of the substrate (à-jour). Ivory was already
fills the cavity is fed by blood and rich in nerves. turned on the lathe in Antiquity [6]. Finally, the
It feeds the tooth and enables the growth of the surfaces were usually ground and polished where
very fine layers of dentine, which telescope in over required. Polychromy is very rare and fragmen-
each other to form a conical shape. Towards the tary, leaving unresolved the question of whether
tip, the wall thickens steadily, and around two and to what extent Byzantine ivory pieces were
thirds of the outer tooth are usually solid. In cross- coloured [12144–149].
section, it displays a characteristic grain of web-like
lines. In longitudinal section, the conical layers of E. Manufacturing processes and
dentine that form as the tusk grows outwards are products
visible as an elliptical grain. This grain, however, is The entire work process, from the removal of
not comparable to the annual rings formed in tree the unusable outer layer of cementum to the cut-
wood. Ivory is extraordinarily hygroscopic, mean- ting of the tusk into sheets or blocks to the further
ing that it reacts rapidly to fluctuations in humid- processing of these pieces, took place in the same
ity, breaking and disintegrating. location or workshop [4].
Before the ivory was worked, the material sup-
D. Techniques and processing plying the tooth was removed from the pulp cav-
Art historians traditionally left the business ity. The diameter of the solid portion of the tusk
of understanding manufacturing methods and beyond this is generally smaller than the wall of
hypothetically reconstructing the procedure for, the hollow portion. It also possesses a natural
say, making a box, a statuette, a knife handle or curve, which imposes limitations on the carver
a relief tablet to restorers. The only way to study when devising sculptural forms and objects and
applied manufacturing techniques, given that dictates the general shape of the finished piece.
no written record exists, is through the objects The natural curvature of the material can be seen
themselves, and historians neglected such work very clearly in finished products in the shape of
until recent times [10]. Objects bear witness to tall pyxides (cf. fig. 6), and most clearly of all in oli-
Byzantine workshop traditions and manufactur- phants, hunting-horns and signal-horns. For such
ing processes that maintained the traditions of an object, the carver would use the natural shape
Classical Antiquity more or less without inter- of the tusk and its pulp cavity with the surround-
ruption. Insights into working methods can be ing tusk wall. The tusk would be sawn off at the
obtained only by means of detailed observation end of the pulp cavity and the metal mouthpiece
of fabrication processes and tooling traces [9]; fitted on. The wall of the tusk would then gener-
[12]; [3]; [6], because no cutting tools conclu- ally be decorated with an encircling relief [29].
sively attributable to a Byzantine ivory workshop The raw material thus offered only limited
survive. artistic scope, which an experienced carver could
Excavation finds of waste products – semi-fin- skilfully exploit for his particular purposes and
ished pieces and surplus material – on the Palatine applications. Thus, slabs that would be processed
Hill in Rome [30] and archaeological finds from together later would be obtained by cutting along
Alexandria [28] afford insights into manufactur- the tusk, then sawing across it to produce blocks,
ing methods. These finds, along with excavations then plaques. Rectangular slabs or plaques were
in the Crypta Balbi in Rome, show that bone and obtained both from the solid end section and
ivory were being worked in the same workshops in from the adjacent walls at the outer end of the
the Early Byzantine period [1402–428 et al.]. pulp cavity. One tusk generally provided a maxi-
Manufacturing techniques remained un- mum of four to six slabs 30 cm high. The challenge
changed until the introduction of motorized mill- when cutting plaques, which in the Early and Mid-
10.14. ivory 378

Fig. 6 a/b: Pyxis with
Orpheus (ivory, 5th/6th
cents.; from: [31plate 50,
no. 91; plate 51, no. 92]). These

two pyxides from Bobbio

and Florence differ from
most of the relatively
numerous cylindrical
ivory containers in the
pronounced depth of
their reliefs and their
overall height, which
betrays the slight curve of
the elephant tusk.

dle Byzantine periods were around 1 cm thick on residues, suggesting that the recessed areas were
average, was to make the best use of the material merely recalling the modalities of a writing tablet
despite the curvature and the hollow pulp cavity, [11446 f.]. However, the recent dating of the name
so that sections cut were as long as possible. inscriptions on the reverses of the Christ and Mary
The slabs cut from the solid portion of the diptych, made for use in church (now in the Skulp-
tusk were made into diptychs and combs in the turensammlung and Museum of Byzantine Art,
Early Byzantine period. Ideally, the two wings Berlin) [2], shows it to be quite conceivable that
of a diptych were made from the same tusk. To writing – in ink, if not in wax – was being added to
achieve the optimum height, some asymmetry highly elaborate ivory diptychs in the 6th century.
was accepted, but this was concealed by using the Most plaques in the Middle Byzantine period
oblique edges for the hinge side, which was less were used for making icons and small rectangu-
conspicuous. Discrepancies in the stylistic execu- lar tablets, which were decorated with reliefs and
tion of relief decoration on two halves of the same used as fittings for wooden boxes. These boxes
diptych indicate division of labour. were produced in series and completely covered
Although demand for consular diptychs was with thin, small plaques, mainly of bone and only
confined to the start of each year, it seems unlikely occasionally of ivory. Small rectangular boxes with
that work was done in advance for these pieces, solid ivory walls were rare in the Early and Middle
which were highly exclusive even in the concep- Byzantine periods, and were probably commis-
tion of their pictorial programmes. Given the pre- sioned at court. Sculptures carved almost in the
sumably high volume of such consular diptychs, round are generally rare in the Byzantine era
it seems warranted to assume economic produc- (cf. fig. 7) [33113].
tion. Consuls in both the Western and Eastern The Early Byzantine practice of using the hol-
Empires would commission several dozen, per- low tusk material to make pyxides seems to have
haps as many as a hundred such tablets to mark fallen out of fashion in the Middle Byzantine
their ceremonial accession [1310]; [11436]. The thirty period. The manufacture of pyxides displays the
or so examples that survive today represent only a great economy of material typical of ivory crafts-
vanishingly tiny fraction. manship [6]. Because the tusk wall ends paper-
The interiors or backs of diptychs had an area thin at the root, the carver would choose a section
that was recessed, generally by only a few mil- at some distance from the edge, where the wall
limetres. Like the wooden writing tablets of the was approximately 1 cm. Sections sawn across the
day, these could receive wax in which text could length of the tusk produce up to two round-walled
be written with a stylus. The splendid consular vessels per tusk [2776]. With around 70 more or
diptychs, however, which were made chiefly as less intact surviving examples, averaging ca. 8 cm
prestige objects, show no traces of writing or wax in height and 10–12 cm in diameter, pyxides repre-
379 10.14. ivory

Xanten Cathedral [19] came from the same tusk.

The composite lids and floors were fixed to the
walls with between four and six metal brackets,
as a small number of surviving metal elements
reveal. A metal lock case on one long side, its posi-
tion provided for in the carved relief, and metal
hinges were integral components in the manufac-
ture of Early Byzantine pyxides, securing the lid
and hence the contents of the box. Reconstruction
of the manufacturing steps proves that carvers
were working hand in hand with metalworkers.
Technical differences between Early Byzantine
ivory production and production after the end of
the Eikonomachia appear not only in the different
types of objects produced. One characteristic of
Late Antique and Early Byzantine ivory carving is
the rarity of à jour work in reliefs. Although Middle
Byzantine ivory production betrays clear signs of
a shortage of material (plaques are smaller in for-
mat and quality is poorer because of discoloured
patches and ‘pearls’, or inclusions in the dentine
material), the work of this period is distinguished
by virtuoso pierced carving work quite unlike that
of earlier eras. The baldachins framing the (gener-
ally figural) portrayals are skilfully undercut using
drills and special knives, separating them from the
relief background. This leaves parts of the raised
relief floating free, on the one hand enhancing the
sculptural quality of the work and intensifying the
illusionistic impression, and on the other achiev-
ing impressionistic drama through the play of light
and shade. This ‘theatrical’ quality is a striking fea-
Fig. 7: Statuette of the Hodegetria (ivory, late 10th/ ture of Middle Byzantine ivory relief work of the
early 11th cents.). This ivory piece of the Hodegetria type 10th century and later.
(standing Virgin with Child) is sculpted in the round,
and as such unique among the works known to survive
from the Byzantine Middle Ages. Bibliography
[1] M. S. Arena et al., Roma dall’antichità al Medio-
evo. Archeologia e storia nel Museo nazionale romano,
Crypta Balbi, vol. 1, 2001 [2] A. Arnulf, Die
sent the largest surviving group of Early Byzantine Namenliste des Berliner Christus-Maria-Diptychons,
ivory production. in: JbAC 36, 1993, 134–139 [3] F. von Bargen, Zur
A narrow, lathed fold set back below, and a Materialkunde und Form spätantiker Elfenbeinpyxi-
den, in: JbAC 37, 1994, 54–62 [4] G. Bühl, Elfen-
narrow fold above, framed the figural relief run- beinkunst der Spätantike und aus Byzanz, in: Glanz
ning around the pyxis wall. The inside is natu- der Ewigkeit. Meisterwerke aus Elfenbein der Staatli-
rally smooth, and the generally oval cross-section chen Museen zu Berlin (exhibition catalogue), 1999,
is also natural. The thickness of the longer and 21–28 [5] G. Bühl, Il dittico d’avorio con Cristo e
shorter walls varies slightly [354–62]. Differences Maria a Berlino e il vescovo ravennate Massimiano,
in the relief heights of the carvings emerge as a in: Ravenna. Studi e ricerche 9/1, 2002, 81–97 [6] G.
result of this natural variation in wall thickness Bühl, The Making of Early Byzantine Pyxides, in: G.
and do not indicate unfinished work or differences Bühl et al. (eds.), Spätantike und byzantinische Elf-
of style. The manufacture of vessel floors and lids enbeinwerke im Diskurs, 2008, 9–15 [7] G. Bühl /
H. Jehle, Des Kaisers altes Zepter – des Kaisers
also depended on the skilled adaptation to the neuer Kamm, in: Jahrbuch Preußischer Kulturbesitz
properties of the raw material [22]; [6]. Lid walls, 39, 2002, 289–306 [8] A. Cameron, A Note on
tops and floors, only a few examples of which sur- Ivory Carving in Fourth Century Constantinople, in:
vive [6], were sawn at right angles to the tusk axis, AJA 86, 1982, 126–129 [9] A. Cutler, The Making of
and were generally obtained from a second tusk of the Justinian Diptychs, in: Byz 54, 1984, 75–115 [10]
larger diameter. A. Cutler, The Craft of Ivory. Sources, Techniques
It has been scientifically established that the and Uses of the Mediterranean World, 1985 [11] A.
floor and lid of a pyxis now in the treasury of Cutler, Prolegomena to the Craft of Ivory Carving
in Late Antiquity and the Early Middle Ages, in: X.
10.15. leather goods 380

Barral i Artet (ed.), Artistes, artisans et produc- 10.15. Leather goods

tion artistique au Moyen Âge, vol. 2: Commande et
travail, 1987, 431–475 [12] A. Cutler, The Hand A. Introduction
of the Master. Craftsmanship, Ivory, and Society in B. Manufacture
Byzantium (9th to 11th Centuries), 1994 [13] R. C. Use
Delbrueck, Die Consulardiptychen und verwandte D. Two examples of leather products
Denkmäler (Studien zur spätantiken Kunstgeschichte
2), 1929 [14] A. Eastmond, The St. Petroc Casket,
a Certain Mutilated Man, and the Trade in Ivories, A. Introduction
in: D. Knipp (ed.), Siculo Arabic Ivories and Islamic Material evidence of objects made of organic
Painting, 2011, 81–98 [15] J. Engemann, Elfen- materials like leather is heavily distorted, because
beinfunde aus Abu Mena/Ägypten, in: JbAC 30, 1987, such items are preserved only under unusual con-
172–186 [16] D. Gaborit-Chopin, Elfenbeinkunst ditions: immersed in water as in Europe or in con-
im Mittelalter, 1978 [17] D. Gaborit-Chopin, ditions of extreme aridity as in Egypt. Alternating
Ivoires médiévaux, Ve–XVe siècle. Musée du Louvre, wet and dry conditions or the presence of salt –
Département des objets d’art, 2003 [18] A. Gold- in other words, the prevailing conditions across
schmidt / K. Weitzmann, Die byzantinischen much of the Byzantine Empire – permit the pres-
Elfenbeinskulpturen des 10. bis 13. Jahrhunderts (Die
Elfenbeinskulpturen 5–6), 2 vols., 1930–1934 [19] U.
ervation of only small traces of perishable mate-
Grote, Der Dom zu Xanten und seine Kunstschätze, rial. It follows that most of the information about
1997 [20] H. Jehle, Elfenbein. Überlegungen zum leather and its use in Byzantium comes from tex-
Material und zu seiner Verarbeitung, in: Zetischrift tual and pictorial sources and from archaeological
für Kunsttechnologie und Konservierung 9, 1995, evidence in Egypt.
337–347 [21] H. Jehle, Elfenbein als Werkstoff, in: Because the focus of this section is on archaeol-
Glanz der Ewigkeit. Meisterwerke aus Elfenbein der ogy, remains from ancient Egypt will be the main
Staatlichen Museen zu Berlin (exhibition catalogue), area of interest. Surprisingly, despite the wealth of
1999, 17–19 [22] H. Jehle, Technologische Aspekte archaeological material found at various locations
ausgewählter Elfenbeinarbeiten des Museums für
in Egypt including Antinoupolis [9], Fustat [6]
Byzantinische Kunst, in: G. Bühl et al. (eds.), Spätan-
tike und byzantinische Elfenbeinwerke im Diskurs, and Qasr Ibrim, the holistic and multidisciplinary
2008, 139–147 [23] T. Jülich, Die mittelalterlichen study of leather is still in its infancy. The absence
Elfenbeinarbeiten des Hessischen Landesmuseums of chemical analyses in particular is a major obsta-
Darmstadt, 2007 [24] F. Jürgensen, Die ‘Stile’ und cle to understanding leather production [3316 f.].
der ‘Umkreis’ der Maximianskathedra in Ravenna,
1975 [25] U. Koenen, Forschungen im Elfenbein- B. Manufacture
turm? Fragen zur Aktualität traditioneller Denkmod- The term ‘leather’ refers to a chemically stable
elle am Beispiel spätantiker und mittelalterlicher product made waterproof and durable by vegeta-
Elfenbeinkunst, in: Mitteilungen zur spätantiken ble tanning [3299, 304]. ‘True leather’ was unknown
Archäologie und byzantinischen Kunstgeschichte 7,
2007, 35–64 [26] C. Olovsdotter, The Consular
in Egypt before the Greco-Roman period [3304–306].
Image. An Iconological Study of the Consular Dip- Prior to this, oil leathering had been the usual
tychs, 2005 [27] U. Peschlow, Luxusgüter der method for improving the durability of animal
Spätantike. Skizzen zu Kenntnisstand und Problemen skins. Skins treated in this way did not possess the
der Elfenbeinforschung, in: A. Banerjee / C. Eck- qualities of ‘true leather’. As soon as the oil was
mann (eds.), INCENTIVS-Tagungsbeiträge 2004–2007 washed out, the ‘leather’ returned to its original con-
(RGZM Tagungen 7), 2011, 75–98 [28] E. Rodzie- dition as skin and immediately began to rot. Nev-
wicz, Ivory, Bone, Glass and Other Production at ertheless, the word ‘leather’ is used here to denote
Alexandria, 5th to 9th Centuries, in: M. Mundell both ‘true leather’ and other animal skin products.
Mango (ed.), Byzantine Trade, 4th–12th Centuries.
Until the age of industrialization, the process
The Archaeology of Local, Regional and Interna-
tional Exchange (Papers of the Thirty-Eighth Spring for manufacturing leather from animal skins was
Symposium of Byzantine Studies, Oxford 2004), 2009, essentially the same everywhere in the world. It
83–96 [29] A. Shalem, The Olifant. Islamic Objects entailed soaking the skin, cleansing it of hair and
in Historial Context, 2004 [30] A. St. Clair, Carv- fat, then immersing it in solutions of tanning
ing as Craft. Palatine East and the Greco-Roman agents. Medieval European manuals describe the
Bone and Ivory Carving Tradition, 2003 [31] W. F. manufacture of leather, the preparation of skins
Volbach, Elfenbeinarbeiten der Spätantike und des and processes of decay, and in the absence of
frühen Mittelalters, 31976 [32] K. Weitzmann, Cat- adequate research, the information they contain
alogue of the Byzantine and Early Medieval Antiqui- is also applied to earlier historical periods and dif-
ties in the Dumbarton Oaks Collection, vol. 3: Ivories
and Steatites, 1972 [33] P. Williamson, Medieval
ferent geographical regions. Although major dif-
Ivory Carvings. Early Christian to Romanesque, 2010. ferences are unlikely, disparities in detail are to
be expected – some materials, for instance, would
Gudrun Bühl be available in some parts of the world and not
in others. Arabic manuscripts contain reports on
the leather industry in Fustat (papyri are currently
being edited).
381 10.15. leather goods

C. Use
Leather was an important material in the
Roman and Byzantine periods, especially because
large armies needed vast quantities of it for items
such as boots, clothing, tents and weaponry. It is
even possible that animals were bred more for
their skins than for their meat. It has been sug-
gested that the family of the Prophet Mohammed
earned its living by selling leather goods, specifi-
cally large quantities of goat skins [1].
Leather also played an important, albeit less
prominent, part in the life of the civilian popula-
tion. There was no real need for leather clothing
or tents, because most of the population lived
in houses, and those who did not, such as the
Bedouin tribes, used tents made of grass or palm
leaves.
Even today in Egypt, the Copts are known for
their leather products. Asyut, a Middle Egyptian
city with a still substantial Coptic population, has Fig. 8: Pair of Coptic leather shoes, decorated with
become famous for its → pottery (10.7.), bone and stitching (front) and gold foil (along the instep). They
wood carving, silk fabrics and leather goods. This offer a good example of Coptic footwear and popular
tradition of leatherworking is perhaps best illus- decorative techniques. The upper is in one piece, closed
trated in the figure of St. Simon, who lived in the at the heel. The sole is uniform (i.e. no difference
late 10th century and was known as ‘Simon the between left and right), which was more common at
Tanner’ and ‘Simon the Shoemaker’. this period than in the Roman era.
Overall, ‘there is much other evidence that
leather working was frequently carried out by
[Coptic] monks, who often lived as hermits in or directly on the shoe leather), stitching, appli-
ancient [Egyptian] tombs. Good examples of this qués, openwork or a combination of these (cf.
include TT 29 [in Luxor, Egypt], where Apa Frange fig. 8). Sandals were enhanced with tooled orna-
lived … and the Middle Kingdom tombs 1151 and ments, e.g. simple lines in various patterns,
1152 north of Deir el-Medinah, where a large find rosettes and wavy lines. Straps were not left as
including several papyrus books was made in 2005’ simple leather thongs, but were plaited or slitted
[745]. The Coptic monastery of Deir el-Bachit in and ornately interwoven.
Luxor (6th–9th, perhaps 10th cents.) has yielded Studies of footwear found in various locations
many leather finds, including a large quantity in Egypt show that, to a certain extent, each settle-
of remnants and waste, indicating production. ment had its own characteristics. One good exam-
The remnants of book bindings found there and ple is the shoes of Fustat, south of modern Cairo,
elsewhere suggest that this was an important which are currently being analysed [6]. Most of
class of article manufactured at monasteries (see the shoes and sandals documented there have no
below, D.2.). exact parallels in other locations.

D. Two examples of leather products D.2. Book bindings

Particularly during the Christian period, book
D.1. Footwear bindings were made of leather, wood or recycled
D.2. Book bindings papyrus. They are a frequent find type, yielding
exciting examples like the famous Hamuli Gos-
D.1. Footwear pels (cf. e.g. [2]) or the Nag-Hammadi Codices [4].
Leather footwear represent the most numer- Many fragments have been found at the Coptic
ous group of leather objects found in excavations, monastery of Deir el-Bachit, offering a broad spec-
reflecting the importance of the material in the trum of motifs and patterns in leather (cf. fig. 9)
production of sandals, shoes and boots. Egyptian [725–38, 41 f., 118–160].
footwear of the Christian era differs from that Map: BNP Suppl. 3, 247
of other periods, particularly in the custom of Bibliography
ornamentation and the use of highly decorative [1] P. Crone, Quraysh and the Roman Army. Mak-
straps [5]; [725–38, including ornamentation of other objects]; [10]. ing Sense of the Meccan Leather Trade, in: Bul-
Aesthetics were a high priority here. Shoes were letin of the School of Oriental and African Studies
decorated with gold foil (on a leather appendage 70/1, 2007, 63–88 [2] L. Depuydt, Catalogue of
10.16. textiles 382

Fig. 9a/b: Large fragment of a richly decorated book binding from the monastery of Deir al-Bachit (leather;
photograph: Erno Endenburg; drawing: A. J. Veldmeijer, based on a field drawing by P. Collet; from: [7156, fig. 35]).
Many of the stamped motifs, such as the rosettes and lines, are commonly found in the Christian era, but others like
the double X are unique.

Coptic Manuscripts in the Pierpont Morgan Library, mean that the geographical spread of these finds
1993 [3] C. van Driel-Murray, Leatherwork is very uneven. Tens of thousands of Early Byzan-
and Skin Products, in: P. T. Nicholson / I. Shaw tine textile pieces survive from the arid regions of
(eds.), Ancient Egyptian Materials and Technology, what is now Egypt and Israel [7]; [8]. A textile find
2000, 299–319 [4] J. Robinson, The Nag Ham-
madi Library in English, 1988 [5] R. Smalley,
complex dated to 610 has been found at Halabiya
Dating Coptic Footwear. A Typological and Compara- in Syria [6]. Conversely, Middle and Late Byzan-
tive Approach, in: Journal of Coptic Studies 14, 2012, tine archaeological textile finds are rare. Middle
97–135 [6] A. J. Veldmeijer, Fustat. Preliminary Byzantine materials have been excavated at Amo-
Report on the Leatherwork, in: S. Denoix / R.-P. rion [3], Karaman [1] and Kayseri [2207]. Excava-
Gayraud (eds.), Fustat-Istabl ‘Antar Excavations tion finds of small textile fragments corroded onto
(forthcoming) [7] A. J. Veldmeijer, Sandals, Shoes metal grave goods have yet to be assessed. Some
and Other Leatherwork from the Coptic Monastery epigraphically dated textiles of the Middle Byz-
Deir el-Bachit, 2011 [8] A. J. Veldmeijer, Leather- antine period are preserved in European church
work from IFAO’s Mission to Fustat, in: Archaeologi-
treasuries [5]. From the Late Byzantine period,
cal Leather Group Newsletter 37, 2013, 8–9 [9] A. J.
Veldmeijer, Cat. nos. 18–31, in: E. R. O’Connell, excavation finds have been made at Mistra on the
Catalogue of British Museum Objects from The Egypt Peloponnese [4], and liturgical textiles survive in
Exploration Fund’s 1913/14 Excavation at Antinoupo- ecclesiastical treasuries [9].
lis, in: R. Pintaudo (ed.), Antinoupolis, vol. 2: Scavi
e material, 2014, 475–479 [10] A. J. Veldmeijer / B. Materials
S. Ikram, Catalogue of the Footwear in the Coptic The most common raw materials for clothing
Museum (Cairo), 2014. and furnishing textiles were linen and wool. Writ-
ten sources attest to the cultivation of flax and the
André J. Veldmeijer breeding of sheep (→ 8.4. Animal use and pasto-
ralism B., C.). The fact that linens dominate Early
10.16. Textiles Byzantine finds, whereas wool is more frequent
in finds from the Middle and Late Byzantine peri-
A. Introduction ods, may be coincidental. Utilitarian textiles were
B. Materials made from naturally pigmented goat hair, a robust
C. Weaving techniques and water-repellent material.
D. Products There is debate as to whether sericulture was
not introduced until the mid-6th century, as per
A. Introduction the legend of the smuggling of silkworm eggs, or
The main focus of this section is on the mate- whether it had reached Byzantium from Asia at an
rial finds of Byzantine textiles and production earlier date. Wild silk at least was certainly already
techniques reconstructed on their basis. Local widespread in the Roman period. The increasing
preservation conditions (→ 10.15. Leather goods) frequency of silk finds during the Middle Byzan-
383 10.16. textiles

tine period indicates that the material was also as sprang, and the looping technique known as
gaining popularity among the middle classes. nålebinding (knotless netting) in the Roman and
Archaeological finds of cotton textiles at sites Early Byzantine periods. As yet, no such finds have
in Egypt, Israel and Syria attest to local cotton pro- been made dating from the Middle or Late Byzan-
duction already underway in the Early Byzantine tine periods, but they will surely appear. Knitting
period. boards were known in the Roman and Early Byz-
Gold thread, and rarer silver thread, consisted antine periods, but as yet nothing is known about
of thin strips of metal wound around a core thread. the evolution of proper knitting in Byzantium.
In the Roman and Early Byzantine periods, gold Pile fabrics for upholstery or providing heat
threads were woven into a fabric. In the Middle insulation were made by weaving in loops in the
Byzantine period, they began to be stitched on, Early Byzantine period. Knotted pile only came
which was more economical. into general use in the Middle Byzantine period.
The commonest technique for decorating linen
C. Weaving techniques and wool fabrics in the Early Byzantine period was
Most linen and wool textiles, and some silks, tapestry weaving. An archaeological find from
were woven in a simple tabby weave. Twill weaves Kayseri [2207] and the Gunthertuch (now Diözesan-
are particularly suitable for wool. Medium-weight museum Bamberg) also attest to this technique for
twills suitable for garments have been found the Middle Byzantine period. The Early Byzantine
at Early Byzantine sites in Israel and Egypt and at decorative technique of brocading is also known
Middle Byzantine Amorion. Coarse twills found at from Late Byzantine Mistra. Embroidery, on the
Late Byzantine → Mistra (8.13.) were probably utili- other hand, is rare in the Early Byzantine period,
tarian textiles. There are only occasional instances but as finds from Amorion and Mistra show, it was
from Byzantium of structurally patterned twill more common in the Middle and Late Byzantine
variants, such as diamond twill or twill damask. periods. Gold embroidery replaced the collapsed
Simple patterns were introduced to silk fabrics silk production after 1204 [9XXV].
by means of weft floats, which have been found The two-beam upright loom replaced the warp-
at Nessana (Nitzana; Early Byzantine period), weighted loom in the eastern Mediterranean by
Amorion (Middle Byzantine) and Mistra (Late Byz- the 5th century at the latest. The date of the shift
antine). The oldest complex form of fabric weave to the horizontal treadle looms and drawlooms,
for making coloured pattern repeats, which was which was related to silk weaving, is disputed.
already in use in the Roman Imperial period, was Loom weights from Middle Byzantine find con-
the weft-faced compound tabby weave (taqueté; texts attest to the continued use of the warp-
German Leinwandschusskompositbindung). Early weighted loom despite these innovations.
Byzantine taquetés were wool, with small-scale
patterns, and were woven into upholstery fabrics D. Products
and tunics [7128 f.]. A taqueté silk garment has been Early Byzantine tunics, unlike their Roman pre-
found at Late Byzantine Mistra. decessors, were woven to shape (cf. fig. 10). Tunics
The weft-faced compound twill weave known made entirely of silk were unusual at this period
as samite, which showed off the sheen of silk bet- [7no. 61 f.]. Small silk off-cuts were reused as trims
ter, was introduced in the Early Byzantine period. and were imitated in tapestry weaving and bro-
Early Byzantine silk samites from excavations at cading. Excavation finds in Halabiya, in Egypt and
Avdat and Nessana in Israel and at Halabiya, radio- on 6th/7th-century mosaics reveal the emergence
carbon dated finds from Egypt [760–63] and the silk in the 6th century of a new garment type with
bearing the monogram of Herakleios in the Liège a tailored construction, flared shape and altered
Cathedral treasury, have small, bichrome patterns. decorative scheme. There was a break with the tra-
The figures on silks found in church treasuries and ditions of ancient clothing at the end of the Early
dated epigraphically to the 10th/11th centuries are Byzantine period. Garments now were no longer
larger, sometimes framed by medaillons [5]. Silk woven to shape, but cut to shape and tailored. Evi-
samites with monochrome patterns resembling dence for this includes a Middle Byzantine linen
incised lines then became popular around the garment from Karaman displaying a flared shape
turn of the millennium. and chest slit [1] and another with button fasten-
Unlike silk weaving, tablet weaving could be ings from Late Byzantine Mistra [4107]. In addition
done at home. Tablet-woven trims to decorate col- to the woven to shape Roman and Early Byzan-
lars and cuffs are preserved from Early Byzantine tine woollen semicircular cloaks, the chlamys and
Egypt, from Halabiya and from Late Byzantine paenula, close-fitting, tailored woollen coats open-
Mistra. One piece of Late Byzantine tablet weaving ing at the front have been found dating from the
was venerated as the relic of the Holy Girdle [4110]. Early Byzantine period at Antinoupolis, precursors
Elastic materials for headgear or leggings to the Middle Byzantine skaramangion.
were made using the plaiting technique known
10.17. timber as a building material 384

Fig. 10: Tabby weave linen tunic (grave find from Egypt, C14-dated to ad 407–537; length: 95 cm, width at bottom:
104 cm). The decorative elements, unusually, are embroidered, rather than tapestry woven. The upper section shows
traces of bands that were wound round the body in criss-cross pattern. The sleeves were cut in modern times.

Finds from Egypt shed light on Early Byzan- 2001, 93–105 [9] W. T. Woodfin, The Embodied
tine textile furnishing: linen cloths with tapestry Icon. Liturgical Vestments and Sacramental Power in
woven decoration; patterned woollen taqueté Byzantium, 2012.
upholstery fabrics, cushion covers and curtains.
Petra Linscheid
Large-format tapestry wall-hangings survive from
the Early Byzantine [7nos. 1–18] and Middle Byzan-
tine periods (Gunthertuch). 10.17. Timber as a building material
Map: BNP Suppl. 3, 247
A. Introduction
Bibliography B. All-wood structural elements
[1] T. Dawson, Concerning an Unrecognised Tunic C. Timber used to support other materials
from Eastern Anatolia, in: Byz 73/1, 2003, 201–210 [2]
U. Hirsch, On the History of Tapestry Weaving in A. Introduction
the Near East, in: J. Rageth (ed.), Anatolian Kilims Egypt was always poor in timber varieties suit-
and Radiocarbon Dating, 1999, 201–210 [3] P. Lin- able for building and thus dependent on imports.
scheid, Middle Byzantine Textile Finds from Amo- Yet its arid climate makes it the richest source in
rion, in: B. Böhlendorf-Arslan / A. Ricci (eds.),
Byzantine Small Finds in Archaeological Contexts
the Byzantine territories for data on timber, with
(Byzas 15), 2012, 343–350 [4] M. Martiniani- many structural elements in Late Antique Egyp-
Reber, Parure d’une princesse byzantine. Tissus tian architecture executed in wood. Moreover,
archéologiques de Sainte-Sophie de Mistra, 2000 [5] many other everyday wooden objects are known
A. Muthesius, Byzantine Silk Weaving A.D. 400 to almost exclusively from Egypt [5]. However, Egypt
A.D. 1200, 1997 [6] R. Pfister, Textiles de Halabi- was lost to the empire in the mid-7th century,
yeh (Zenobia), 1951 [7] S. Schrenk, Textilien des and only very limited inferences can therefore be
Mittelmeerraumes aus spätantiker bis frühislamischer made for later periods.
Zeit (Die Textilsammlung der Abegg-Stiftung 4),
2004 [8] O. Shamir, Byzantine and Early Islamic
Textiles Excavated in Israel, in: Textile History 32/1,
B. All-wood structural elements

B.1. Roofs
385 10.17. timber as a building material

B.2. Doors Door hinges consisted of pegs with hemispheri-

B.3. Windows cal ends protruding vertically from the lower and
B.4. Stairs upper frame elements along the axis of rotation;
they were fitted into corresponding indentations
B.1. Roofs in the threshold and lintel.
The sole surviving examples from Antiquity of Until the early modern period, doors through-
joists from a pitched roof are the ceiling joists over out the Mediterranean world always opened
the central nave of the church at St. Catherine’s inwards. Exceptions to this rule are almost always
Monastery on the Sinai (mid-6th cent.). These explained by subsequent changes in the use of
beams are made of cypress wood. With a cross- the room involved. It is striking that double doors
section measuring 30 × 18 cm, they span a clear were preferred even for narrow doorways in more
width of ca. 5.75 m. The sides and undersides of prestigious houses. Single doors are found only in
the joists are dressed with planks ca. 2.5 cm thick simple dwellings and utilitarian buildings. ‘Bronze
of a harder wood capable of taking the carved doors’ (single or double) are generally wooden
decoration. Protection from above was afforded doors clad in bronze (invariably on one side
by the ubiquitous accessible ceiling. Similar joists, only), with the metal cladding fixed to the frame
but of considerably larger cross-section, will have elements using bronze nails. Security doors, such
been needed in large basilicas, where spans were as those used in far-flung monasteries (external
far larger (Abu Mena, Great Basilica, fourth quar- doors of St. Catherine’s on the Sinai), were made
ter of the 5th cent.: 14 m; Hermoupolis Magna, of thicker planks sheathed in wide, overlapping
Transept church, mid-5th cent.: 13.5 m). iron bars 2–3 mm thick [6plates 13 B–D]. These were
A roof was generally constructed by combining fixed on using flat-headed nails.
such joists with diagonal rafters to form a series of
triangular girders, a construction resembling those B.3. Windows
of medieval Italian roofs [10139–143, fig. 58]. Simplified Windows, and particularly their typical, Late
illustrations of such roof structures survive from Antique wooden structural elements, are very
Antiquity in a number of reliefs found in Syria rarely preserved. Generally, they served to admit
[2199 f., figs. 201, 204]. light and allow the circulation of air, and were
Trunks of the native palm, split into square set high in walls. Windows were invariably fit-
timbers, were used in rural Egyptian flat-roofed ted with a wooden frame that was fixed into the
houses, but were limited to short spans. Ancient surrounding masonry. All frames consisted of
examples (4th/5th cents.) have been observed at medium-gauge squared timbers. The upper and
Karanis (Fayyum) [1]. lower horizontal pieces protruded at both ends,
to fit into prepared indentations in the masonry.
B.2. Doors The vertical side timbers fitted into the upper and
Doors were made entirely of wood. Door lower frames by means of through tenons [1197,
frames or doorposts, thresholds and lintels were fig. 3]. Some wooden windows that survive intact
also often wooden. Wooden posts sunk into the at Karanis (4th–5th cents.) and Soknopaiou Nesos
ground or floor were quicker to put up and more (3rd–1st cents. 3bc) reveal densely packed vertical
securely fixed than posts built of unfired mud and horizontal cross rails [1].
bricks. The treads of all the thresholds of internal
doors in the episcopal church of Pharan (Sinai) B.4. Stairs
were made from thin wooden planks. Thin slats Most stairs in Egypt were built of stone or fired
made of squared timber were often placed in the brick, but wooden stairs were not unknown. There
anterior threshold as door stops. are many instances of wooden steps nailed onto
Door panels had frames between 12 and 16 cm underlying stone constructions. Impressions of
wide, the vertical elements of which were joined staircases made entirely of wooden planks have
to the horizontal at the top and bottom by means been preserved in 6th-century buildings at Abu
of lap joints or through tenons, with pegs pre- Mena. Horizontal beams were inserted into both
venting slippage. Central fields, which were often sides of the masonry stairwell at the desired posi-
richly decorated with carvings, were defined by the tions of the front stair edges, and the actual steps
insertion of the desired number of cross rails [945 ff., (treads and vertical risers) were fixed to these, and
fig. 20 f.]; [6plates 46–57], and the different fields could be
were themselves slightly sunk into the side walls.
of different heights. Cross rails were joined to the Where necessary, the underside could also be cov-
frames by fashioning a tongue at each end to fit ered with a solid layer of planks (southern stair-
into corresponding slots cut in the side, or upper case in the Great Basilica of Abu Mena).
and lower frame elements.
10.18. construction 386

C. Timber used to support other church at the White Monastery (449), the masonry
materials laid on such planks consists of a sequence of
small blocks laid on end. The architraves over the
C.1. Reinforcing mud-brick walls engaged columns in the triconch of the church of
C.2. Replacements for jack arch constructions the Red Monastery (first half of the 6th cent.) are
made in the same way.
C.1. Reinforcing mud-brick walls The lintels over the doors and wall niches of
One of the gravest weakness of unfired clay or clay-brick structures are sometimes supported by
mud brick is its lack of tensile strength. To prevent extraordinarily thin wooden planks. Even so, the
thick walls from collapsing, frames and lattices masonry resting on these betrays no sign of the
made of thick wooden poles were already incor- beginnings of a ‘jack arch’ construction. The build-
porated in the Twelfth-Dynasty (early 2nd millen- ers clearly intended the wooden plank beneath as
nium bc) fortress of Buhen in Nubia, piercing and the actual lintel.
binding the entire thickness of the walls at regular
intervals [47 ff., fig. 3 f.]. These wooden supports were Bibliography
limited to the front and rear of walls in smaller [1] A. E. R. Boak, Karanis. The Temples, Coin Hoards,
Botanical and Zoological Reports, Seasons 1924–31
buildings. The same technique was used in hewn
(University of Michigan Studies. Humanistic Series
stone buildings in northern Egypt [756 ff., figs. 1b, 3a]. 30), 1933 [2] H. C. Butler, Early Churches in Syria,
Timbers, which were inserted after every two or 1969 [3] É. Chassinat, Fouilles à Baouît (MIFAO
three layers of stone, consisted of planks 12–18 cm 13), 1911 [4] W. Emery, A Preliminary Report on the
wide and ca. 2 cm thick, overlapping at the edges Excavation of the Egypt Exploration Society at Buhen
and nailed together and into the masonry with 1957–58, in: Kush 7, 1959, 7–14 [5] E. Enss, Hol-
iron nails. Where possible, harder timber types zschnitzereien der spätantiken bis frühmittelalterli-
were used. The timbers were no longer visible chen Zeit aus Ägypten, 2005 [6] G. H. Forsyth,
once the wall plaster was applied. Introduction to the Architecture, in: G. H. Forsyth /
Similar timber inserts in the stone Southern K. Weitzmann, The Monastery of Saint Catherine
at Mount Sinai. The Church and Fortress of Justinian,
Church at Bawit (Middle Egypt, 5th/6th cents.), 1965, 5–10 [7] P. Grossmann, Holzbewehrung im
which penetrate less deeply into the masonry, römischen und spätantiken Mauerwerk in Ägypten,
were probably only decorative. They were visible in: A. Hoffmann (ed.), Bautechnik der Antike (Inter-
on the wall surface and decorated with ornamen- nationales Kolloquium, Berlin 1990) (Diskussion zur
tal carvings and short Coptic texts [3plate 16,1; 58,1–3]. Archäologischen Bauforschung 5), 1991, 56–62 [8]
The timbers offer no discernible static support U. Monneret de Villard, Les couvents près de
to the building. The same is true of the timbers Sohâg, 2 vols., 1925–1926 [9] U. Monneret de
in the sanctuary façade of the church at the Red Villard / A. Patricolo, La chiesa di Santa Bar-
Monastery of Apa Pshoi at Sohag, dating from bara al vecchio Cairo, 1922 [10] W. Sackur, Vit-
ruv und die Poliorketiker. Vitruv und die christliche
the first half of the 6th century [8vol. 2; fig. 114, 116].
Antike. Bautechnisches aus der Literatur des Alter-
The imitation of such inserts in the great church tums, 1925 [11] C. Uricher, The Hall-Building to
of the White Monastery of Apa Shenute at Sohag the West of the Great Xenodachium, in: Bulletin de la
(449), meanwhile, is grotesque: recesses sunk into Société d’archéologie copte 33, 1994, 91–104.
the front above the fifth row of stones, then again
after another nine rows, contained fitted timbers Peter Grossmann
[758–60], which are now almost completely lost.
Free-standing rows of columns in Late Antique 10.18. Construction
buildings were linked by timbers fitted above the
capitals, functioning as tension rods. In several A. Introduction
Cairo churches, inferior palm wood was used B. Building materials
instead of these timbers during the Islamic period. C. Participants
These palm struts extended across the whole
width of the wall, as a result of which they were A. Introduction
wrongly identified as architraves, with their static No manual of architecture survives from Byz-
function as tension rods unrecognized. Naturally, antium to compare with Vitruvius’ De Architec-
the sides and undersides of these palm rods had to tura for Rome (1st cent. bc). Our knowledge of
be faced with harder timber planks. construction is therefore limited to what can be
learned from a few written sources and inscrip-
C.2. Replacements for jack arch tions and above all from the buildings themselves
constructions (survey: [12]; [7]; [3]).
The very widespread architraves, imitated in Down to the smallest details, a building project
stucco, had thick wooden planks laid underneath. was the business of its commissioning client [1239–
In the pillared apse of the narthex of the great 43], as Epistle 25 of Gregory of Nyssa impressively
387 10.18. construction

attests, in which he concerns himself with crafts- the island of Proconnesus (→ 10.6. Stone working
men, materials and manner of execution. Justin- and processing C.) [17]; [12136–139]; [18]; [7628–630];
ian is portrayed in a similar role in Procopius’ De [3345–347]. Proconnesian marble was sent every-
Aedificiis (6th cent.). where in the empire in the Early Byzantine period,
No architectural drawings survive from Byz- chiefly as a material for architectural sculpture.
antium, probably because of the materials used A plethora of local quarries supplied stones for
(papyrus, parchment). A number of literary walls and floors, and this local construction stone
sources, however, indicate that they must have was combined with the imported stone used for
existed, as do surviving scratched drawings and sculpting. The Proconnesus quarries produced
the simple fact of the complex geometric relation- only semi-finished pieces, and finishing prior to
ships underlying the design of Byzantine buildings transportation to building sites had to be done in
[1262–85]; [6]. Continuing the ancient tradition, workshops on the Bithynian mainland or near the
the ground plan of a building was traced on the building under construction. Shipwrecks attest to
ground with ropes. the delivery of Proconnesian marble architectural
sculpture on order throughout the Mediterranean
B. Building materials macro region [8].
Byzantine buildings are above all character-
B.1. Introduction ized, however, by their use of spolia, doubtless a
B.2. Mortar, stone, brick result, on the one hand, of an abundance of old,
B.3. Plaster, architectural ceramics, wood, glass disused buildings and, on the other, of the closure
of the Proconnesus quarries around 600. Other
B.1. Introduction quarries of particular transregional importance
Construction, whether in brick or stone (or were those of Docimium/Dokimeion (Phrygia),
more frequently in a combination of the two), Karystos (Cipollino), Thasos (especially for capi-
was dependent on regional conditions and varied tals), the Troad (columns) and Thessaly (green
greatly throughout the Byzantine era [12157–233]; marble). Many local quarries are also known
[3336–343]. The most widespread method involved (→ 10.1. Mineral resources E.) [18129–132].
hollow-wall masonry, whereby a core of rubble After stone, the most important building mate-
was set in mortar and faced with cut stone and/or rial – already in the Early Byzantine period, but
bricks. Pure ashlar masonry was rare in Constan- increasingly in the Middle and Late periods – was
tinople and Italy, but it was the commonest form brick [19]; [12128–132]; [7630 f.]; [3337–339]. Early Byzan-
in parts of Asia Minor (e.g. Cilicia), Syria, Arme- tine bricks from Constantinople and Thessalonica
nia and Georgia. Although pure brickwork was often bear stamps attributable to production sites,
unusual (e.g. Ravenna, ‘Red Church’ at Peruštica, but this is uncommon for bricks from other places
St. John’s Church at Ephesus), alternating layers [1]; [2], and such stamps become very rare in the
of stone and brick were the usual construction Middle Byzantine period. Brickmakers (ostra-
technique at Constantinople. It was also in the karioi, keramopoioi) located their kilns as close
capital that the technique of ‘concealed courses’ as possible to their customers. Many small brick-
was developed in the 10th century. The decorative works with round or rectangular kilns have been
use of bricks became ever more popular (‘trellis found in Greece and the Balkans, but as yet none
brickwork’, ornamental courses) from the 11th cen- in Constantinople or its surroundings. Besides
tury on. wall bricks, large quantities of roof tiles were also
needed [12147–149].
B.2. Mortar, stone, brick
Mortar was usually used for building stone B.3. Plaster, architectural ceramics,
or brick walls, although simple walls were some- wood, glass
times built with clay alone. The mortar consisted Walls were usually plastered. A wide variety of
of lime obtained by burning limestone or (usually plasters was used (clay, gypsum, lime; additives
recycled) marble, which was then quenched with including sand, brick grit, straw), and paintings
water before sand and stone or brick grit were or mosaics could be applied to them. Choices
added. Lime ovens are often found near buildings, depended on the raw materials locally avail-
but given the immense quantities of lime needed able, and no chronological development can be
at centres like Constantinople, larger lime-pro- observed [15]; [16].
ducing operations must have existed that have yet The ceramic architectural decorations in
to be archaeologically identified [12133–135]; [7631 f.]; Middle Byzantine buildings constitute a distinct
[3335 f.]. category, attested only between the 9th and 11th
Ever since the foundation of Constantinople, centuries. These comprised polychrome wall tiles,
the most important source of stone for the city mouldings, friezes, pillar facings and templon
and far afield had been the marble quarries on installations. Ceramic workshops are known from
10.18. construction 388

Bulgaria (Preslav) [11] and the environs of Con- is impossible to draw a clear distinction between
stantinople (Nicomedia) [10]. a designer architect and a practical builder. The
Wood played an important part in the building versatile organizer of a building site is therefore
process (scaffolding, falsework, formwork) and in probably most fittingly described as a ‘construc-
the finished building (especially ties and trusses), tion manager’.
and was needed in large quantities [12210–216];
[3343 f.]. However, it rarely survives. The only virtu- C.3. Stonemasons, carpenters
ally intact surviving wooden roof from the Early Most names of Early Byzantine stonemasons
Byzantine period is in the Monastery of St. Cath- (lithoxoos, marmorarios) come down to us only
erine on the Sinai (→ 10.17. Timber as a building through the numerous signs they left on their
material B.1.). work [17168 f.], which also give indications of how
As numerous finds attest, the windows of workshops were organized. While some signs are
Byzantine buildings were often glazed (→ Glass assembly or construction marks, others indicate
(10.12.)). The panes of glass, which were usually individuals, sometimes quarry owners, while oth-
very small, were fitted into frames made of wood, ers denote individual masons or workshops. At
stone or stucco. Workshops were local. The only Hagia Sophia in Constantinople, for instance, this
known examples of painted glass windows come gives us insight into division of labour according
from the Chora Church and the Church of Christ to different parts of the building and locations
Pantokrator in Constantinople and may betray [13]. The picture derived from water-supply struc-
western influence [12151–156]; [7634–636]. Glass was tures in the capital is similar [4]. Middle Byzantine
also required in large quantities for the production stonemasons occasionally signed their work by
of mosaic tesserae. There is evidence of both local name [5548]. Stonemasons first became involved
workshops and imports here, and old tesserae in quarries where semi-finished pieces were made.
were also reused. Pieces were further refined in workshops, but no
archaeological evidence for them has yet been
C. Participants found. Because of the fragility of the workpieces
(especially capitals), final finishing was probably
C.1. Artisans not done until a piece was installed in the build-
C.2. Architects/master-builders ing. Stonemasons must therefore have been very
C.3. Stonemasons, carpenters adaptable in terms of mobility (→ 10.6. Stone work-
ing and processing) [17]; [18].
C.1. Artisans There is no archaeological evidence of the
Byzantine buildings relied on the work of many work of carpenters in construction work (tekton,
artisans, ranging from trained assistants to highly leptourgos, xylourgos), but they are mentioned in
specialized experts (→ 10.5. Professional asso- passing in the sources. The word tekton was syn-
ciations; → 6.7. Weaponry and equipment B.) [5]; onymous with technites (building worker) in the
[7640–649]. For each individual building, a group of Middle Byzantine period.
artisans combined into a team led by a maistor
or protomaistor. Workers were called technitai or Bibliography
ergatai. Detailed information is lacking in many [1] J. Bardill, Brickstamps of Constantinople,
areas, such as training, wages and the ownership 2004 [2] J. Bardill, Brickstamps, in: E. Jeffreys
of tools. Many monks and occasionally soldiers are et al. (eds.), Oxford Handbook of Byzantine Studies,
also mentioned as building labourers [5544 f.]. 2008, 193–201 [3] J. Bardill, Building Materials
and Techniques, in: E. Jeffreys et al. (eds.), Oxford
Handbook of Byzantine Studies, 2008, 335–352 [4]
C.2. Architects/master-builders J. Bardill, The Mason’s Marks, in: J. Crow et al.
The profession of architect [9]; [14]; [1239–57] (eds.), The Water Supply of Byzantine Constantino-
was vaguely defined in Byzantium, and the dis- ple, 2008, 181–210 [5] C. Bouras, Master Craftsmen,
tinction from that of master-builder was blurred. Craftsmen, and Building Activities in Byzantium, in:
In the Early Byzantine period, architects were A. E. Laiou (ed.), The Economic History of Byzan-
generally trained in geometry, arithmetic and tium. From the Seventh through the Fifteenth Cen-
construction and called mechanikos or mecha- tury (DOS 39), vol. 2, 2002, 539–553 [6] C. Bouras,
nopoios, but master-builders were also known as Τρόποι εργασίας των βυζαντινών αρχιτεκτόνων και
αρχιμαστόρων, 2010 [7] H. Buchwald, Job Site
architekton. The best-known Early Byzantine fig-
Organization in 13th Century Byzantine Buildings, in:
ures in the profession were Anthemius of Tralleis S. Cavaciocchi (ed.), L’edilizia prima della rivoluzi-
and Isidore of Miletus, the architects responsible one industriale secc. XIII–XVIII, 2005, 625–667 [8]
for Justinian’s Hagia Sophia. The terms found in E. F. Castagnino Berlinghieri / A. Paribeni,
the Middle Byzantine period are oikodomos, mais- Byzantine Merchant Ships and Marble Trade, in:
tor and protomaistor. Few are known by name. It Skyllis 11/1, 2011, 64–75 [9] G. Downey, Byzantine
389 10.19. mechanics and machines

Architects, in: Byz 18, 1948, 99–118 [10] S. Gerstel / nople; cranes, transporters, water-powered stone
J. Lauffenburger (eds.), A Lost Art Rediscovered. saws at Hierapolis and Ephesus, 6th cent.) [8].
The Architectural Ceramics of Byzantium, 2001 [11] Keys and locks (bolted and warded) also followed
R. Kostova, Polychrome Ceramics in Preslav, 9th Roman models in their function [11]. Tactical and
to 11th Centuries. Where Were they Produced and
Used?, in: M. Mundell Mango (ed.), Byzantine
historical works describe military engines (bat-
Trade, 4th–12th Centuries. The Archaeology of Local, tering rams, catapults, siege engines), but by the
Regional and International Exchange (Papers of the 15th century, the Byzantines lacked the means to
Thirty-Eighth Spring Symposium of Byzantine Stud- finance the latest military innovation, the cannon
ies, Oxford 2004), 2009, 97–120 [12] R. Ouster- [10].
hout, Master Builders of Byzantium, 1999 [13] A.
Paribeni, Le sigle dei marmorari e l’organizzazione C. Hydraulic devices
del cantiere, in: A. Guiglia Guidobaldi / C. Bar- Hydraulic devices were capable of generat-
santi (eds.), Santa Sofia di Costantinopoli. L’arredo ing motion and sounds. A dialogue of Gregory of
delle Grande Chiesa giustinianea, 2004, 651–734 [14]
Nyssa (4th cent.) describes a machine that made a
A. Petronotis, Der Architekt in Byzanz, in: Baupla-
nung und Bautheorie der Antike, 1984, 329–343 [15] whistling sound when filled with water. The exam-
M. Restle, Maltechnik, in: RBK 5, 1995, 1237– ple is used to demonstrate the inanimate nature
1274 [16] M. Restle, Byzantinische Wandmalereit- of automata, which would not exist without
echniken. Ein Überblick über den augenblicklichen their inventors [7]. The best-known examples of
Forschungsstand, in: Anadolu ve Çevresinde Ortaçağ mechanical devices were found in the Byzantine
1, 2007, 89–109 [17] J.-P. Sodini, Le commerce des imperial palace, where the sovereign was theatri-
marbres à l’époque protobyzantines, in: Hommes cally presented to the accompaniment of acoustic
et richesses dans l’Empire byzantin, vol. 1: IVe–VIIe and optical effects. His throne in the Magnaura
siècle, 1989, 163–186 [18] J.-P. Sodini, Marble and Palace, for example, was an object of wonder. It
Stoneworking in Byzantium, Seventh–Fifteenth Cen-
turies, in: A. E. Laiou (ed.), The Economic History of
incorporated a hydraulic system for raising it into
Byzantium. From the Seventh through the Fifteenth the air. It also had model birds that twittered and
Century (DOS 39), vol. 1, 2002, 129–146 [19] K. lions that roared and lashed their tails, all against
Theocharidou, Συμβολή στη μελέτη της παραγωγής the background of organ music (→ 14.10. Musical
οικοδομικών κεραμικών προϊόντων στα βυζαντινά και instruments B.). Umara ibn Hamza, emissary of
μεταβυζαντινά χρόνια, in: DChAE 4/13, 1985–1986, the caliph al-Mansur, reported on this contraption
97–111. as early as 775 [9] and Liutprand of Cremona was
impressed by its technical gadgetry (949), which
Martin Dennert Constantine VII also described in De ceremoniis
(mid-10th cent.) [4].
10.19. Mechanics and machines Time was measured by the usual sundials, but
also by water clocks, as described by Procopius of
A. Introduction Gaza (6th cent.) [5]; [2] and later mentioned by
B. Mechanical devices Theodore Stoudites (8th/9th cents.) [1vol. 99, 1704C].
C. Hydraulic devices A combined sundial and calendar is preserved
D. Optical devices in London (on this mechanical apparatus of the
5th/6th centuries, see [6]; cf. fig. 11). A Greek
A. Introduction inscription at Palermo attests to the existence of
The classical texts on technology and mechan- a water-driven horologion (‘hour display’, ‘clock’)
ics were known to the Byzantines (e.g. Hero of in the reign of Roger II (dated to 1142), but this is
Alexandria, on whose lost work, a 1st-century ad unlikely to have been Byzantine in origin.
treatise On Vaulting, Isidore of Miletus wrote a Hydraulic devices were important in naval war-
commentary in the 6th century). Anthemius, who fare. Siphons could fire a flammable liquid (‘Greek
was the architect in charge of the construction of fire’) at enemy vessels (→ 6.3. Strategy A.; → 6.4.
the Hagia Sophia in Constantinople, was praised The navy B.).
as polymechanos for his mechanical inventions.
Roman inventions still remained in everyday use, D. Optical devices
particularly in the early Byzantine period. Leo the Mathematician (H1 9th cent.), cel-
ebrated as the designer and constructor of the
B. Mechanical devices automata in the imperial palace, was also said to
Especially in construction, Roman techniques have developed the beacon system that transmit-
survived without interruption (for working build- ted messages at high speed from the eastern fron-
ing materials, e.g. at Hagia Sophia in Constanti- tier to the palace in the capital [3].
10.20. markets and fairs, trade routes 390

2010 [9] G. Strohmair, ‘Únmara ibn Hamza, Con-

stantine V, and the Invention of the elixir, in: Graeco-
Arabica 4, 1991, 21–24 [10] F. Tinnefeld, Zur
Bedeutung schwerer Geschütze bei der Eroberung
Konstantinopels im Jahre 1453, in: Münchener Histo-
rische Studien, Abteilung Mittelalterliche Geschichte
7, 2001, 51–63 [11] G. Vikan / J. Nesbitt, Secu-
rity in Byzantium. Locking, Sealing and Weighing
(Dumbarton Oaks Byzantine Collection Publications
2), 1980.

Michael Grünbart

10.20. Markets and fairs, trade routes

A. Introduction
B. Predominance of maritime travel and trade
routes
C. Constantinople as the commercial hub
D. The provinces
E. Panegyreis: regional and transregional trade
fairs

A. Introduction
Fig. 11: Multifunctional device for telling the time Transporting raw materials to processing
(5th/6th cents.; reconstruction). The sundial can be used locations and products to consumers required
across a range of latitudes (from Thebes to Caesarea). adequate roads or other routes and suitable con-
The sophisticated mechanism can display the phases of veyances. Another chapter gives detailed descrip-
the moon, the day of the month and the positions of the tions of these routes (by land and water) and the
sun and moon in the zodiac. modes of transportation available in the Byzantine
period (→ 9. Transport, travel, logistics). In Byzan-
tine as elsewhere, marketing products and supply-
Bibliography ing consumers took place on several interrelated
levels. The Byzantine Empire was a predominantly
Sources agrarian society, and its broad foundation lay in
[1] PG mostly autarkic village communities (→ 8.7. Pri-
marily rural settlements; Farmers’ Law/Nomos
Secondary literature georgikos [5]; [14]). These villages met most of
[2] B. Anderson, Public Clocks in Late Antique their own needs by internal barter and obtained
and Early Medieval Constantinople, in: JÖB 64, 2014, only a few products – iron tools, textiles (→ 10.16.
23–32 [3] V. Aschoff, Über den byzantinischen Textiles) and sometimes pottery – from outside.
Feuertelegraphen und Leon, den Mathematiker Communities obtained the money to make
(Deutsches Museum, Abhandlungen und Berichte these purchases by selling their agricultural sur-
48,11), 1980 [4] A. Berger, Die akustische Dimen-
sion des Kaiserzeremoniells. Gesang, Orgelspiel und
pluses at local centres (e.g. the grain sold at
Automaten, in: F. A. Bauer (ed.), Visualisierun- Rhaidestos in the 11th century [23]) or seasonal
gen von Herrschaft (Byzas 5), 2006, 63–78 [5] H. markets where products in demand were also
Diels, Über die von Prokop beschriebene Kunstuhr on offer [31]; [24779–782]. The superstructure of
von Gaza. Mit einem Anhang enthaltend Text und this exchange system consisted of regional urban
Übersetzung der ἔκφρασις ὡρολογίου des Prokopios centres (e.g. Corinth, Thebes, Amorion, Trebi-
von Gaza (Abhandlungen der königlich preussischen zond, Attaleia) where crafts, trades and industries
Wissenschaften. Philosophische-Historische Klasse 7), worked or processed raw materials from the sur-
1917 [6] J. V. Field / M. T. Wright, Gears from rounding area [11512–519], sometimes then selling
the Byzantines. A Portable Sundial with Calendrical them in turn at transregional fairs (see below, E.).
Gearing, in: Annals of Science 42, 1985, 87–138 [7]
M. Ludlow, Science and Theology in Gregory of At the apex of this system, finally, stood Con-
Nyssa’s ‘De anima et resurrection’. Astronomy and stantinople, the imperial capital and, by medieval
Automata, in: Journal of Theological Studies 60, 2009, standards, a global metropolis. The city main-
467–489 [8] F. Mangartz / S. Wefers, Die byz- tained a vast demand for consumer goods [13],
antinische Steinsäge von Ephesos. Baubefund, Rekon- as well as for high-value goods, for which it was
struktion, Architekturteile (Monographien RGZM 86), an international trading centre over and above
391 10.20. markets and fairs, trade routes

local production. The economic life of the capital Asia Minor before turning south for Cyprus around
was subject to special state regulations, includ- Kalon Oros. From Cyprus, it then made for Palaes-
ing price controls (cf. Theoph. Cont. 87) and tina or Egypt. In the opposite direction, this was
controls on profit margins, strict demarcation of the route by which the grain fleets of Alexandria
business areas and restrictions on exports (→ 10.5. supplied the capital until the early 7th century.
Occupational associations; Book of the Eparch [3]; Route C was triangular and spanned the Black
[12404–414, 432–461]). Sea, running eastwards along its southern shore,
and northwards to the Crimea and the mouth of
B. Predominance of maritime travel the Dniester, from which came the traders of the
and trade routes Kievan Rus’.
In order to function, these interdependent
structures required raw materials and goods to cir- C. Constantinople as the commercial
culate within the overall system. Except over short hub
distances [2570–72]; [29401], transport by water was Shoppers in Constantinople found local and
a far more economical alternative to transport by other goods (Syrian clothiers, Book of the Eparch
land, in terms of both speed and volume (→ 9.3. [BE] 5.4 and 5.5, Bulgars of the Strymon region, BE
Modes of transportation by land; → 9.4. Modes of 9.1 and 9.6) in permanent shops: grocers and gen-
transportation by water). Naturally, there was no eral dealers in all quarters (BE 13.1), silk merchants
alternative to land transport in regions far from and furriers in the Forum of Constantine (BE 6.13;
the sea and navigable rivers, but this drove up Theoph. Cont. 420 [27]), jewellers in the Mese, the
prices locally and restricted the range of transre- main thoroughfare (BE 2.19), glassblowers south
gional goods on offer. Examples of this include of the Strategion [26202 f.], chandlers etc. outside
the laments of Leo of Synada/Phrygia (Epistle 43) Hagia Sophia (BE 11.1) and chemists in front of
and Nikephoros Basilakes’ (Epistle 4 [7114 f.]) com- the palace gate (BE 10.1). Like the moneychangers
plaint about the only (local) wine available at (BE 3.6), chemists worked from simple tables.
Philippoupolis. There were also specialized markets: a meat
It followed that most important trading centres market in the Strategion (BE 15.1), a cattle and
were located on coasts, and mercantile activity pig market in the Forum Tauri (BE 16.2) and a
was primarily associated with the sea (e.g. Theo- horse market in the Amastrianon [17314 f.]. ‘Books’
doret of Cyrrhus, Epistle 30,8; Themistius, Oration were on sale in the forecourt of the Basilica
4,52cd). Mastery of the sea routes (thalassocracy) arcades (Agathias 2,29,2). The Artopoleia/Artotyri-
was a key element of Byzantine policy. When it ana quarter at the junction of the Mese and the
faltered, the empire even faced repeated threats northern branch of the makros embolos (Portico of
to its very existence, e.g. from the Arabs between Domninos) offered bread and cheese along with
the 7th and 10th centuries or against the Italian food stalls (Patria Konstantinupoleos 2,46; Vita of
maritime republics leading up to the Sack of Con- Andreas Salos 28 and 38 [4]). In the late period,
stantinople in 1204. there was a food market in the general area of the
Three main sea routes (→ 9.2. Sea routes) Basilike Gate [26205 f.]. Another was held weekly
fanned out from Constantinople, reflecting the on Tuesdays outside the Hodegetria Monastery
political and economic dominance of the capital at this time [29404 f.]. The regulations of the Book
[18]. These trade routes are documented in written of the Eparch already indicate designated market
records and attested by shipwrecks and amphora days: linen and canvas manufacturers in the city
finds [2577–97]; [15]. were permitted to sell their goods only on such
Two of the routes overlapped as they set out days (BE 9.7), on which jewellers also had to be
from the capital, running through the Propontis present in their shops (BE 2.3). The rural base
and Dardanelles and into the Aegean. Route A and the global commercial metropolis collided in
westward – which in the Middle Byzantine period the form of the private fruit sellers from the city
increasingly began to be plied by merchants of suburbs [28].
Venice, Amalfi and Genoa – then turned to pass
the Chalcidice and ran southwest to Attica, before D. The provinces
rounding the Peloponnese (or via Corinth and a Cities across the empire reflect the picture
change of vessel) and hugging the coast of Epirus. painted of Constantinople above, but on a more
Ships then either continued into the Adriatic or modest scale. The archaeological evidence they
crossed the Strait of Otranto, rounded Calabria offer, however, is far more abundant.
and made for the Strait of Messina. The route Streets of shops have been excavated at
then forked once more, as one branch led north Corinth [306–27], Sardeis [22373] and Scythopolis/
to Rome and another turned southwest to North Beth She’an [16]. At Pisidian Sagalassus, post-
Africa. Route B, after passing through the Darda- holes and topos inscriptions show that semi-
nelles, followed the western and southern coast of permanent stalls were built in front of arcade shops
10.20. markets and fairs, trade routes 392

[22336–339, 368–370]. A 5th-century mosaic from Yakto ably reflecting not only the increasing presence of
(Daphne) near Antioch depicts itinerant sellers (western) merchants, but also the political frag-
of bread and fish, a butcher’s chopping block and mentation of the economic zone. Legally speaking,
fish being grilled on a grate [29402 f.], recollecting state concessions and controls on market rights in
the account of the sale of cooked food and sweets Byzantium were generally weakly enforced [1954–57,
in front of the church at Emesa given in the Life 60–64]. Special forms outside of religious contexts

of Symeon Salos [4]. A macellum at Antioch (Ioh. included markets set up to supply crusader armies
Mal. 12,7 [8]) was newly established as late as the as they passed through (→ 9.10. Logistics; Anna
4th century, while elsewhere (Philippi, Gerasa) Komnene, Alexias 10,5,9; 10,9,11), spontaneous mar-
such complexes fell into disuse in the 6th century kets that sprang up, for instance, when a merchant
[22367]. Sparta in the Peloponnese rose from the ship arrived at a small settlement (Kekaumenos,
main centre in the Eurotas Valley to a regional Strategikon [9122–124]) and markets in frontier
producer of → pottery (10.7.), then an international zones, such as those held at Berbaina and Nikli in
exporter of olive oil [20]. Thebes enjoyed similar the Frankish-Byzantine Peloponnese (panejours in
success with silk goods [20139 f.]. the Chronicle of Morea 802 [21295–297]).
Maps and plans: Map 3, Map 6, Map 8, Maps
E. Panegyreis: regional and 12–13, Maps 15–19; Plans 1–4; BNP Suppl. 3, 239, 247
transregional trade fairs
‘Festal assemblies of large crowds’ (the literal Bibliography
meaning of panegyris) had been held for religious
purposes in Antiquity [31198–200, 206–209], and these Sources
were also exploited for commercial purposes. Pau- [1] Das Leben des heiligen Narren Symeon von Leon-
sanias, for instance, describes the Festival of Isis tios von Neapolis, edited by L. Rydén, 1963 [2]
at Locrian Tithorea (Paus. 10,32), where animals, Timarione, edited by R. Romano, 1974 [3] Das
clothes and silver and gold wares were on sale (on Eparchenbuch Leons des Weisen (CFHB 33, Series
Vindobonensis), edited by J. Koder, 1991 [4] The
Delos cf. Str. 10,5,4). In the light of the expulsion Life of St. Andrew the Fool, 2 vols., edited by L.
of the traders from the Temple, early Christianity Rydén, 1995 [5] W. Ashburner, The Farmer’s
took a dim view of such profane accompaniments Law, in: JHS 30, 1910, 85–108 (critical edition) [6]
to the festivals for church patrons (Asterius of Asterius of Amasea, Homiles I–XIV, edited by C.
Amasea, Homily 3 [6]), but they remained a regu- Datema, 1970 [7] Nikephoros Basilakes, Ora-
lar component of panegyreis. tiones et epistolae, edited by A. Garzya, 1984 [8]
Religiously-motivated annual fairs show conti- John Malalas, Chronographia, edited by H. Thurn,
nuity in Syria and Palaestina long into the Arabic 2010 [9] Kekaumenos, Raccomandazioni e consi-
period [10285–289]. Particularly in rural regions of gli di un galantuomo, edited by M. D. Spadaro, 1998.
the Byzantine empire, these events met consumer
demands that had built up over the year, while Secondary literature
[10] A. Binggelli, Annual Fairs, Regional Networks,
also offering a social and communicative event.
and Trade Routes in Syria, Sixth–Tenth Centuries, in:
Regional and local events with often modest mon- C. Morrisson (ed.), Trade and Markets in Byzan-
etary turnover (tax yield of 4 nomismata at Ieris- tium, 2012, 281–296 [11] C. Bouras, Aspects of the
sos/Chalcidice, 2 at Akona near Pylos) made up Byzantine City, Eighth–Fifteenth Centuries, in: A. E.
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trade fairs with extensive catchment areas at (DOS 39), vol. 2, 2002, 497–554 [12] G. Dagron,
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manufacture illustrate how seasonal markets (e.g. östlichen Mittelmeerraum (4. bis 15. Jahrhundert),
Philadelphia or Madaba) also helped to expand 2010, 127–147 [14] M. Kaplan, Les hommes et la
the catchment area of products [32313–317]. Trade terre à Byzance du VIIe au XIe siècle. Propriété et
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The Economic History of Byzantium. From the Sev-
11. Art and architecture
11.1. The role of art in Byzantine society works, at most involving the replacement of fig-
ural representations with crosses. At the end of
A. Introduction the Eikonomachia in 843, the question of whether
B. Textual basis of pictorial themes anthropomorphic representations of Christ
C. Clients, users and addressees were permissible was decided, and images were
D. Artists and workshops accepted along with their ‘relative’ veneration. Art
E. Critiquing Byzantine art over time was now at the service of Orthodoxy, and it was
an integral component of imperial representa-
A. Introduction tion, liturgy, monastic life and private piety. The
Byzantine → art (11.3.) grew out of the Roman real heyday of Byzantine art in all genres now
art of Late Antiquity, which since the 3rd cen- quickly arrived, as the Macedonian Dynasty came
tury had developed a basic repertoire of Christian into power, and it reached another climax under
pictorial themes, mostly with allegorical (shep- the Komnenoi (11th/12th cents.; Middle Byzantine
herd, orans – ‘praying’) or paradigmatic meanings period). Byzantine art, especially painting, lived
(scenes of salvation from the Old and New Testa- on in exile and to some extent under western
ments), using traditional motifs. Because of the influence during the lifetime of the Latin Empire
precarious position of Christian congregations, (1204–1261), thriving in the Empire of Nicaea, the
such art was initially confined to hidden loca- Trapezuntine Empire, the Despotate of Epirus and
tions (catacombs, churches in houses), sepulchral the Kingdom of Serbia. The art of the Palaiologos
contexts (sarcophagi) and objects of the private Dynasty (1259–1453), especially in painting, then
sphere (e.g. lamps, beakers, signet rings). When took up these traditions and achieved a renewal.
Christianity was legalized under → Constantine
I (2.2.), Christian art emerged from the shadows B. Textual basis of pictorial themes
for the first time and gradually began to dominate Continuing without interruption the tradition
artistic output in all genres. When Christianity of Antiquity, Byzantine art was concerned with
was established as the state religion, art became a the human image that evoked the entire ‘sacred
mode of representation for a society whose world- cohort’ (Christ, Mary, the angels, saints and proph-
view was determined by Christianity, which per- ets in painting and sculpture; → 11.3. Art A., B.).
vaded all spheres of life. Roman art of the Early Initially, the main textual sources for images were
Byzantine period remained essentially uniform in the Old and New Testaments and the Apocrypha.
East and West, despite the division of the empire Later, saints’ lives (hagiography), church anthems,
in 395 and the fall of the Western Empire in 476. homilies by leading theologians and examples
The sea change that transformed the late from liturgical practice (Communion of the Apos-
Roman Empire into the ‘Byzantine’ state came in tles, Lamentation of Christ) were also used. There
the reign of → Justinian I (2.3.), when specifically were also pictorial renditions of events from eccle-
Byzantine artistic innovations marked a crucial siastical (e.g. councils) or imperial history taken
shift in sacred architecture (→ 11.2. Architecture from the traditions of the chronicles. The domi-
A.; Hagia Sophia) and image use (painting; → nance of Christian subjects among surviving works
11.3. Art A.). From now on, the centre of politi- does not mean that secular depictions (deeds of
cal gravity – and with it, the ambit of Byzantine emperors, triumphs, scenes of court, battle, the
art – shifted increasingly eastwards, towards the circus, work etc.) died out altogether, but surviv-
remaining, Greek-speaking parts of the empire, ing monumental evidence of them is rare.
although Byzantine culture without question
remained the ‘leading culture’ of the Middle Ages C. Clients, users and addressees
in the (eastern) Mediterranean and Balkans [8]. Art was commissioned and used by the Byz-
Over the centuries that followed, Byzantium exer- antine emperors, the elites of Constantinople
cised a formative influence over the culture and and the provinces, the Church (patriarchs, bish-
art of the Bulgars, Serbs and Russians. There was ops, clerics, abbots and monks), local communi-
intense cultural exchange with the Arabs and later ties and private individuals. Creations for private
with the Seljuk Turks (→ 15.5. The east). Despite everyday culture (→ 11.3. Art C.4.), which were
growing rivalry, Venice long saw itself as part of ordered and used by all segments of society, have
the Byzantine Empire and adapted Byzantine art long been undervalued. It was this sphere of
to its own needs. everyday art in which Christian imagery achieved
The two bouts of iconoclasm (→ 7.1. Doctrinal mass circulation. Pictures in public spaces and in
history C.) resulted only in slight downturns in churches that were generally or partially acces-
artistic production and minor destruction of art sible (in the imperial palace, in monasteries) were
395 11.1. the role of art in byzantine society

an important medium of visual communication. Little is known of workshop organization (e.g.

They functioned as media of government, church ‘painting schools’), the training of future artisans
and private self-representation, and in particular and artists or mobility (i.e. peripatetic workshops).
they provided ideological justification for exist- Pictorial programmes for churches were devised
ing social conditions. As pagan religions were in consultation with theological advisors, although
sidelined, Christianity, with its eschatological and mosaicists and painters would be well versed in
soteriological focus, became the sole generally canonical iconography and the meaning of picto-
accepted interpretative framework for the world rial content.
order. The Byzantine emperors saw themselves
as rulers on earth appointed by God and viewed E. Critiquing Byzantine art over time
their earthly empire as a reflection of the heav- Byzantine art has often been accused of never
enly Kingdom of Christ (→ 1.2. The concept of the having ‘evolved’. By the end of the Eikonomachia
emperor). Emperors and Church adopted sophis- in the 9th century at the latest, theological norms
ticated strategies of pictorial propaganda in the supposedly forced it into a rigid corset of fixed
public religious sphere, in order to exert a lasting iconographic formulae, preventing it from devel-
influence on the perceptions of their addressees. oping in an artistically ‘free’ way. This verdict,
Despite the close interrelationship between first delivered in the Italian Renaissance (Giorgio
imperial or courtly and ecclesiastical (including Vasari) and still resonating to this day, ignores
monastic) art, some specific differences can be the subtle processes of change that Byzantine art
observed. Monumental columns, obelisks and underwent over the eleven centuries of its his-
portrait statues served to glorify the emperor as tory. These clearly perceptible changes reflect the
the founder, benefactor or restorer of profane and evolving mentality of Byzantine society, which
sacred buildings and also served as vehicles of placed its own unique demands on images. Paint-
imperial representation (→ 11.3. Art B.). Images of ings of the 11th and 12th centuries in particular
the emperor together with Christ found their way (→ 11.3. Art A.) reveal an intensified spirituality and
into the decoration of sacred and representational emotionality that are reflected by many pictorial
spaces (→ 11.3. Art A.) and onto coins. Such images innovations and a style that became both natural-
promoted the idea of the congruence of the heav- istic and expressive.
enly and earthly kingdoms. It is essential that any modern interpretation
Ecclesiastical art served to convey fundamental of Byzantine art base its readings of paintings on
tenets of faith in pictorial language. Monumental authentic literary sources that reveal the chang-
painting in particular had to bring to immediate ing and frequently redirected perceptions of the
life the salvific works of Christ that the liturgy addressees. Careful distinctions must be drawn
mimetically celebrated. It precisely at the inter- here between the genre-specific qualities of lit-
section of church space and the liturgy that art erature (e.g. ecphrasis as the literary description
was deliberately deployed as a medium that could of a picture) and the ‘rhetoric’ of images them-
exert a multi-sensory influence. Gazing on and selves. The Byzantines’ shifting understanding of
contemplating artworks could lead to insight into art was greatly influenced by ever-changing litur-
the truths of salvation history. At the same time, gical practices and their accompanying liturgical
sacred art also reflected the articles of Orthodox commentary (Maximos Homologetes, 7th cent.;
faith and pictorial theology as laid down at the Germanos I, 8th cent.; Nicholas of Andida, 10th
seven Ecumenical Councils (→ 7.1. Doctrinal his- cent.; Simeon of Thessalonica, 15th cent.), and by
tory C.). discussions of art works conducted in the spirit of
philosophy and Neoplatonism (Michael Psellos,
D. Artists and workshops 11th cent.).
Although the names of many Byzantine archi- There are richly illustrated surveys of Byzan-
tects, painters and sculptors are preserved [3], tine art in [2]; [4]; [11], as well as many exhibition
there was no such thing as an independent ‘art- catalogues: [5]; [6]; [1]; [7]; [9]; [10].
ist’ in the modern sense. The responsibility of
particular guilds for precisely defined products as Bibliography
described in the Book of the Eparch of Leo VI is an [1] Byzanz. Pracht und Alltag (exhibition catalogue),
ideal; many artefacts consisted of different materi- 2010 [2] B. Brenk (ed.), Spätantike und frühes
als and involved the participation of several spe- Christentum (Propyläen Kunstgeschichte, Supple-
ment 1), 1977 [3] A. Cutler, Artists, in: ODB 1,
cialist makers (painters, goldsmiths, enamellers,
1991, 196–201 [4] A. Cutler / J.-M. Spieser,
gem-cutters; cf. → 10. Production and technol- Das mittelalterliche Byzanz, 725–1204, 1996 [5]
ogy; → 11.3. Art C.). Silk weavers and ivory carvers H. C. Evans (ed.), Byzantium. Faith and Power
(→ 10.14. Ivory) probably worked in ‘court work- (1261–1557) (exhibition catalogue), 2004 [6] H. C.
shops’, and silk production (→ 10.16. Textiles) was Evans / W. D. Wixom (eds.), The Glory of Byzan-
undoubtedly a strictly controlled state monopoly. tium. Art and Culture of the Middle Byzantine Era,
11.2. architecture 396

A.D. 843–1261 (exhibition catalogue), 1997 [7] H. such basilicas, there was usually a narthex (occa-
Hellenkemper (ed.), Der Schatz von San Marco sionally two, an exonarthex outside the esonar-
in Venedig (exhibition catalogue), 1984 [8] P. Sch- thex) and an atrium with fountain. The higher
reiner, Byzanz zwischen Kulturkonkurrenz und central nave, with an upper gallery of windows,
Leitkultur, in: N. Asutay-Effenberger / F. Daim
(eds.), Der Doppeladler. Byzanz und die Seldschuken
was usually twice as wide as the side naves. The
in Anatolien vom späten 11. bis zum 13. Jahrhundert, rows of columns dividing the naves were linked by
2014, 11–24 [9] C. Stiegemann (ed.), Das Licht aus arcades or topped with an architrave. Sometimes,
dem Osten. Kult und Alltag im Byzantinischen Reich the side aisles had a gallery storey. Occasionally,
vom 4. bis 15. Jahrhundert (exhibition catalogue), additional wings spread out to the sides, lending
2001 [10] M. Vassilaki (ed.), Mother of God. Rep- the space in front of the apse the character of a
resentations of the Virgin in Byzantine Art, 2001 [11] transept, or the ‘arms’ of a cross. The pitched roof
W. F. Volbach / J. Lafontaine-Dosogne, Byz- allowed either an open beamed ceiling or a closed
anz und der christliche Osten (Propyläen Kunstge- coffered ceiling.
schichte 3), 1968.
All these elements can be derived from profane
Arne Effenberger Roman basilicas, but with qualifications. The new
concept was first realized in the five-naved Lat-
eran Basilica in Rome, endowed by → Constantine
11.2. Architecture I (2.2.) ca. 313, but its reconstruction is based only
on sparse remains [1418–36, 259–262]. The ambulatory
A. Sacred architecture (4th–14th centuries) basilicas in Christian burial areas, which served
B. Profane architecture the martyr cult, are a form unique to the city of
Rome [1455–91]. Some are associated with a round
A. Sacred architecture tomb building, the same combination as seen in
(4th–14th centuries) the Constantinian Church of the Holy Sepulchre
in Jerusalem. The form of basilica typical of Con-
A.1. Beginnings stantinople is found in the partially preserved
A.2. Church architecture Church of St. John Prodromos in the Monastery of
A.3. Special forms of sacred architecture Stoudios (453/63; → 8.10. Constantinople). It had
galleries linked to the upper storey of the narthex,
A.1. Beginnings creating an ambulatory on three sides [40147–152].
Before the official recognition of Christianity An apse encased on three exterior sides forms a
in the reign of Constantine, it appears that wor- distinct space in the east. One of the accesses at
ship took place in domestic chapels, which later the eastern ends of the aisles led to an outside
evolved from private property into congregational skeuophylakion (see below, A.3. (3)). Across the
centres run by churches [13]. The only example as empire, there were also centrally oriented build-
yet confirmed by archaeological evidence is the ings with various ground plans: circular (Rome,
church that occupied an altered dwelling-house Santo Stefano Rotondo, 5th cent. [14200–214]), octag-
in Dura-Europus (ca. 241); it contained an assem- onal (Ravenna, San Vitale, 536/37–547 [34232–237])
bly room and a baptistry decorated with paintings. or cruciform (Milan, San Simpliciano, 5th cent.
[3482 f.]).
A.2. Church architecture
A.2.2. Domes
A.2.1. Basilica Early Byzantine architecture was also domi-
A.2.2. Domes nated by the search for solutions that would
A.2.4. Eight-pier and ambulatory forms permit a cupola to be built over a rectangular sub-
A.2.5. Symbolism of the church building structure [49]. One innovative variation on the
double-shelled, domed central-plan building was
A.2.1. Basilica the Church of Sts. Sergius and Bacchus in Constan-
Surveys of the history of Byzantine sacred tinople (ca. 524/27) [40177–183]. The lost Justinianic
architecture may be consulted in [38]; [34]. The Church of the Holy Apostles had five low domes
basic form of many churches was the three-naved over the centre and the four arms of the cross. It
or five-naved basilica. Typical features included served as the prototype for the Church of St. John
the longitudinal focus of the hall-like space, with at Ephesus [58] and the second St. Mark’s Basilica
a generally separated apse usually located at the in Venice [1870–100]. The fusion of the longitudinal
eastern end, where the altar and synthronon (rows and central-plan designs then gave rise to the
of priests’ benches) were located along with the domed basilica. Examples include Hagia Eirene
bishop’s cathedra. The inner arrangement and at Constantinople, the Justinianic core of which
sculptural decoration (→ 11.3. Art B.) were deter- was partially renovated in 753 with the addition
mined by the liturgy. At the western extremity of of a dome support to the west; Hagia Sophia in
397 11.2. architecture

Fig. 1: Interior of Hagia Sophia, Istanbul (ca. 536/557 and later). The main dome (diameter ca. 31 m, apex height
55.6 m) of Hagia Sophia rests on broad, weight-bearing arches that bear on the four massive main pillars (on the
weight-bearing system, cf. [3772–83, fig. 88 f.]). In the east and west, the thrust of the dome is taken up by another
half-dome. In the east, the distribution of the weight continues under the half-dome in the triple structure of the
apse and two diagonal exedras, each of which in turn has its own semi-dome. In the west, a straight wall defined
the midpoint between the diagonal exedras. Here, the sheer load is absorbed by the two-storey inner narthex
and the diagonal exedras. The dome is ribbed with pendentives, the first time this design was executed in full.
Its diameter is the same as the lengths of the sides of the square beneath it, the corners of which are marked by
the four main pillars (inner circular dome). It rises above an imaginary second dome (outer circular dome) with
a diameter equivalent to the diagonal of the square under the dome. All that remains of this is the spherical
pendentives, but these still form an essential element of the weight-bearing structure. Natural light is admitted at
the base of the ribbed main dome through an array of forty windows (a solution first seen in the Church of Sts.
Sergius and Bacchus), what were originally two rows of round-arch windows in the side arch wall, openings in the
half-domes and the apse, and the great window in the western wall.

Thessalonica, ca. 780; and the Koimesis Church at Megas Agros near Kurşunlu [4512–14]. At Constan-
Nicaea, 8th century [456–12]. tinople, the northern church of the Monastery of
The Justinianic Hagia Sophia (→ 8.10. Constan- Lips, dedicated to the theotokos (‘she who bore
tinople; cf. fig. 1) introduced wholly new architec- God’) [40126–131], offers the classic profile of the
tural, static and spatial solutions. ‘complex’ cross-in-square type, although it also
incorporates a broad range of variations: an equal-
A.2.3. Cross-in-square church armed cross is inscribed within the overall form of
The cross-in-square church emerged in monas- a rectangle or near-square, giving nine component
tic contexts towards the end of the 8th century ‘bays’.
[55]. The earliest examples on the southern shore The central space is defined by four pillars set
of the Sea of Marmara are Tirilye/Zeytinbağı and at the corners of a square. These bear a segmented
11.2. architecture 398

dome that sits atop an octagonal, dodecagonal or The eight-pier design permitted a larger dome
hexadecagonal tambour. Because the pillars bear diameter (ca. 9 m in the case of Hosios Loukas)
the main load, statics dictate that the diameter and a more spacious naos. The apse extensions are
of the dome generally may not exceed a limit of also directly accessible from the vaulted naos.
5–6 m. The dome diameter then gives the dimen- Another innovation was the ambulatory
sions of all the bays. The square under the dome church, which can be seen in the core dating
opens on four short, barrel-vaulted cross arms. from the Komnenian period in the Church of the
The four square bays in the corners, the corner Theotokos Pammakaristos [25144–169], but which
compartments, have coved or groin vaulting. The was presumably already the form of the original
eastern cross arm adjoining the dome bay then Hagios Andreas en te Krisei built in the reign
leads into the elongated, barrel-vaulted bema, of Basil I (9th cent.) [40172–176], recurring in the
or altar area, and the polygonal apse, which pro- Palaiologan southern church at the Monastery of
trudes out of the overall rectangular shape. Each Lips [40126]. The dome in the ambulatory design
of the two corner compartments at the east end rests over the naos on four free-standing pillars,
has an equivalent apse-shaped extension called a and two columns stand between these pillars on
parabema that functions as a small chapel, with the northern, western and southern sides, with a
passages linking both to the main bema between. corridor running round the central space under
The main bema is segregated from the naos (the the dome on those three sides. The bema and apse
congregational space between the narthex and adjoin to the eastern side, with parabemata at the
the bema) by a stone templon, in the middle of ends of the corridors to the sides.
which the ‘sacred doors’ lead into the thysiaste-
rion containing the altar, to which only the clergy A.2.5. Symbolism of the church
are admitted. More chapels (eukteria) were some- building
times added to the sides of the parabemata, and The symbolic interpretation of church build-
annexes sometimes ran along the full length or the ings, whereby their interior and individual parts
northern or southern flanks. were understood as a mystical representation of
The eastern front presented a façade of three or heaven, began with Eusebius’ panegyric for the
five apses. A narthex, one or two storeys high, stood dedication of the church at Tyre (317), which
at the western front. The four upper chapels of the was still designed as a basilica. Particularly
northern Lips church had altars and served to hold under the influence of Pseudo-Dionysius Areop-
relics and to host ‘private’ liturgy [54]. Bays above agites’ doctrine of the two ‘hierarchies’, the idea
the parabemata and the western corner compart- that the earthly liturgy reflected the heavenly
ments will have required a two-storey narthex and came to pervade ecphrastic (Paulus Silentiarius,
a staircase or stair tower. During the Palaiologan 6th cent.), mystagogic (Maximos Homologetes,
period, two or three tambour domes were often 7th cent.; Patriarch Germanos I, 8th cent.; Simeon
built over the narthex/exonarthex. Their modest of Thessalonica, 15th cent.) and homiletic litera-
dimensions meant that cross-in-square churches ture (Patriarch Photios, 9th cent.).
could only hold small congregations. They were
the preferred form for monastery churches (katho- A.3. Special forms of sacred
lika), which meant that the monastic liturgy architecture
(→ 7.2. Sacraments, liturgy and pastoral care B.) Apart from the church itself, Byzantine sacred
had to be adapted to the new spatial form, which architecture had a number of other special forms:
also dictated the system of pictorial decoration in (1) Parekklesia: Under the Palaiologoi, a parek-
the Middle Byzantine period (→ 11.3. Art A.1.2.). klesion was added to the south sides of some mon-
astery churches to serve as the burial place for
A.2.4. Eight-pier and ambulatory their founder. The architectural structure of these
forms parekklesia distinguished them from side chapels
The eight-pier church emerged in 11th-century and corridor-like annexes, which were generally
Constantinople [26] and achieved its full-fledged narrow (cf. fig. 2).
form in the katholikon of the Hosios Loukas mon- (2) Baptistries: Every episcopal church had a
astery in Phocis (H1 11th cent.) [44]. In this design, baptistry for the performance of the rite of bap-
the dome rests on eight equal weight-bearing tism (Early Byzantine material in [52]). Some were
arches that form an octagon and are supported by separate from the church complex, others inte-
eight pillars. Arches connect these pillars with each grated into it, and their ground plans and building
other, with the adjoining walls and with the exter- forms varied greatly. At the centre of every baptis-
nal walls on both storeys. Another characteristic try was a cruciform, polygonal or circular piscina
feature is the angled arch structures (squinches) (font), which was usually sunk into the floor.
under the diagonal arches, which form a transition (3) Skeuophylakia: The skeuophylakion was
from the square below and the round arch above. the church treasury, for the safekeeping of the
399 11.2. architecture

Fig. 2: Parekklesion of the Church of the Theotokos Pammakaristos, Istanbul (now Fethiye Camii; between 1302/03
and 1305/08). This parekklesion was built to the cross-in-square design [39]; [20]. The façade is typical of the
Palaiologan period in that it no longer fully reflects the internal division of the space. The three zones are vertically
divided by stepped blind arches, blind niches and tribelons. A marble sill is inserted between the first and second
zones, bearing a funerary poem by Manuel Philes (13th cent.) in embossed lettering. In it, the nun Maria-Martha,
who completed the building, laments the death of her husband Michael Doukas Glabas Tarchaneiotes, with whom
she had renovated the Pammakaristos monastery. A metrical brick inscription is inserted above the central section
of the upper zone, revealing the name and title of the founder. A two-row sawtooth frieze forms the eaves, making
an arched vault over the narthex window and naos tribelon.

Gospels and liturgical equipment and garments. It main church building in the Palaiologan period,
was separate from the church. The only example probably inspired by the Campanile of San Marco
to survive in Constantinople is the Theodosian in the Venetian quarter of Constantinople. They
skeuophylakion to the northeast of Hagia Sophia are attested for Hagia Sophia (already built over
[4090, fig. 75]. This was the starting point of the Small the western buttresses during the Latin period),
Entrance, in which the priest and deacon took the the Church of the Theotokos Pammakaristos, the
Gospels into the church, and the Great Entrance, church that is now the Vefa Kilise Camii, the Chora
in which they brought in the liturgical vessels – Church and the Monastery of John the Baptist in
diskos and chalice – and the consecrated offerings the Rock.
of bread and wine. It appears that this was also, (5) Episcopal buildings: These were sacred
initially, the place where the priest performed the buildings insofar as they were generally connected
Liturgy of Preparation (proskomedia) of the bread to the complex of an episcopal church and, being
and wine that is first recorded in the 8th century the official seat of a bishop, primarily served
(→ 7.2. Sacraments, liturgy and pastoral care B.). episcopal purposes (administration, archive,
This tended to be done in the northern parabema library, charitable institutions). There is archaeo-
in Middle and Late Byzantine churches. logical evidence of numerous church complexes
(4) Bell towers: Some existing churches were with episcopies ([46]; on the Early Byzantine
provided with bell towers standing apart from the period [50]).
11.2. architecture 400

(6) Monasteries: Anchorite and coenobitic B.2. Urban structures

monasteries are well researched in the Eastern The Christianization of cities proceeded dif-
Roman sphere (Egypt, Palaestina, Syria) [24]. ferently from region to region [53]. As the Chris-
Although there were already 73 monasteries tian population grew, bishops, local elites and
within the city of Constantinople by 538, little is Christian residents increasingly came to domi-
known of their extent or architecture. The best nate urban culture. Pagan sanctuaries were closed
researched is the Komnenian monastery of Christ down, repurposed or turned into sources of mate-
Pantokrator (cf. most recently [33]): the typikon rials. Ecclesiastical buildings radically altered the
of 1136 provides particularly useful information urban fabric of cities and towns, defining their
on the facilities of the buildings (accommodation ‘sacred topography’. The demographic decline
for 80 monks, gerokomeion, infirmary). However, that set in in the 6th century and the constant
nothing survives except the church complex and danger posed by invading foreign tribes subse-
a few cisterns [40209–215]. Intact structures outside quently led to the radical contraction of urban
Constantinople include St. Catherine’s Monastery areas in many places, as many old buildings were
on the Sinai [22], Hosios Loukas in Phocis [44] abandoned and their materials quarried to build
and in particular the monasteries of Mount Athos new fortifications. Only a few major cities, such as
[43]. For the Late Byzantine period [47], the peri- → Constantinople (8.10.) and → Thessalonica (8.11.),
orismos (description of monastery boundaries) of escaped this general decline. According to the
the monastery of the Theotokos Bebaia Elpis gives sources, Constantinople had around 1,000 Chris-
an exact picture of the extent of a monastery [19]. tian sanctuaries (churches, monasteries, chapels),
(7) Pilgrimage centres: Beginning in the late including around 130 churches dedicated to the
4th century, local saints’ memorials began to Virgin Mary [28]; [36]. Cross-referenced historical
develop into important pilgrimage centres (→ 9.7. and topographical details generally permit their
Pilgrimage; on pilgrimage cf. [32]). Famous east- location within the city to be identified. Around
ern pilgrimage destinations, some with surviving 50 churches survive (most of them converted to
architecture, include the Abu Mena Monastery in mosques soon after 1453) or are archaeologically
Egypt [23210–216], the sanctuary of Simeon Stylites documented. In only 21 cases are the Byzantine
the Elder at Qal‛at Sim‛ān in northern Syria [15226 f., patrons known [4072–215].
fig. 57, fig. 231–237], Alahan Manastırı in Cilicia [2193 f.] The Notitia urbis Constantinopolitanae, dating
and the Sanctuary of St. Thecla (Aya Tekla) at Sil- from around 423/30, gives a comprehensive list of
ifke (Seleucia on the Calycadnus), also in Cilicia many buildings in Constantinople [12trans. and comm.
[2441–443]. Some urban churches like Hagios Deme- 349–387]. Although not every building in the twelve

trios at Thessalonica were also of great importance urban regions contained within the Constantin-
as pilgrimage sites [9]. ian walls and the two districts outside them is
named, the structure of the imperial metropolis
B. Profane architecture revealed here is clearly the result of urban devel-
opment since the reign of Constantine, and espe-
B.1. Introduction cially of the building policies of Theodosius. Apart
B.2. Urban structures from the fact that some buildings that shaped
B.3. Palaces the urban profile were not built until later or are
B.4. Hippodrome known only from the sources, some buildings
B.5. Squares and columns mentioned existed in this form only in Constan-
B.6. Public buildings tinople. Archaeological identification is rarely
B.7. Emboloi and streets possible, which means that little can be known
B.8. Fortifications regarding their appearance. Some of these struc-
B.9. Urban quarters and residential buildings tures (forums, colonnaded streets), administrative
B.10. Urban infrastructure: building functions and and official premises and purpose-built facilities
types (theatres, baths, nymphaea, horrea, harbours,
wharves, cisterns) also existed in many other Byz-
B.1. Introduction antine towns and cities.
There is no systematic survey of Byzantine There was construction on a grand scale in
profane architecture. Some building types have Constantinople and throughout the empire during
been examined in archaeological or historical and the reign of → Justinian I (2.3.; 527–565). According
topographical studies of particular landscapes and to Procopius (Procop. Aed. 1,1–11; cf. also [118–79]),
localities, but the seminal works on Byzantine the emperor had 32 churches and numerous pro-
architecture focus primarily on sacred buildings fane edifices newly built or rebuilt in the capital
and mention the profane only in passing. The and its surroundings alone. In doing so, he shaped
countless surviving castles and forts will not be the face of the imperial capital for centuries to
discussed here: the existing TIB volumes should come. After the great earthquake of 741, Con-
be consulted. stantine V (741–775) ordered a comprehensive
401 11.2. architecture

reconstruction programme, which secured the stand of the Hippodrome. Reconstructions of the
city’s future [35]. Another major refurbishment original complex, particularly the design of the
after the earthquake of 869 was instigated by spina (the central barrier), have helped clarify
Basil I (867–886). Basil’s biographer, Constan- the spatial relationship between the emperor’s
tine VII Porphyrogennetos (913–959), makes him lodge, the Walled Obelisk (colossus) and the
responsible for the renewal of 25 churches and Obelisk of Theodosius (→ 11.3. Art B.1.2.) [17]. The
the construction of numerous charitable facili- colossus, built of stone blocks, was originally clad
ties in the capital alone. A last great restoration in gilded bronze sheets.
programme began after the recapture of the city
in 1261, focussing primarily on churches and B.5. Squares and columns
monasteries, but also including many profane Little remains of the many squares (Augus-
buildings [31]. taeum, Forums of Constantine, Theodosius, Arca-
dius and Marcian, Bous/Forum Bovis, Strategion,
B.3. Palaces Amastrianon, Philadelphion, Pittakia etc.) attested
The Great Palace of Constantinople was in the sources [8143–246] and of the original 25 impe-
a unique case, incorporating as it did many rial columns that stood in some of these spaces
churches and profane buildings (e.g. reception with a statue of an emperor on top [30124–204]:
and dining halls, residential apartments, pillared in the Forum of Constantine the Porphyry Col-
halls, barracks, gardens, a polo stadium) and umn [8173–177], from the Forum of Theodosius the
enjoying the status of a sacrum palatium by virtue remains of a monumental gate [40258–265] and frag-
of its ceremonial function. The complex evolved ments of the spiral relief from the column, the
over several centuries. The western part, includ- plinth of the Column of Arcadius (→ 11.3. Art B.1.2.,
ing the Palace of Boukoleon, was sectioned off B.1.4.). Ironically, no source mentions the Column
by an encircling wall in the reign of Nikephoros of Marcian, which still stands [4054 f.], or the forum
II Phokas (963–969). The only parts of the exten- in which it probably belonged. Remains of another
sive site to have been excavated are the substan- column, probably of Leo I, are found in the second
tial remains of the substructures, a few protruding courtyard of the Topkapı Sarayı [48]. Many col-
building elements and a peristyle with mosaics umns with statues were also put up for members
dating from the 7th century [40225–247]. Specula- of the imperial family. Some stood in locations
tive reconstructions of the entire complex based where regular processions passed by, thus empha-
on sources, especially De ceremoniis from the reign sizing the omnipresence of the emperors in their
of Constantine VII Porphyrogennetos, have shed city. The representational programme of the Phila-
only limited light on the sequence and identifica- delphion or Capitol included an obelisk of Theo-
tion of the three levels of buildings [7]. Likewise dosius I and the Porphyry Tetrarchs, later looted
only substructures survive of the Blachernae Pal- by the Venetians [21]. Another obelisk stood in the
ace, which underwent a phase of lavish expansion Strategion.
under the Komnenos emperors [5]. Only the last
palace building, the Tekfur Sarayı, is partially pre- B.6. Public buildings
served [40244–246]. Substructures of the Palace of All that can be known of the public buildings
Mangana constructed by order of Constantine IX mentioned in the Notitia and other topographical
Monomachos survive in the vicinity of the Topkapı sources (Patria Konstantinupoleos, ca. 990 [10];
Sarayı on the Marmara seawall [40136 f.]. Of the amphitheatre, Anemodoulion, Chalkoun Tetrapy-
private palaces, remnants of the Antiochos and lon, Capitol, Milion, Modion, mint, sports grounds,
Lausos Palaces and the Myrelaion are preserved theatres), at most, is an idea of their location and
[40122–125, 238–242]. structure gleaned from descriptions. The same
applies to official buildings (praetorian prefecture,
B.4. Hippodrome prytaneion, tribunals). The only concrete refer-
All that remains of the Hippodrome, the last ence points are for the two senate buildings in the
structure of its type to be built, probably in the Forum of Constantine and the Augustaeum [11].
reign of Constantine as part of his residence, is The official seat of the praetorian prefect per Ori-
the substructures of the sphendonai (curved ends entem was in Regio II near the Acropolis. When
of the racing track). Excavations have identified the Temples of Artemis and Aphrodite located
other parts [4064–71]. It was built directly adjacent here were desacralized, the latter was added to
to the Great Palace in imitation of the arrangement the praetorian prefecture as a depot in the reign of
in Rome (with the Circus Maximus at the foot of Theodosius I [12359 f.]. There appears to be a surviv-
the Palatine), which was also imitated in many ing remnant of the Milion, the symbolic milestone,
tetrarchic residences. The part of the Great Palace but it is unclear how this might have related to
called the kathisma, with the emperor’s lodge and the building described in the sources as a domed
the kathisma gate, was connected to the southern tetrapylon [40216–218].
11.2. architecture 402

B.7. Emboloi and streets of Chalkoprateia (→ 10.9. Non-ferrous metals C.).

The geomorphological structure of Constan- No more than conjecture can be offered regard-
tinople rules out any assumption that the street ing the nature of the 4,388 houses listed under
grid was regular. The most important street, called the simple heading of domus in the Notitia. The
the Rhegia, began at the main Chalke Gate of the different numbers of houses in the various urban
Great Palace, and led past the Augustaeum and regions suggests that multi-storey tenement blocks
Milion to the Forum of Constantine. From here, were the dominant type in the quarters along the
its name changed to the Mese (‘Middle’) and it led Golden Horn and Propontis (on Byzantine houses
on to the Capitol, where it split into three arterial cf. [57]). The residential buildings of 13th-century
thoroughfares. As in some eastern cities of the Byz- Pergamum are well researched [51]. The palaces of
antine Empire, the main streets were colonnaded the elite were located along the Propontis shore,
on both sides with ‘porticos’ (emboloi) [42], estab- on the fourth and fifth hills and on the Proasteia in
lishing the ‘eastern’ character of Constantinople the still-rural belt between the Constantinian and
along with the circular Forum of Constantine. The Theodosian Walls.
named gates in the Theodosian Walls [471–106] and
the two sea walls along the Propontis and Golden B.10. Urban infrastructure: building
Horn fitted into an inner-city street grid, but it can functions and types
only approximately be reconstructed [6]. As the urban infrastructure evolved, building
functions were applied to profane architecture,
B.8. Fortifications leading to the emergence of specific building types.
The largest urban fortification ever built in Late (1) Baths and bathhouses: The only excavated
Antiquity and the Middle Ages was the Theodo- baths in Constantinople are the remains of the
sian Wall of → Constantinople (8.10.). Begun in Baths of Zeuxippus and a number of smaller bath-
404, in the reign of Arcadius (395–408), the Theo- houses [4048–51]. The Notitia records eight public
dosian Wall was completed under the direction baths and 153 private bathhouses for 425/30.
of the praetorian prefect Anthemius in 413 [4]. It (2) Supply facilities: Essential supply facilities
comprised a main wall with zwinger, outer wall included granaries, food markets, bakeries and
and moat. Ahead of the main wall, 94 or 95 rect- bread distribution centres, and the Notitia gives
angular (or, at bends in the wall, polygonal) tur- exact details of their numbers and distribution
rets were built at intervals of between 50 and 70 across the city. Artopoleia seem to have been a
m. The outer wall runs 15 m outside the main wall, kind of large bakery. Much of the urban populace
and its curtain walls had casemates and a walk- was provided with bread free of charge. In terms
way protected by battlements. The rectangular or of architecture, granaries probably resembled the
horseshoe-shaped turrets in the outer wall were familiar Roman granaries (Andriaca, Patara).
staggered between those of the main wall. The (3) Water supply: Water was a problem at
eight main gates (whose arches were reduced in Constantinople, which lacked its own resources
size in the Middle Byzantine period) with outer (except the Lycus stream and a few springs). The
gates aligned with them, were each flanked by first long-distance supply line, established by
two gate turrets. The moat, which was 18 m wide, Hadrian, supplied the urban area up to around 30 m
reinforced with walls on both sides and filled with above sea level, but the expansion of the Con-
water, was 15 m outside the outer wall, and it stantinian city meant that areas up to 50–60 m
was probably created only around 1000. Wooden above sea level now required drinking water. The
bridges over it could be quickly dismantled in Valens Aqueduct [40273–277] was part of a system
response to an attack (the stone bridges now in of canals, bridges and tunnels that brought fresh
place date from the Ottoman period). The Theo- water over 120 km from the Thracian hinterland
dosian Walls expanded the urban area to a total to a great nymphaion north of the Forum of Theo-
of around 12 km² and pushed the boundary of the dosius [16]. The aqueduct, with a surviving length
city around 1.5 km westwards. There is another of around 800 m, runs at a height of around 59.5 m
well-preserved city wall at Nicaea [56]. above sea level, and spans the dip between the
fourth and third city hills, with two rows of arches
B.9. Urban quarters and residential along most of its length. Water was also supplied
buildings to the city via large, open reservoirs (Cisterns of
The boundaries of the 12 regions of the city Aetius, Aspar and Mocius), and via many subter-
of Constantinople can only approximately be ranean cisterns, which primarily stored rainwater
reconstructed [12]. Most industrial activity and (list: [16144–155]). Subterranean cisterns (cf. fig. 3)
the residential quarters with the densest popula- sometimes served as the substructures of churches
tions lay along the coasts because of their access (e.g. Church of the Theotokos Pammakaristos [40
to the harbours. The location of the coppersmiths’ fig. 125a]), squares (Basilica Cistern/Yerebatan Sarayı

(chalkoprates) quarter is known because of the [40283–285]) and other buildings (Philoxenos/Bin-
presence there of the Church of the Theotokos birdirek [40280]) built over them.
403 11.2. architecture

Fig. 3: ‘Cistern of Theodosius’, Turkish Eşrefiye Sarıncı, Istanbul (5th/6th cents.). The cistern (length 43
m, width 25 m) under a modern building has 4 rows of 8 columns, giving 5 aisles. The granite column
shafts on unworked bases with rough plinths are topped with likewise unfinished Corinthian capitals
with high, unworked imposts. Above these are masonry arches linking all supports longitudinally and
diagonally. The 36 bays are roofed with brick coved vaulting. The floor consists of regular, carefully
fitted stone flags. The inner walls were coated with a waterproof plaster. The cistern held around 9,000
m³ of water. Particularly on the precipitous slopes of the city, underground cisterns often functioned
as substructures for buildings built over them, often churches, and thus fulfilled a double purpose: to
collect rainwater, and to elevate the building onto a kind of terrace, thus aligning it with the level of its
surroundings.

(4) Harbours and piers: The first detailed pic- [416, 10 f.]. Another arsenal with covered docks
ture of a harbour of Constantinople [416–36] was (attested in western accounts of Constantinople)
obtained when the Harbour of Theodosius was stood to the east of the Kontoskalion Harbour in
excavated prior to the construction of the Mar- the Late Byzantine period [4126 f.]. The Seljuk Ter-
maray metro line [3]. Because the harbours along sane (arsenal) of Alanya still offers an idea of such
the Propontis were mostly silted up and could covered docks, containing five berths.
only be kept open to shipping with considerable (6) Traffic infrastructure: The long-distance
effort, the entire Golden Horn ended up as the real road network of Cappadocia offers an example of
port of Constantinople, even though the only har- roadbuilding [27]. Many river bridges survive (see
bours there were originally the Prosphorion and the TIB volumes already published). One famous
Neorion. It was here that most piers (scalae) were example is the Justinianic bridge over the San-
located, the largest being the Heptaskalon [10466]. garius [59]. It is 429 m long and has twelve arches
Lighthouses were important to shipping. There is of different spans. There was a triumphal arch at
reliable evidence for a Byzantine pharos at Con- the western end, and a conch building still stands
stantinople, on the sea wall near the Great Palace. at the east (cf. the well-known 1838 drawing by
(5) Wharves: There was an old wharf west of Léon de Laborde). The Karamağara Bridge over
the Neorion Harbour, and an Early Byzantine the Arapkır Çay, now vanished into the Keban
wharf seems to have been located near the later Reservoir, exemplifies the single-arch type [27144 f.,
Tersane-i Amire of Kasımpaşa on the northern figs. 104–107].

shore of the Golden Horn (the Notitia mentions (7) Tombs: Besides the round imperial mau-
navalia in Regio 13). It is questionable whether solea of Rome and Constantinople [29], mention
there were already covered docks here (arsenals) should also be made of the hypogaeum north of
11.2. architecture 404

Silivrikapı on the Theodosian Walls, which con- Brenk (ed.), Spätantike und frühes Christentum (Pro-
tains a programme of trompe-l’oeil relief sarcoph- pyläen Kunstgeschichte, Supplement 1), 1977 [16] J.
agi (→ 11.3. Art B.1.5.) and is the most important Crow et al., The Water Supply of Byzantine Constan-
example of private sepulchral architecture. In the tinople, 2008 [17] G. Dagron, L’hippodrome de
Constantinople. Jeux, peuple et politique, 2011 [18]
Middle and Late Byzantine periods, the narthices, O. Demus, The Church of San Marco in Venice. His-
annexes and parekklesia of churches (see above, tory, Architecture, Sculpture, 1960 [19] A. Effen-
A.3. (1); cf. fig. 2) were used for elite burials. Such berger, Die Klöster der beiden Kyrai Martha und
tombs often took the form of arcosolia and were die Kirche des Bebaia Elpis-Klosters in Konstantino-
lavishly decorated. pel, in: Mill 3, 2006, 255–293 [20] A. Effenberger,
(8) Charitable institutions: The many chari- Zur Restaurierungstätigkeit des Michael Dukas Gla-
table institutions of Constantinople – gerokomeia bas Tarchaneiotes im Pammakaristoskloster und zur
(homes for the elderly), hospitals, xenodocheia Erbauungszeit des Parekklesions, in: Zograf 31, 2006–
(hostels or infirmaries) and the complex of the 2007, 79–93 [21] A. Effenberger, Zur Wiederver-
wendung der venezianischen Tetrarchengruppen in
orphanotropheion (orphanage) – are known only
Konstantinopel, in: Mill 10, 2013, 215–274 [22] G. H.
from written sources. Little is recorded of their Forsyth / K. Weitzmann, The Monastery of Saint
architectural design. Catherine at Mount Sinai. The Church and Fortress
(9) Sports facilities: The Great Palace had a of Justinian, 1973 [23] P. Grossmann, Christliche
tzykanisterion (polo stadium), where this horse- Architektur in Ägypten (Handbuch der Orientalis-
back sport, adopted from Persia, was played. The tik 1/62), 2002 [24] P. Grossmann, Mönchtum 2.
Notitia records that Constantinople had two sports (Architektur), in: RBK 24, 2012, 1065–1087 [25] H.
grounds around 425/30. Hallensleben, Untersuchungen zur Baugeschichte
Plans: Plans 1–3 der ehemaligen Pammakaristoskirche, der heutigen
Fethiye camii in Istanbul, in: IstMitt 13–14, 1963–1964,
128–193 [26] H. Hallensleben, Die ehemalige
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2001, 29–51 [43] P. M. Mylonas, Bildlexikon des this fusion was felt initially in the pictorial pro-
heiligen Berges Athos, 2000 [44] P. M. Mylonas, grammes of church interiors and sarcophagi (see
Monastery of Hosios Loukas the Stiriotis. Architec- below, B.1.5.). The attributes (throne, nimbus) and
tural Analysis of the Four Churches, 2005 [45] R. defining characteristics of the ancient gods and
Ousterhout, The Architecture of Iconoclasm, in:
L. Brubaker et al., Byzantium in the Iconoclast Era
emperors (male maturity, beard, shoulder-length
(ca. 680–850). The Sources. An Annotated Survey, hair) were transposed to Christ, although the ‘phi-
2001, 3–36 [46] D. I. Pallas, Episkopien, in: RBK 2, losopher’s garb’ of chiton and himation remained
1971, 355–371 [47] P. Papaevangelu, Klosterarchi- obligatory for the Saviour as it did for the Apostles.
tektur, in: RBK 4, 1990, 102–136 [48] U. Peschlow, The general view was that the staged appearance
Eine wiedergewonnene byzantinische Ehrensäule in of the emperor in court ceremonial and the seating
Istanbul, in: O. Feld / U. Peschlow (eds.), Stu- plan of the clergy (bishop on the cathedra amidst
dien zur spätantiken und byzantinischen Kunst, Teil his clergy on the synthronon of the churches) were
1, 1986, 21–33 [49] J. J. Rasch, Kuppel 1., in: RAC earthly reflections of the celestial court of Christ.
22, 2008, 461–488 [50] U. Real, Bischofsresiden-
The most important site for mosaics and wall
zen in der Spätantike. Eine Untersuchung zu ihrer
Struktur, Entwicklung und Identifizierung, 1998 [51] paintings in churches was the apse [11]. Here,
K. Rheidt, Altertümer von Pergamon, vol. 15: Die Christ was portrayed in many guises in a spirit of
Stadtgrabung, Teil 2: Die byzantinische Wohnstadt, theophany: as the central figure in the circle of
1991 [52] S. Ristow, Frühchristliche Baptisterien the Apostles, angels and/or saints (iconographic
(JbAC suppl. 27), 1998 [53] H. G. Saradi, The Byz- types: [505–41]), as heavenly teacher (Rome, Santa
antine City in the Sixth Century. Literary Images and Pudenziana, 402–417 [7913 f., fig. 5]), as ruler of the
Historical Reality, 2006 [54] B. Schellewald, Zur End Times (Ravenna, San Vitale, 545–550 [79160–164,
Typologie, Entwicklung und Funktion von Oberräu- fig. 68, pl. 60 f.]), transfigured (Sinai, St. Catherine’s
men in Syrien, Armenien und Byzanz, in: JbAC 27–28, Monastery, 550/51 or 556/66; cf. fig. 4 [3411–16,
1984–1985, 171–218 [55] N. Schmuck, Kreuzkuppel- pl. 80 f., 103–187]), as the realization of a vision (Thes-
kirche, in: RBK 5, 1995, 356–374 [56] A. M. Schnei-
der / W. Karnapp, Die Stadtmauer von Iznik salonica, Hosios David, 6th cent. [50182–184, pl. XIII, 1]),
(Nicaea) (Istanbuler Forschungen 9), 1938 [57] P. in the throes of Ascension (Bawit, Monastery
Schreiner, Das Haus in Byzanz nach den schriftli- of Apa Apollo, Chapel XVII, 7th cent. [50201,
pl. XXIII, 1]) or symbolically in the form of the Cross
chen Quellen. Mit einem Exkurs über Häuserpreise,
in: H. Beck / H. Steuer (eds.), Haus und Hof and its veneration (iconographic types: [5076–94]).
in ur- und frühgeschichtlicher Zeit (Bericht über Retrospective (historical) and prospective (antici-
zwei Kolloquien der Kommission für die Altertum- pating eschatological glory) layers of meaning flow
skunde Mittel- und Nordeuropas 1990/91), 1997, 277– together in these images, which also make visible
320 [58] A. Thiel, Die Johanneskirche in Ephesos,
Christ’s permanent presence in his Church.
2005 [59] M. Whitby, Justinian’s Bridge over the
Sangarius and the Date of Procopius’ De Aedificiis, in: During the 5th century, Mary began to attain
JHS 105, 1985, 129–148. a status equal to that of Christ in her command-
ing capacity as theotokos (‘[she who] bore God’),
Arne Effenberger appearing alone or with her own heavenly court
(iconographic types: [5042–68]). The high walls of
11.3. Art basilicas were decorated with scenes from the
Old and New Testaments (Rome, Santa Maria
A. Painting Maggiore, 432–440 [7972–75, pls. 16–23]). Also in the
B. Sculpture 5th century, full-figure images of individual saints
C. Small-format art begin to appear (Thessalonica, Hagios Georgios
[92]), along with the more frequent medallion
A. Painting busts (Sinai, St. Catherine’s Monastery, see fig. 4).
Overall, pictorial programmes incorporating typo-
A.1. Wall paintings and mosaics logical and eschatological elements represent the
A.2. Book illumination unity of Old and New Testaments in the narra-
A.3. Icon painting tive of salvation, sometimes in a didactic spirit.
Baptistries (Ravenna, Orthodox Baptistry, 450–
A.1. Wall paintings and mosaics 460 [79120–124, pls. 37–42]) and tombs (Rome, Santa
Costanza, 350–360 [7952–56, pls. 1–10]; Ravenna, Mau-
A.1.1. Early Byzantine period soleum of Galla Placidia, ca. 440 [79108–110, pls. 31–36])
A.1.2. Middle Byzantine period were also decorated with mosaics.
A.1.3. Late Byzantine period No Early Byzantine mosaics survive at Constan-
tinople, but Leo I (457–474) and Verina are said to
A.1.1. Early Byzantine period have donated an apse mosaic of the Virgin Mary
Beginning in the 4th century, images of the surrounded by the imperial family in the shrine of
emperor and Christ began to converge both Hagia Soros in the Blachernae, the only attested
in court ceremonial and in art. The impact of church mosaic of the period in the capital. Hagia
11.3. art 406

Fig. 4: Transfiguration of Christ (apse mosaic, ca. 550/51 or 556/66, Sinai [1] St. Catherine’s Monastery, Sinai; from:
[1926, fig. 1]). According to the accounts in the three Synoptic Gospels (Mt 17,2–9; Mk 9,2–10; Lk 9,28–36), Jesus led
his disciples Peter, James and John up a mountain. There, he was transformed before their eyes into a being of light,
while Moses and Elijah spoke with him. When the disciples heard the voice of God, saying, ‘This is my beloved son,
in whom I am well pleased’, they threw themselves down on their faces in terror. Christ is standing as a luminous
figure within a mandorla. Elijah (left) and Moses (right) stand poised and calm. Rays of light emanating from Christ
link him to Elijah, Moses and the disciples, whose great agitation contrasts clearly with the muted calm of the
central group of three. All five figures are identified with name inscriptions. Except for the cross at the top centre,
the 32 medallions running around the apse arch contain named busts of apostles, evangelists, prophets and the
commissioners of the mosaic, the hegoumenos (abbot) Longinus and one John Diakonos.

Sophia was still entirely without images. Justin II Pantokrator (cf. fig. 5), the tambour (angels and
(565–578) probably instigated the comprehensive prophets), the apse (Mary as penitent or theotokos
mosaic programme in the Church of the Holy with child), the vaulted zones over the incrusta-
Apostles, but its images, restored many times, are tion-covered walls (apostles, saints, prophets and
known only from later descriptions (Constantine Christological images) and the narthex (Christo-
Rhodios, 10th cent.; Nicholas Mesarites, 12th cent.). logical scenes and saints). However, no examples
The same emperor had the Chrysotriklinos built of this arrangement survive from the Middle Byz-
in the Great Palace, and ordered an apse mosaic antine period in present-day Istanbul. All that is
depicting the enthroned Christ to be put up above known is the pictorial programme of the Church
the imperial throne. of the Theotokos by the pharos (lighthouse) in the
Great Palace, which was dedicated in 864 and is
A.1.2. Middle Byzantine period described in the tenth homily of Patriarch Pho-
In the Middle Byzantine period, the internal tios [52]. This, along with the seventeenth homily
architecture of the cross-in-square and domed- delivered at the consecration of the apse mosaic
octagon churches (→ 11.2. Architecture A.2.3., in Hagia Sophia in 867 [2279–296] and two sermons
A.2.4.) dictated a new, hieratic system of pictorial of Leo VI (886–912), gives important insights into
decoration [22]. Locations with clearly defined how these images were perceived and interpreted
thematic foci were now the dome, with Christ as at the time [72]. In domed-octagon churches, the
407 11.3. art

bread) in the Latin Eucharist (as opposed to the

leavened bread of the Byzantine liturgy) that
was raging at the time (cf. → 7.1. Doctrinal his-
tory D.2.) [85]. Two especially important pictorial
programmes, infused with monastic spirituality
and liturgical practice, are those in the Church of
St. Panteleimon at Gorno Nerezi (1164) [87] and
St. George’s Church at Kurbinovo (1191) [43]. Apart
from numerous churches, some buildings of the
Great Palace, such as the bedchamber of Basil I
(867–886), were also decorated with Christian
mosaics, lending them a sacral atmosphere.

A.1.3. Late Byzantine period

Works surviving from the Late Byzantine
period in Constantinople include the mosaics
in the parekklesion of the Church of the Theoto-
kos Pammakaristos [8], remains in two domes
above the exonarthex of the Vefa Kilise Camii
and especially the pictorial programme of the
Fig. 5: Christ Pantokrator (dome mosaic, ca. 1100, Chora Church with its parekklesion, restored by
katholikon at Daphni). Typical features of the Theodore Metochites in 1316/22 (comprehensive
Pantokrator in chiton and himation are: beard and long documentation: [99]). A koimesis (portrayal of
hair; cross nimbus; head turned slightly to the right the death of Mary) is positioned above the portal
with opposed gaze; splendid gospel book in crook of on the inside of the naos. The founder, Theodore
left arm; right hand emerging from cloak sleeve and Metochites, is depicted with Christ in the lunette
giving the gesture of blessing. Although the picture type above the door connecting the esonarthex with
was standardized, artists certainly succeeded in lending the naos (cf. fig. 6). A tambour dome crowns the
the countenance of Christ expressions ranging from
benevolent to strict and even suffering.
esonarthex above each of the corner intercolum-
niations. The northern dome shows the theotokos
with child, surrounded by the Old Testament fore-
bears of Christ. A mosaic cycle of 19 scenes of Mary
four squinches offered another location for images begins here and goes on to cover all the lunettes,
(Hosios Loukas, ca. 1030 [14]; Chios, Nea Moni, transverse arches (archivolts) and vault compart-
ca. 1050 [68]; Daphni, ca. 1100 [26]). Very lavish ments, showing the most important stations of the
wall paintings are preserved in the cave churches life of the Virgin from the Gospel of James.
of Cappadocia [80]. From the northern end of the exonarthex of
Stylistic development in 11th/12th-century the Chora Church, a cycle of 39 New Testament
Greece is examined in [67]; Byzantine and Byz- mosaics leads through the southwestern cor-
antine-influenced monumental painting in Mace- ner space and the anteroom to the parekklesion,
donia and Serbia from the 11th century on is depicting mainly the miracles of Christ. The cycle
documented in [44]. ends under the southern dome of the esonarthex
During the 11th century, two tiers of accessi- (with Christ Pantokrator at its zenith, surrounded
bility gradually began to develop in the pictorial by his 48 Old Testament forebears in the dome
programme, with a split between the zone of the segments). On the eastern wall under the Pan-
apse/bema and the naos/narthex. Although it tokrator dome, the supplicant Mary and frontal
would only be in the Late Byzantine period that Christ (inscribed chalkites, ‘the Brazen’) are shown
large-format icons completely closed the interco- as full-length figures. Kneeling at the bottom left
lumnar spaces of the templa (see below, A.3.), the alongside Mary is the second renovator of the
congregation from now on was only able to fol- church, the sebastokrator (approximately ‘vice-
low part of the liturgy and view the images in the emperor’) Isaac Komnenos, and the nun Melane is
parts of the church that were open to them (i.e. on at the bottom right beneath Christ. Christ appears
the templon epistyle, and in the naos and narthex). as Pantokrator with the inscription ‘Jesus Christ
Among the works affected were the paintings in the Land [chora] of the Living’ (LXX, Ps 114,9) in
the bema and apse of the Church of St. Sophia the lunette over the door between the exonarthex
in Ohrid (ca. 1052/56), which reflect the liturgi- and esonarthex. The lunette over the exit shows
cal dispute over the use of azyma (unleavened Mary, arms extended, with a mandorla in front
11.3. art 408

Fig. 6: Founder’s image: Theodore Metochites shows Christ the model of the renovated church (mosaic over the
door of the esonarthex, ca. 1321/22, Chora Church, Istanbul). Theodore Metochites, in sumptuous patterned kaftan
and turbaned, kneels before the enthroned Christ and presents to him the model of the church he has ordered
renovated. Christ, in purple robes, gives the blessing with his right hand while holding the gospel book in his left on
his left thigh. The inscription identifies it as the ‘Land of the Living’. The mosaicist aligned the head with nimbus
precisely under the apex of the arch. The slight diagonal twist of the lower body and the perspective view of the
throne create a close, almost physical contact with the founder. The gold background of the empty right half of the
image alludes to the otherworldly setting of this fictional event. The ten-line inscription beside the kneeling figure
reads, ‘The founder, logothetes tou genikou Theodore Metochites’. Theodore held this honorific title until 1321, when
he became megas logothetes (first minister), indicating that the restoration of the monastery was complete by 1321.

of her breast containing the Christ child and the A.2. Book illumination
inscription ‘Mother of God, dwelling-place of the
inconceivable’ as two angels pray to her. A.2.1. Early Byzantine period
The parekklesion chosen by Theodore Meto- A.2.2. Middle Byzantine period
chites as his own burial place has frescos dedi- A.2.3. Late Byzantine period
cated to the hope of resurrection. An anastasis
(resurrection scene) is depicted in the apse (cf. A.2.1. Early Byzantine period
fig. 7), while a unique rendition of the Last Judg- The bound papyrus or parchment codex was
ment appears in the flat dome over the first bay. invented in the early Roman Imperial period and
Although the style of the Palaiologan period was began to supersede the scroll in the 4th century.
based on the expressive mode of the 12th and 13th The codex was far more practical as an every-
centuries, the mosaics of the Chora Church and day book. As surviving Early Byzantine examples
especially the frescos in the parekklesion present of illumination show, works of classical litera-
a quite new and unique artistic language [23]. The ture (e.g. Ilias Ambrosiana; Vergilius Vaticanus
parekklesion frescos in particular mark the final and Romanus [88text vol., 123–131]), scientific works
climax of Byzantine painting and rank alongside (Vienna Dioscurides [88text vol., 116–119]), utilitar-
the works of the Italian Early Renaissance from ian books (Chronography of 354; Notitia Dignita-
the same period. tum; Corpus Agrimensorum [88text vol., 111–115, 120 f.]),
409 11.3. art

Fig. 7: Resurrection of Christus (Anastasis) and release of Adam and Eve from their graves (apse fresco in the
parekklesion, ca. 1321/22, Chora Church, Istanbul). In the centre, Christ appears in an aureola, dressed in robes of
light. Stepping out energetically, he looms over the abyss of Hell and the smashed Gates of Hell, the fettered Satan
and all manner of burst chains and locks. Christ wrenches the first ancestors Adam and Eve out of their stone
sarcophagi by one hand each. To left and right, two large groups of the righteous, witnesses and participants in the
act of redemption. The left-hand group, led by John the Baptist, is seen to contain Kings Solomon and David, part
of this iconographic cast since the beginning. The right-hand group is led by Abel with his shepherd’s crook. The
theme of the anastasis stands here as a paradigm for the founder’s hope of resurrection for himself and the others
buried in the parekklesion.

chronicles (Alexandrian World Chronicle [88text contain simultaneous illustrations of successive

vol., 81–86]) and above all the Old Testament and episodes.
Gospels were transcribed into codices and illus-
trated. Depending on their place of origin within A.2.2. Middle Byzantine period
the empire, such texts are either in Latin, Greek, Book illumination is prominent among the sur-
Aramaic or Coptic. viving works from the Middle Byzantine period,
The only surviving remnants of illustrated not least quantitatively, with a large number
Greek Old Testament manuscripts are the car- of manuscripts preserved [104]. Some codices
bonized fragments of the Cotton Genesis (5th/6th have a colophon with date [90], but most can be
cents.) [107] and the fragmentary Vienna Genesis dated only by stylistic comparison. Illuminated
(6th cent.) [109], and of the New Testament, the ceremonial codices were generally one-off prod-
fragmentary Codices Rossanensis and Sinopen- ucts, intended for a particular institution or high-
sis (both 6th cent.) [88]. Important Latin manu- ranking recipient (e.g. the emperor). A distinction
scripts include the two illustrated sheets of the must be made in biblical manuscripts between
Quedlinburg Itala fragment from the two books of lavishly illuminated specimens, of which only
the Prophet Samuel (ca. 430) [88text vol., 23–25] and one copy usually existed, and those intended for
the Ashburnham Pentateuch (7th cent.) [88text vol., everyday worship. The latter usually circulated as
26–33]. The key Syrian manuscripts include the Paris simple copies of the text, like literary, philosophi-
Syrian Bible (Old and New Testaments; ca. 600) cal, theological and scholarly works.
[88text vol., 89–93] and the Rabbula Codex (Tetrae- Biblical and liturgical manuscripts were the
vangelion) of 586 [88text vol., 94–100] with the earliest most prestigious books [96]. Only one illustrated
‘eastern-type’ illustrations of the Crucifixion and codex of the Old Testament survives intact: the
Ascension (cf. fig. 8). Included as full-page single Bible of the sakellarios (treasurer) and patrikios
or grouped pictures or inserted into the text, bib- Leo, which was intended for an unknown monas-
lical illustrations on the whole follow the events tery of St. Nicholas [97no. I.64]. The New Testament
in a narrative way, although a single picture can mentioned in the founder’s epigram as belong-
11.3. art 410

Fig. 8: Ascension of Christ in the gospel book (signed by its scribe Rabbula) from the Syriac Monastery of St. John
at Beth Zagba in northern Mesopotamia (paint on parchment, ca. 34 × ca. 28 cm, 586, Florence, Biblioteca Medicea
Laurenziana, Cod. Plut. I 56, fol. 13 v). The Acts of the Apostles (1,9–13) tell the story of the Ascension. Only eleven
disciples, however, were present on the Mount of Olives in Jerusalem, not Mary and not Paul, who converted at a
later date. Christ surrounded by an aureola occupies the upper field. In his left hand he holds an open scroll, and
he indicates its text with his right hand. The aureola is borne aloft by the tetramorph, with two flaming wheels, and
flanked by two angels. The tetramorph recalls the visions of Ezekiel (1,4–21), and combines the heads of the four
symbols of the Evangelists (lion, human, eagle, bull) with wings covered in eyes. The hand of God looms out below
the fiery chariot. Two floating angels each present Christ with a corona triumphalis on veiled hands. The sun and
moon in the upper corners emphasize the cosmic significance of the event. In the lower field, framed by mountains,
Mary stands in the centre with arms outstretched in supplication. She is marked out by a golden nimbus and is
wearing her typical purple gown, tunic and maphorion. To left and right, in two groups stand the twelve Apostles,
each led by an angel in white with a ceremonial staff. Necks craned and arms outstretched, the Apostles observe the
event. Paul to the left is holding a book, Peter to the right a cross-staff and the keys to heaven.
411 11.3. art

ing with it is lost. The manuscript comprises 565 illustrations by name. The homilies of leading
sheets and a further 18 full miniatures. Of the six theologians were also illustrated, e.g. John Chryso-
known examples of the Octateuch (books from stom [60] and Gregory of Nazianzus [36], as were
Genesis to Ruth), five were produced between ca. works of edificatory literature (e.g. the Scala Para-
1050 and 1150 [106]. The first half of the Book of disi of St. John Klimakos [64]). Books intended for
Joshua is found in the Vatican Scroll [103]. The private contemplation included the two almost
books of the prophets were widespread [62]. The identical codices of the Marian homilies of James
Psalter was particularly important in the liturgy of Kokkinobaphos (one intended for Irene Sebas-
and in monastic and private devotions. Besides tokratorissa), the first cycle on the early life of
the nine surviving ‘marginal psalters’ (with minia- Mary [29].
tures placed along the side and bottom margins), In profane literature, the narrative character
there was also a group of ‘aristocratic’ psalters, of chronicles invited their illustration. The sole
illustrated with full miniatures (the 58 surviving surviving example from the Middle Byzantine
examples: [16]). The best-known is the Paris Psal- period is the chronicle of John Skylitzes in Madrid
ter, a copy of a luxury imperial manuscript with 14 (12th cent., based on an earlier, 11th-cent. exem-
full-page miniatures [1663–71, no. 39, figs. 245–258]. plar), surveying the history of the Byzantine
A tetraevangelion opened with the canoni- emperors from 811 to 1057 [98]. Its 574 illustra-
cal tables devised by Eusebius giving the concor- tions cover historical events and show a plethora
dances of the four gospels [73], and each gospel of scenes and objects from everyday life in Byz-
(albeit only from the 10th century on) was headed antium. Medical, geographical, astronomical, sci-
by a full-page frontispiece image of the evangelist entific and practical texts were furnished with
concerned, showing the author in a room sug- informative illustrations. The few surviving indica-
gested by hints of architecture, either writing, tions of cost [86] suggest that an illustrated book
or in a contemplative pose, or receiving divine like the two-volume Leo Bible must have been
inspiration. The text itself begins with a splendid prohibitively expensive (on the organization of
ornamental title bar; the first words of the gos- book manufacture cf. → 12.4. Books and libraries).
pel concerned are highlighted [37]. Illustrations
of episodes from the life and passion of Christ A.2.3. Late Byzantine period
accompany the text. A lectionary or pericope Two codices stand out in the surviving Late
book was intended for liturgical use. The first part Byzantine inventory: the typikon of the Monastery
contains the readings (pericopes) for the movable of the Theotokos Bebaia Elpis (ca. 1332/35; → 11.2.
feasts, beginning with the text of John for Easter Architecture A.3.(6)), containing nine full-minia-
Sunday, followed by the corresponding pericopes ture double portraits of the family of the found-
according to Matthew, Luke and Mark. The sec- ress, Theodora Komnene Palaiologina [4956–62,
ond part contains the readings for the fixed festi- no. 24], and a codex of theological writings by

vals of the Church Year, beginning on September 1. John VI Kantakouzenos now held in Paris, which
Illustrations accompany the individual pericopes was illustrated by one of the finest painters of
in ceremonial copies. A euchologion contains the the period, who worked at the Hodegon Monas-
two liturgical formulae of Basil of Caesarea and tery. The book of 437 sheets includes four minia-
John Chrysostom, as well as the prayers prescribed tures. On Sheet 123, John Kantakouzenos appears
for church and monastic use. The liturgical scrolls in two guises: as emperor and as the 80-year-old
that began to appear in the 11th century were a monk Joasaph [30no. 171]. The turn back towards
special case, combining the texts of one or both the Macedonian and Komnenian periods that is
liturgies with illustrations. already observable in monumental painting and
All churches and monasteries needed a synax- relief art can also be seen here in the copying work
arion (saints’ calendar) or menologion, containing being done in manuscript illumination.
the lives of the saints arranged month by month,
and a liturgical typikon (ecclesiastical order of cer- A.3. Icon painting
emonies). Many illustrated copies of parts of the A.3.1. Early Byzantine period
menologion of Simeon Metaphrastes survive [93]. A.3.2. Middle and Late Byzantine periods
A synaxarion was made for → Basil II (2.4.) around
1000, but only the first part, giving the memorial A.3.1. Early Byzantine period
days from September to February, survives (Vat. Icons were central to Byzantine art and religion.
gr. 1613 [31no. 55]). The total of 430 illustrations The word is usually applied only to panel paint-
depict the martyrdom of saints and commemo- ings, but it strictly applies to any portable object
rated events (translation of relics or remembrance of veneration, regardless of material or technique
of catastrophes). Eight artists involved signed the (see below, C.). The oldest painted icons are kept
11.3. art 412

in the Sinai monastery and date from the second edly raised itself every Friday after sunset, reveal-
half of the 6th century [105No. B 1, plate I f., XXXIX–LXI (Christ); ing it for veneration by the assembled throng).
no. B 3, pls. IV–VI, XLIII–XLVI; no. B 5, pls. VIII–X, XLVIII–LI (Peter); no. B 9, (2) Icons that were carried in regular public
pl. XII, LII f. (Sergius and Bacchus); no. B 11, pls. XIV, LVII (John Prodromos)]. processions (e.g. the icons of the Virgin from the
Nothing is known about the patrons who commis- Hodegon Monastery, which were carried in pro-
sioned icons, their purpose, or the way in which cession through Constantinople every Tuesday to
they were venerated. Some scholars believe that ensure the ongoing protection of the capital).
the cultic veneration of icons did not commence (3) Icons that were used for specific commemo-
until the second half of the 6th century [55], but rations, e.g. the display of the Hodegetria icon at
the decisive breakthrough of an officially sanc- the tombs of John II Komnenos and Irene on the
tioned Christian veneration of images arrived in anniversaries of their deaths in the Heroön of the
the reign of Justinian and was encouraged through Monastery of Christ Pantokrator, and the Friday
propaganda likening the image of the emperor to presbeia, at which the procession passing between
the image of Christ [65528–569]. the Churches of the Theotokos at Blachernae
and Chalkoprateia stopped off at the Monastery
A.3.2. Middle and Late Byzantine of Christ Pantokrator and the icons were borne
periods around the imperial tombs, combined with a litur-
Ever since the end of the Eikonomachia, icons gical ceremony. In both cases, it is evident that the
have been an essential expression of Orthodox icons were being instrumentalized as intercessors
faith, as a medium of the veneration owed to the calling for the salvation of the emperors.
image (→ 7.1. Doctrinal history C.). However, a strict (4) Prosky netaria (‘kneeling icons’), which
distinction is drawn between proskynesis (‘venera- were placed and lit in monastery churches in strict
tion’) and latreia (‘adoration’). Images may be ‘ven- accordance with the stipulations of the monastery
erated’ only in a relative way, because the image of typika, presumably with icons of Christ and Mary
Christ is only a limited reflection of the essence constantly on view and others exhibited on festi-
of the archetype (Synodikon of Orthodoxy). Panel val days (e.g. entrance of Christ on Palm Sunday;
paintings of Christ, Mary, angels, saints or events saints on feast days and death days). Most icons
of the New Testament in particular became rev- probably illustrated Christological and Mariologi-
erential images par excellence, no matter where cal scenes or holy days.
they were exhibited (churches, monasteries, pub- As early as the 12th century, large-format icons
lic places, domestic settings). There must have began to be put up to close the intercolumnar
been a considerable increase in the number of apertures in the templa. The size of these pan-
icons being made in the Komnenian period in els were dictated by the distance between the
particular (11th/12th cents.; there is a selection of columns [38]. The right-hand templon icon usu-
Middle Byzantine icons in [31nos. 65–77]; for the Late ally showed Christ, generally as Pantokrator, to
Byzantine period cf. [30nos. 78–125]: note in particular whom all churches were dedicated in principle.
the large number of icons kept in the Sinai mon- The left-hand icon would show the titular saint.
astery [30nos. 201–242]). In addition to these panel Where that saint was Mary, the Hodegetria (the-
paintings, which were usually executed in tem- otokos with Christ child on her left arm) would
pera, medium to large-format mosaic icons also be accompanied by other types of Marian icon,
began to appear in the 11th century. The tesserae generally bearing different epithets alluding to
are set so finely that they closely resemble paint- miraculous images of the Virgin in other locations
ings [24]. and seeking to evoke their power. The Annuncia-
Except for the icons in private ownership, tion was always depicted on the Holy Doors of
which served personal devotion, several specific the templon. The mystagogic interpretation of the
purposes for icons tended to arise after the mid- church building by Archbishop Simeon of Thes-
dle of the 11th century, particularly involving their salonica (1416–1429), a Palamite (→ 7.1. Doctrinal
incorporation in liturgy [94]: history E.), made the templon representative of
(1) Some icons, especially of the Virgin Mary, a firmament that both separated and united the
were seen as miracle-working mercy images and visible world of mortals and the invisible world
were often associated with a particular place of Heaven [15].
where they exerted their influence, encouraging The ‘Vita’ icon was a special subgroup. Its main
the growth of a cult (e.g. the icons of the Virgin field contained the full-figure image of a saint,
in the Hodegon Monastery at Constantinople, and with scenes from his or her life and martyrdom
the various icons of the Theotokos in her church running around the perimeter. The exquisitely
in Blachernae, especially the synethes thauma, the precious miniature mosaic icons were another
‘customary miracle’, an icon whose veil suppos- special form of Late Byzantine art [30209–214,
nos. 127–139, 206 f.]; created for elite private devotions,
413 11.3. art

they were also often donated to monasteries. Their (386) and the usurper Maximus (388). A bronze
images were built up of gilt copper rods or tiny colossus of the emperor stood on top of the col-
tesserae of coloured stone, glass or semiprecious umn. A few surviving fragments of the column
stones, embedded in a wax and mastic bedding on relief are built into the foundation of the Beyazıt
a wooden substrate. Hamamı, and others are kept in the Archaeologi-
cal Museums of Istanbul [33nos. 55–61, plate 22].
B. Sculpture The Forum of Arcadius on the Xerolophos
also had a relief-clad spiral column on a pedestal
B.1. Early Byzantine period (the pedestal survives, but has suffered heavy fire
B.2. Middle Byzantine period damage [58]), with a spiral staircase inside and
B.3. Late Byzantine period crowned by a statue of the emperor. The column
was demolished in 1729, but the reliefs on the
B.1. Early Byzantine period pedestal and the spiral relief are preserved in very
careful drawings in the Freshfield Album [6pl. 23 f.].
B.1.1. Introduction Battles between hostile Eastern Roman armies
B.1.2. Imperial monuments were depicted on the spiral relief. The pedestal,
B.1.3. Statues and portraits decorated with reliefs on three sides, had several
B.1.4. Architectural and decorative sculpture registers of images celebrating the unity of East-
B.1.5. Christian sculpture ern and Western Roman Empires and, necessarily,
the victorious nature of the emperors, with clear
B.1.1. Introduction Christian symbolism (angels of victory bearing
Other than works on particular periods and the aloft a corona triumphalis with a cross). The Col-
many studies of groups (portraits) and individual umns of Theodosius and Arcadius both imitated
pieces, only one survey of Eastern Roman sculp- the Column of Trajan, deliberately invoking the
ture up to the 10th century currently exists, and it Roman tradition.
is based on limited material [40]. There is impor-
tant material on statuary sculpture, figural reliefs B.1.3. Statues and portraits
and figurally decorated architectural sculpture in At the beginning of what is now called the Byz-
the catalogues of the archaeological museums of antine period, statues and portraits of emperors,
Istanbul [33] and the Museum of Byzantine Art of elite figures and private individuals continued to
the Berlin State Museums [28]. be made as before, but the practice dwindled in
the 6th century and ended soon after 600. The
B.1.2. Imperial monuments abundance of many ancient sculptures in Con-
The only survivor among the relief-decorated stantinople, brought from the provinces on the
imperial monuments of Constantinople is the orders of Constantine to be exhibited around the
Obelisk of Theodosius in the Hippodrome [54]. city and in the Hippodrome, was a unique case
The reliefs around the lower pedestal depict the [5]. The iconography and typology of the official
process of raising the obelisk and a chariot race. portrait of the emperor continued to be decided
The reliefs, arranged in registers around the four centrally and disseminated to the provinces
sides of the upper pedestal, glorify Theodosius I through copies. Emperor portraits used likenesses
and his dynasty and portray the elites in order of that combined individual and sacred traits. Their
rank. Completing the programme are scenes of foremost purpose was to portray the subject as an
the submission of barbarians and circus scenes ideal emperor.
(spectators, singers and dancers; cf. fig. 9). These Outstanding works include a statue of Val-
reliefs were intended to show that the Theodosian entinian II from Aphrodisias, a portrait of Arca-
Dynasty was ushering in a happy and peaceful dius [33no. 4 f., pl. 2 f.] and the colossal (but partially
age with a well-ordered government. Despite the altered) bronze statue at Barletta that probably
‘classicism’ of the work, its efforts at symmetry, portrays Leo I. The production of portrait stat-
ascending horizontal pictorial levels, differences ues for public spaces was still flourishing in the
in the scale of the figures and their flat layering 5th century. Many portraits and statues of offi-
are all stylistic hallmarks of Late Antiquity. cials and private individuals (from Aphrodisias,
The monumental column that stood in the Constantinople and Ephesus [33nos. 12–16, pls. 6–8])
Forum of Theodosius had a spiral staircase run- show a high degree of individuality and lifelike-
ning inside it, and it was flanked by two mighty ness (abundant material, mainly private por-
equestrian statues of Theodosius and his son Arca- traits, in [51]). Four 5th-century medallion busts
dius. A spiral relief ran up the column, showing the of evangelists found at Istanbul are particularly
emperor’s victories over the Gothic Greuthungi noteworthy, one of which was intact [33nos. 36–39,
11.3. art 414

Fig. 9: The emperor in the stama (the area of the arena before the imperial box) with courtiers, spectators,
dancers and musicians (marble relief on the upper pedestal of the Obelisk of Theodosius, south side, ca. 390/92,
Hippodrome, Istanbul). The stama was below the imperial lodge in the Hippodrome. The emperor appears standing
under the ciborium behind an openwork railing, wearing a tunic and chlamys and crowned with a pearl diadem.
In his right hand, he holds a wreath, which would usually be presented at the stama to the winner of the chariot
race. Flanking the emperor are two princes and a figure who may be a tutor. To the left and right of the stama are
courtiers, whose ranks also extend around the other three sides of the upper pedestal. In the background, two ranks
of imperial bodyguards, recruited from Germanic tribes (as their torcs reveal), can be seen. Beneath, two seated
rows of heads and half-length figures of spectators are seen, and in the foreground – but on a much smaller scale –
female dancers and musicians are depicted. The organs at the far left and right sides are striking
(→ 14.10. Musical instruments B.).

pl. 16 f.], but it is unknown where they were origi- trade panels and door frames were needed for
nally exhibited. churches. Indispensable liturgical fittings included
altars, ambos, templa and ciboria, some of which
B.1.4. Architectural and decorative emerged as new functional entities. The parapet
sculpture panels of Hagia Sophia have been fully published
Constant construction work meant that the [42]. As in Roman temples and representational
production of architectural sculpture was one buildings, the gates in church portals were deco-
of the most important branches of industry, but rated with bronze reliefs (cf. the articles in [84])
spolia from abandoned Roman buildings soon or carved in wood and decorated with Christian
began to be used instead of new works (→ 10.6. imagery.
Stone working and processing C.). Vast quanti- Demand for architectural sculpture in the
ties of column shafts, capitals, imposts, bases, provinces was covered by ‘imports’ from Constan-
pedestals, architraves, friezes, screens, balus- tinople and by local production centres with their
415 11.3. art

own quarries. Classical Roman architectural and Old or New Testaments [33nos. 180 f., pl. 59]. Notable
decorative forms remained essentially unchanged profane themes include the circus scenes on the
until the early 6th century, but even as early as the bases of the charioteer monuments to Porphyrius
reign of Theodosius, hybrid forms were emerging, [33nos. 63 f., pls. 23 f.].
such as the Composite capital, which fused ele-
ments of the Corinthian and Ionic (cf. articles B.2. Middle Byzantine period
in [78]). The final break with the ancient canon There is a survey of Middle Byzantine architec-
came in the reign of Justinian, with innovations tural and decorative sculpture in [41], while [25]
like fold capitals, impost capitals and bowl capitals investigates the evolution of the Middle Byzantine
(Kesselkapitell) worked à jour [121–72]. The same capital. The Archaeological Museums of Istanbul
decorative style is found in architraves, friezes and hold a rich inventory of figurally decorated mate-
wall-cladding panels. The architectural sculpture rial [33]. Sculptural programmes are also docu-
of the Church of St. Polyeuctus, founded by Anicia mented by excavation finds and in monographs
Iuliana, is particularly important [45]. (Hosios Loukas, Panagia Church [69]). The north-
ern church of the Monastery of Lips in particular
B.1.5. Christian sculpture offers rich evidence, partially preserved in situ,
The richest source of Christian iconography of the new, Macedonian-period decorative style
is Western Roman sarcophagi (Rome, Milan, in architectural sculpture, along with numerous
Ravenna; Gaul, Istria), which are (or are about to fragments of figural relief sculpture [63figs. 17–21, 29–31,
be) surveyed in compendia. Christian themes do 40–45]. Marquetry icons from the Monastery of Lips

not become apparent in Eastern Roman sculpture [63fig. 74–83] and templon epistyles (Athens [31no. 9])
until the end of the 4th century (Berlin throne are unique cases. Relief icons, sometimes of large
relief [28no. 32]; ‘Prince’s Sarcophagus’ [33no. 81, format, are a group unto themselves [27] and
pl. 30]). A handful of fragments of Christian marble include depictions of Maria orans that show holes
sarcophagi and reliefs survive from the Theodo- drilled in the hands, betraying their function as
sian period [33nos. 80, 84 f., 88 f., pls. 30 f., 34], although the fountain icons giving water [27]. Many Byzantine
loss rate of Constantinopolitan sculpture seems reliefs are built into the façade of St. Mark’s and
to have been very high in of the period following elsewhere in Venice as spolia, but distinguishing
the city’s foundation. The only surviving example Byzantine from Venetian material is not always
of the porphyry sarcophagi of Eastern Roman straightforward [21120–136]. [77] discusses the evolu-
emperors from between 337 and 450, which were tion of the templon in Constantinople and [53] the
sparsely decorated with Christian symbols, is a sculpted proskynetaria along the sides of the bema
fragment showing putti harvesting grapes among and in the narthex.
vine tendrils [4figs. 1–11, 36–43]. The Christogram is
found as an emblem on soldiers’ shields on frag- B.3. Late Byzantine period
ments of the Column of Theodosius. The ‘Prince’s Like painting, sculpture also experienced a
Sarcophagus’ and the pedestal reliefs of the Arca- renaissance, albeit a brief one, in the Palaiologan
dius Column show angels of victory, and the latter period, as ornamental and figural elements were
also has the Christogram and labarum. ‘Trompe- combined. Early instances include two relief icons
l’oeil’ sarcophagi made of limestone and bearing of the Maria orans and the Archangel Michael
Christian images were made in local workshops from the Monastery of the Theotokos Periblep-
between 400 and 450 and superimposed on tomb tos in Constantinople (now in Berlin [27fig. 1]), a
walls [20]. capital fragment with a bust of the Archangel
One rare example of 5th-century Eastern Michael now in New York [27fig. 31] and the frame
Roman sarcophagus sculpture is the marble St. of the arcosolium arch from the southern church
Peter relief found near Sinope (now in Berlin) at the Monastery of Lips, which probably deco-
[28no. 34]. Many 5th/6th-century gravestones with rated the tomb niche of the foundress, Theodora
pictorial and/or Christian decoration have been Palaiologina. It bears relief busts of the twelve
recorded in Egypt [28nos. 66–70]. A Syrian votive Apostles to either side of a now-missing bust of
relief for Simeon Stylites the Elder is also now in Christ [33no. 414]. The architectural sculpture of
Berlin [28no. 60]. Sculptural furnishings are gen- the Chora Church at Constantinople is treated in
erally merely ornamental and are often further [48]. The quality of the relief arcosolium arches
decorated with crosses (on Hagia Sophia [42]). over the tombs of Theodore Metochites (D) and
The ambo from Thessalonica [33no. 178, pl. 56 f.] shows Michael Tornikes (A) is particular high [48249–255,
the three Magi paying homage to the Christ child. figs. 61–65 (A), 66 f., 69 f. (D)].

Some ambo walls have reliefs with scenes from the

11.3. art 416

C. Small-format art Monastery in Lycia [10] and at find sites in Syria

[70]. The two relatively small diskoi from Riha and
C.1. Introduction Stuma, showing the Communion of the Apostles,
C.2. Ecclesiastical sphere combine their liturgical function with the com-
C.3. Courtly ceremonial sphere and elite private memoration of people named in inscriptions. The
sphere diskoi from the Sion treasury have large crosses or
C.4. Everyday culture Christograms as decoration. Chalices are adorned
with niello benefactor inscriptions and sometimes
C.1. Introduction with Apostle figures, a cross or a Christogram. The
Small-format works of art are generally placed flabella bear an image of a tetramorph. The gos-
under the infelicitous label of ‘minor arts’ (Ger- pel book carried into the church and laid on the
man Kleinkunst), as if their size were indicative of altar in the Small Entrance was decorated with a
their importance. Such works generally comprise binding cover made of chased and gilded silver.
luxury goods and artistically embellished everyday Processional crosses were required for church pro-
objects and are grouped by material (→ 10. Produc- cessions [31nos. 21–27].
tion and technology). It would be more appropri- Lamps made of precious metals or bronze
ate to classify them by the function they served were an important feature (→ 10.9. Non-ferrous
in the ecclesiastical sphere, in the courtly and metals B.). In addition to candlesticks and can-
ceremonial sphere and in the private sphere of delabras (low or high stands on which oil lamps
the elite, and in the everyday life of the non-elite were placed) that stood on the floor, on the altar
population. This classification immediately reveals or in front of an icon, chandeliers lit the church
that the use of precious materials (precious met- naves. These were circular or cruciform and hung
als, → ivory (10.14.), soapstone, jewels, pearls, on chains, and were manufactured in large series.
silk; → 10.16. Textiles) and certain technologies Glass lamp-oil receptacles were placed in the aper-
(toreutics, enamel; → 10.9. Non-ferrous metals) was tures around them [97no. II.7–II.12]. The relics kept
limited to the ecclesiastical and courtly private under the altar were stored in containers shaped
spheres, where the standards of artistic quality like small marble sarcophagi or capsules or boxes
were the highest. The manufacture of such items made of precious metals, decorated with symbolic
invariably involved several specialists. High-value and/or pictorial images. Ivory boxes (Brescia; Pula:
materials and the artisanal technologies required [102nos. 107, 120]), and occasional reliefs of Christian
to manufacture them were also used in monu- images originating on boxes made of chased sil-
mental projects, such as the facing and decoration ver or ivory, may also have been used for storing
of templa (see below, C.2.2. and C.3.2.), and the relics. Other artisanal furnishing and fittings were
boundaries between luxury and everyday culture also found in churches in addition to liturgical
were also often blurred, as lavishly embellished equipment. The bishop sat on a cathedra during
examples of garments, jewellery and utilitarian the service. According to its monogram, the sole
objects were also owned by reasonably affluent surviving throne of this kind, which is decorated
members of the middle classes. Both Christian and with ivory reliefs (Christological, Old Testament
profane subjects are depicted in both luxury and and ornamental designs), was made for Arch-
everyday items, although the context of a ‘profane’ bishop Maximian of Ravenna (Maximianus of
subject might well be biblical (e.g. Adam and Eve Pola; Ravenna: [102no. 140]).
at work). The columns and screens of the templon in the
Justinianic Hagia Sophia were covered with rolled
C.2. Ecclesiastical sphere silver and decorated with chased pictorial designs
and monograms of Justinian and Theodora. A
C.2.1. Early Byzantine period ciborium with an octagonal pyramidal roof, also
The need to furnish churches with liturgical faced with rolled silver, extended over the gilded
equipment was frequently an occasion for pri- altar table.
vate donations. In the first place, there was the
diskopoterion comprising the diskos and chalice, C.2.2. Middle Byzantine period
with its flabella (liturgical fans), and the cherni- This method of hammering silver was also
boxeston, a fitting comprising a washbasin and prominent in the decoration of imperial churches
ewer. Priests and deacons required censers for the founded in the Middle Byzantine period, as
obligatory incenses. Extensive collections of litur- described in the sources. The templon of the Nea
gical equipment in precious metals (silver, some- Ekklesia built in the Great Palace by Basil I was
times silver gilt, niello) in treasuries endowed by faced with gilded silver and richly decorated with
wealthy clerics and private individuals period are pearls and precious stones. The epistyle of the tem-
preserved from the Early Byzantine at the Sion plon of the Church of Christ Philanthropos Soter,
417 11.3. art

which was also entirely faced with silver, also had Church furnishings included many textiles,
enamel depictions of Christological scenes. Of the including priestly robes, for which costly silks
twelve cloisonné festival pictures probably origi- were used as well as wool and linen fabrics. How-
nally fitted to the epistyle of the templon of the ever, silk fragments, which occur very commonly
southern church of the Monastery of Christ Pan- [71], can only rarely be associated with a definite
tokrator, six survive. They reached Venice in 1204 context of use. The altar cloth covering the altar
as booty from the Fourth ‘Crusade’, and in 1209 was known as the endyte, often featuring pictorial
they were incorporated into the new Pala d’Oro at decoration [91]. During the Liturgy of Preparation
San Marco. Because the epistyle of the southern (of the bread and wine), the proskomidia (→ 7.2.
church was over 6 m long, there were probably Sacraments, liturgy and pastoral care B.1.), the
seventeen large-format enamel plaques (recon- chalice and diskos were covered with kalymmata
struction: [1083–5, fig. 1]). (‘coverings’), each with an image of one of the
Noteworthy liturgical equipment dating from Communions of the Apostles (Halberstadt: [66282–
the Middle Byzantine period includes a metal-set 285]). The diskopoterion was also covered with the

alabaster diskos preserved in the Treasury of San aer (literally Greek ‘air’, the name for the largest
Marco, cloisonné with a bust of Christ Pantokra- veil over the diskos and chalice) for the Great
tor and cabochon gems [31no. 29], two chalices of Entrance. There is also ample evidence for textile
the reign of Romanos II and the patriarchal chal- icons, which were either embroidered or woven
ice bearing the words of institution for the wine. (Cleveland Tapestry: [83fig. 137]; [100fig. 170]).
These have partly reused sardonyx cuppae and
silver-gilt mountings with enamel images and C.2.3. Late Byzantine period
pearls [47no. 10 f., 16]. The diskos at Halberstadt is pure Plentiful material on Late Byzantine liturgi-
metal, with a crucifixion group, words of commen- cal equipment may be found in [30117–141]. Out-
dation and institution for the sacramental bread standing works include the silver-gilt relic box,
and medallions of Church Fathers and martyrs in with benefactor inscription in niello, from Trebi-
the octofoils and around the rim of the dish [46]. zond, usually associated with the future Cardinal
Two splendidly ornate pairs of book covers in Basilios Bessarion (Venice: [30no. 74]). The custom
the Treasury of San Marco [47nos. 9, 14] will have of decorating icon frames with jewelled and enam-
initially belonged to the gospel books intended elled silver facings, with scenes and ornaments
for the altar. Their decoration enlists every gold- created by pressing the silver on a template, which
smithing technique (silver-gilt covers, cloisonné dated from the Middle Byzantine period, reached
pictures, glass flow, pearls, jewels; → 10.10. Gold- its zenith now. In the 13th century, such ornamen-
smithing and silversmithing) to present homo- tation began to extend across the entire surface,
geneous pictorial programmes (Crucifixion and leaving only the icon figures showing through
Maria orans with Apostles, archangels and saints; [30243–251, nos. 150–155]. A famous example of such a
standing Christ, Maria orans, Apostles, archangels, thringion, donated by Constantine Akropolites
Church Fathers, male and female saints). Proces- and his wife Maria Komnene Tornikia Akropoli-
sional crosses of the Middle Byzantine period tissa, was combined in the 15th century with a
often have pictorial decoration with niello inlays Hodegetria icon made in Moscow [30no. 3].
and/or figural relief scenes [31nos. 21–27]. The two Many ecclesiastical textiles and priestly robes
examples depicting the Archangel Michael in the exhibiting a range of techniques (silk-weaving
Treasury of San Marco show that there were icons combined with gold and silver embroidery and
(see above, A.3.) made entirely by goldsmithing sewing with pearls and jewels) are preserved from
techniques in addition to painted and mosaic the Late Byzantine period [30nos. 177–195]. The cloth
icons [47nos. 12, 18]. Precious icons like this were used icon called the epitaphios, which like the aer bore
as ‘kneeling icons’ in private devotions. an image of the dead Christ, combined with cher-
Reliquaries for depositing in churches or for ubim, angels, Evangelist symbols and occasion-
personal use were designed as silver-gilt boxes ally a Communion of the Apostles, became very
with cloisonné illustrations (skull reliquary of important in the Good Friday and Easter Saturday
St. Praxedis: [3no. 39]) or as containers of various liturgy [30nos. 187–191]. Portrayals of the Hodegetria
forms. Staurotheques, or cross reliquaries, often icon (specifically the original icon from the Mon-
combined a triptych with a chest with sliding astery of the Panagia Hodegetria in Constanti-
lid (assembly: [35]). Reliquaries in the form of nople) as a ‘painting within a painting’ (London,
body parts (skull: [82]; hand: [81no. Me 81 figs. 47–51]) icon Triumph of Orthodoxy, 14th cent.: [30154 f.,
or ciboria (Demetrios Reliquary, Moscow: [7358–366, no. 78]; Akathistos Hymn: [76figs. 46, 76a, 112–114]) often
figs. 21a–e]) are rare. A wooden cross reliquary show a rolled-up covering veil (encheirion) and
painted in the manner of icon paintings, went to the embroidered cloth called the podea that con-
the Capella Sancta Sanctorum in Rome [3no. 38]. cealed the stand.
11.3. art 418

C.3. Courtly ceremonial sphere and siding over games, with circus scenes. The arrange-
elite private sphere ment of the leaves (inscriptions) reveals whether
they originated in Rome or Constantinople. Sur-
C.3.1. Early Byzantine period viving pieces date from between 406 and 540,
Of all the works of Early Byzantine toreutics with large gaps, and give important indications of
(→ 10.9. Non-ferrous metals), largitio dishes held stylistic development. Only one incomplete leaf
a pre-eminent position in the imperial gift-giving survives to illustrate the imperial diptych, made
system. Elite households owned table and cer- up of five elements per leaf (‘Barberini Diptych’
emonial services, toilet sets, lighting equipment of Justinian I, Paris: [102no. 48]; for other individ-
and more made of chased and hammered silver ual elements of five-part imperial diptychs, see:
bearing mythological portrayals [61]. Most such [102nos. 45, 47, 49–52]). These appear to have been
works have been found in hoards that were buried presented by the emperor, but the occasion is
and never retrieved. Silver vessels with Christian unknown. Diptychs are also found depicting high-
images will primarily have served liturgical pur- ranking officials (Probianus; Stilicho/Serena),
poses, but private use is not impossible. The nine important families (Lampadii: circus scene; Sym-
David Plates from the Second Cyprus Treasure are machi/Nicomachi: cult scenes), animal chases and
remarkable in terms of their artistry and content. deities [102nos. 54–65a].
The portrayals, especially that on the central plate ‘Private diptychs’, the individual purposes of
showing the fight between David and Goliath which are unclear, are dominated by pagan and
(1 Sam 17:1–54), are often, but not conclusively, mythological scenes [102nos. 66–82]. The many sur-
associated with the encomiastic efforts of Geor- viving ivory pyxides, boxes, furniture fittings and
gios Pisides, associating Herakleios with David in combs – all generally decorated with mythologi-
the context of his 629 Persian campaign (critical: cal reliefs – come from elite (and wealthy mer-
[61182–195]). cantile) domestic contexts [102nos. 83–106]. So too do
→ Ivory (10.14.) consular diptychs were crucial the ivory pyxides and combs with Christian scenes
vehicles of social communication for Early Byz- [102nos. 161–206], although it is possible that pyxides
antine elites [102nos. 1–44a]; [74]. Consuls for the may occasionally have been used as reliquaries
year would commission these diptychs and send in ecclesiastical contexts. The original function of
them to members of their own social class on their the Christian groups of five-element ivory diptychs
accession. They generally depicted the consul pre- (cf. fig. 10) is more difficult to determine [102nos. 112 f.,

Fig. 10: Front of a five-element diptych

with Old Testament and Christological
scenes (ivory, 35.5 × 30.5 cm,
Constantinople or Syria, 6th cent.). The
front leaf of this diptych, composed of
five elements (the rear leaf is lost) shows
Christ enthroned in the centre, flanked by
Peter and Paul and two males (angels?)
in the background. The field below shows
the three Israelites in the Burning Fiery
Furnace and an angel extinguishing the
flames with the cross. The upper strip
has two angels bearing a victory wreath,
incorporating a cross, up to heaven. To
the sides are angels in court costumes
with cross-staff and globe. At the top of
the left strip is the healing of the blind
man and below is the healing of the
possessed man. In the top right is the
raising of Lazarus from the dead with the
healing of the gout-ridden man below.
Christ in each case has a cross in his left
hand. The lower strip shows, reading
from right to left, Jonah being thrown
overboard, the sea monster that instantly
swallows him, and to the left, the repose
of the prophet, guarded by an angel,
under the shelter of the gourd, with the
sea monster indicating that the beast has
vomited him out.
419 11.3. art

119, 125–132, 142, 145].

Their character suggests that these the outer garments of emperors and angels. Only
may have been icons for private devotions. Their a small number of insignia survive. The corona
occasionally use as book cover decorations (Ech- graeca, the hoop of the Holy Crown of Hungary
miadzin Gospels) is secondary. Questions of the (St. Stephen’s Crown), which was later further
dating and geographical origins of Christian ivories embellished, was probably a woman’s crown
continue to be debated; Syria and Egypt (Alexan- originally intended for Synadene, wife of King
dria) have been suggested in addition to Constan- Geza I of Hungary (1074–1077) [5918–43, with many detailed
tinople as possible manufacturing locations. figs.]. The original assembly of the seven enamel

There are pictorial records of imperial orna- plaques of assorted sizes that form the ‘Crown of
ment and elite clothing in painting (mosaics, Constantine IX Monomachos’ is unclear [31no. 145].
book illumination) and sculpture (public monu- The votive crown of Leo VI [47no. 8] was meant
ments) [75]. Clothing regulations stipulated what to be hung up in a church (its reworking into a
garments and colours could be worn by particu- reliquary was secondary). Noteworthy objects
lar people. Martyrs, especially warrior saints, are include a pendilion from a loros (Dumbarton Oaks:
often shown in aristocratic court garb, consisting [31no. 146]) and the head of a sceptre (privately
of a short chiton and chlamys, belted with a cin- owned: [31no. 175]). Comprehensive documentation
gulum. There are many illustrations showing the of Middle Byzantine jewellery may be consulted
clothing of clerics (Church Fathers, patriarchs, in [9].
monks, nuns), which evolved somewhat over time. The courtly sphere was also the context for
Countless pieces of jewellery – fibulae, finger reliquaries, intended for the emperor or for the
rings, earrings, upper arm rings, bangles, necklaces (high-ranking) recipient of an imperial diplomatic
and belt fittings – survive from the Early Byzantine gift, declared to contain a fragment of the Holy
period, displaying all the techniques of goldsmith- Cross [31nos. 34, 110, 225]. Imperial examples include
ing (casting, chasing, opus interrasile, granulation, the Limburg Staurotheque (Limburger Staurothek;
niello, setting of jewels, gems and cameos; → 10.10. cf. fig. 11) [57], which first belonged to Con-
Goldsmithing and silversmithing). It was popular stantine VII Porphyrogennetos and Romanos II
to use coins in bangles (Dumbarton Oaks: [13100 f.]) (945/46–959) before it was reworked by order of
and belts (New York: [3no. 15]) in place of the often the proedros Basil Lakapenos (ca. 968/73–985/86)
ornamental discs worked in opus interrasile or and presumably donated to his Monastery of
decorated with busts. St. Basil in Constantinople. Many reliquaries were
Jewellery pieces with Christian scenes or sym- made, apparently for private individuals, in cap-
bols (esp. the cross) are of particular interest, sule form as enkolpia, containing relics or images
because it was often thought to serve an apo- of saints, to be worn round the neck as phylacteries
tropaic function or confer divine protection. A [31nos. 109–113, 115–117]. Most of these works combined
cross is often found as a pendant on a neck chain elements of chased and silver-gilt work, pictorial
(Mainz: [3no. 79]). A bangle made entirely of gold and ornamental enamel work, jewels and pearls to
(London: [3no. 86]) has a round medallion on the form Gesamtkunstwerke that fused relic and icon
closure bearing the image of a Maria orans. A wed- into an indissoluble whole.
ding ring at Dumbarton Oaks [13124 f.] associates the Cameos made from semiprecious stones and
bridal couple (with the inscription ‘Lord, help thy incorporated into costly metal settings also served
servants Peter and Theodotos’) with seven Chris- private devotions and could also be worn as phy-
tological scenes, reflecting intimate familiarity lacteries [31nos. 126–129, 131–135]. → Ivory (10.14.) boxes
with the life of Christ, since indeed Christ was used primarily as reliquaries, in contrast, are rare
seen as the guarantor of marital harmony. [31no. 78].
The production of ivory icons reached its
C.3.2. Middle Byzantine period zenith under the Macedonian Dynasty (ca. mid-
Some changes are visible in imperial ornament 9th cent.–mid-11th cent.; seminal: [39vol. 2]; [17]).
and elite clothing during the Middle Byzantine These were used in private devotions and impe-
period, for example in the form of the imperial rial propaganda. After a long abeyance, the pro-
crown [18], the drapery of the loros and the way duction of ivory carvings did not resume until the
the chlamys was worn. Particular garment types end of the 9th century. Among the oldest surviv-
and colours and particular headgear became oblig- ing works, made for Leo VI, are a small box now
atory for certain court dignitaries [89107–118, figs. 69–76] in the Palazzo Venezia in Rome [3no. 10] and the
and members of religious fraternities [95]. The upper section of a comb now in Berlin [81322–324,
tiraz (an honorific armband) was adopted from no. El17, pl. LVI]. Three basic types of ivory icons are

Near Eastern honorific clothing and attached to distinguished: two and three-leafed folding icons
11.3. art 420

(cf. fig. 12) and individual plaques, which may in (hat), although our only evidence is pictorial
some cases have belonged to larger compositions (kaftan and turban: dedicatory image of Theo-
(festival image cycles) [30no. 94]. dore Metochites in the Chora Church; see fig. 6;
The inner and outer sides of the side panels of kaftan and skaranikon: Alexios Apokaukos [30no.
triptychs are carved, as sometimes is the reverse 2]; skiadion: John VIII Palaiologos [30no. 319]; on the

of the centre panel. Some diptychs are decorated hierarchy of wearers according to pseudo-Kodinos
inside with New Testament scenes and outside cf. [1]).
with a large cross (Hannover/Dresden: [97no. I.27]),
while on others the reverse is blank (Dumbarton C.4. Everyday culture
Oaks/Gotha: [97no. I.28]), as if they perhaps deco- Everyday objects were usually made of cheap
rated the templon epistyle in a private chapel. materials, such as stone, base-metal alloys, glass,
Only very few triptychs survive intact (examples wood, clay and stucco, and were produced with
in [17figs. VI, 28, 77, 91 f., 124, 148, 152, 167, 169 f., 176, 222, 242]). Most mechanical techniques (casting reproductions of
were taken to the West as spoils, and their individ- existing objects). This stimulated the widespread
ual components were used to decorate liturgical circulation of Christian imagery among the broader
manuscript volumes or boxes. Some central panels populace. There is plentiful material on pilgrimage
of triptychs show Christ as Pantokrator, generally mementoes, lighting equipment (bronze and clay
in half-length, and others show the Crucifixion. lamps), scales and weights, jewellery, belt fittings,
Mary often appears, usually as the Hodegetria. bronze tableware, stamps, seals, → pottery (10.7.)
Apostles, Church Fathers and saints are depicted and other domestic effects in [97] (on pilgrimage
on inside panels. Some individual panels have an mementoes in particular: [101]).
additional epigram [81]. Themes from the festival The best source for the clothing of the prosper-
image cycle or Christological scenes in two reg- ous middle classes and the ordinary populace is the
isters of between four and six fields sometimes countless finds of ‘Coptic’ textiles made in Egyp-
decorated the central panels of triptychs [17fig. VIIf.]. tian tombs. These survive thanks to the extremely
A rare example of a cross reliquary integrated into arid climate of Egypt, but may be regarded as
an ivory icon is the Cortona Staurotheque [56]. representative of the entire empire. Finds include
Emperor images constitute a special group (Con- domestic textiles (blankets, cushions, cloths), wall
stantine VII Porphyrogennetos, Moscow: [3no. 11]; hangings and garments of all kinds (tunics, coats,
Romanos-Eudokia, Paris: [17fig. IV]). In both of these headgear). Materials (linen, wool) are woven and
examples, the main figure is Christ, who is bless- the abundant pictorial and/or ornamental decora-
ing the emperor or the imperial couple. Soapstone tions are embroidered or woven. Study of these
increasingly began to supplant ever rarer ivory in materials is a specialist field within Byzantine
the 11th century. An outstanding example in Paris archaeology. A survey is found in [83].
has two registers showing a hetoimasia (prepara-
tion of the throne for Christ returning for the Last Bibliography
Judgment, cf. Rv 22:1–4) with four saints and an
inscription [31no. 103]. Sources
The domestic furnishing of the imperial court [1] Pseudo-Kodinos and the Constantinopolitan Court.
and of elites included vessels – some of them Offices and Ceremonies, edited by R. Macrides et al.,
2013 [2] Photius, Patriarch of Konstantino-
ancient and reused in Byzantine time – from semi- pel, The Homilies, edited by C. A. Mango, 1958.
precious stones or rock crystal produced by stone-
cutting and impressive → glass (10.12.) vessels. Secondary literature
Examples may be found in the Treasury of San [3] Byzanz. Pracht und Alltag (exhibition catalogue),
Marco [47nos. 1–5, 20, 22–26]. So-called ‘rosette boxes’ 2010 [4] N. Asutay-Effenberger / A. Effen-
were very popular; although their mythological berger, Die Porphyrsarkophage der oströmischen
relief decoration indicates they predominantly Kaiser. Versuch einer Bestandserfassung, Zeitbestim-
belonged to a private context, biblical depictions mung und Zuordnung, 2006 [5] S. Bassett, The
can also be found on them [39vol. 1]. An ivory box Urban Image of Late Antique Constantinople,
from Troyes depicts scenes from an imperial hunt 2004 [6] F. A. Bauer, Stadt, Platz und Denkmal in
der Spätantike. Untersuchungen zur Ausgestaltung
[31no. 141]. des öffentlichen Raums in den spätantiken Städten
Rom, Konstantinopel und Ephesos, 1996 [7] F. A.
C.3.3. Late Byzantine period Bauer, Eine Stadt und ihr Patron. Thessaloniki und
Late Byzantine clothing, particularly of elites, der Heilige Demetrios, 2013 [8] H. Belting et al.,
is remarkable for the almost complete adoption The Mosaics and Frescoes of St. Mary Pammakaristos
of Eastern garment forms like the kabbadion (kaf- (Fethiye Camii) at Istanbul, 1978 [9] A. Bossel-
tan), turban, skaranikon (headdress) and skiadion mann-Ruickbie, Byzantinischer Schmuck des 9. bis
421 11.3. art

Fig. 11: Limburg Staurotheque (Limburger Staurothek), opened (sycamore wood

covered with gilded sheet silver, figural and ornamental enamel plaques, set
precious stones and pearls, 48 × 35 × 6 cm, Constantinople, ca. 945/46 and
968/73–985/86). The shaped recess contains a patriarchal cross in which seven
fragments of the True Cross are embedded. The inscription on the reverse of
the silver-gilt case names Constantine VII and his son Romanos II as donors.
The staurotheque was originally intended to be transported at the head of
the imperial army on campaign as a protective symbol promising victory. The
encircling inscription reveals that the proedros Basil had had the container
‘beautified’, i.e. reworked. The small doors on the relic compartments bear
the images of ten angels and the eight cherubim and seraphim called exousiai
(‘powers’) and the two called archai (‘principalities’), all gathered around the
cross. These were the highest of the heavenly hierarchies, and they guarded the
cross relics. According to the inscriptions, the compartments behind the small
doors contained pieces of the most prestigious relics of Christ that were kept
in the Church of the Theotokos of the Pharos at Constantinople (swaddling
clothes, crown of thorns, shroud, loincloth, purple chlamys, vinegar sponge,
bandages), fragments of the veil (maphorion) and girdle of Mary, from the
Churches of the Theotokos of Blachernae and Chalkoprateia respectively, and a
lock of the hair of John the Baptist. There was also another fragment of girdle,
donated according to the inscription by a Bishop of Zela.
11.3. art 422

Fig. 12: Triptych, central panel: Crucifixion with Mary and John, Constantine and Helena and
the Archangels Michael and Gabriel. Side panels: ten medallions showing prophets, Apostles,
Church Fathers and saints (ivory, 25.2 × 28.5 cm, Constantinople, 10th cent.). As is often the
case, the Crucifixion group has inscriptions giving the words of commendation from John 19,26 f.
(‘Behold thy son’ – ‘Behold thy mother’). They express the notion that Christ, dying as a mortal
(eyes closed) but immortal as divine logos, appointed his mother and his favourite disciple,
John, as intercessors for humankind while hanging on the cross. Emperor Constantine and his
mother Helena, long venerated as saints in the Byzantine Church, make gestures of participation
in the intercession. The inscription on the tabula and the upper part of the shaft of the cross
declares Christ to be o basileus tes doxes, ‘King of Glory’. On the side panels are pairs of figures,
accompanied by the obligatory inscriptions: from top to bottom, John the Baptist and Elijah,
Paul and Peter, Sts. Stephen and Panteleimon, John Chrysostom and Nicholas of Myra, Cosmas
and Damian. The explanation for the presence of the three physician-saints Panteleimon,
Cosmas and Damian may be found in the inscription on the lower part of the cross shaft:
‘As the flesh has suffered, so God shall redeem from suffering’.

frühen 13. Jahrhunderts. Untersuchungen zum metal- einem Anhang zur Polyeuktoskirche in Istanbul,
lenen dekorativen Körperschmuck der mittelbyzan- 2008 [13] G. Bühl (ed.), Dumbarton Oaks. The Col-
tinischen Zeit anhand datierbarer Funde, 2011 [10] lections, 2008 [14] N. Chatzidakis, Hosios Lou-
S. A. Boyd / M. Mundell Mango (eds.), Ecclesias- kas. Byzantine Art in Greece, 1997 [15] N. P.
tical Silver Plate in Sixth-Century Byzantium (Papers Constas, Symeon of Thessaloniki and the Theology
of a Symposium, Baltimore/Dumbarton Oaks 1986), of the Icon Screen, in: S. E. J. Gerstel (ed.), Thresh-
1992 [11] B. Brenk, The Apse, the Image and the olds of the Sacred. Architectural, Art Historical, Litur-
Icon. An Historical Perspective of the Apse as a Space gical, and Theological Perspectives on Religious
for Images, 2010 [12] R. Brüx, Faltkapitelle. Unter- Screens, East and West, 2006, 163–183 [16] A. Cut-
suchungen zur Bauskulptur Konstantinopels. Mit ler, The Aristocratic Psalters in Byzantium,
423 11.3. art

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Craftsmanship, Ivory, and Society in Byzantium (9th– chiesa giustiniana, 2004 [43] L. Hadermann-Mis-
11th Centuries), 1994 [18] G. Dagron, Couronnes guich, Kurbinovo. Les fresques de Saint-Georges et
impériales. Forme, usage et couleur des stemmata la peinture byzantine du XIIe siècle, 2 vols., 1975 [44]
dans le cérémonial du Xe siècle, in: K. Belke et al. R. Hamann-Mac Lean / H. Hallensleben, Die
(eds.), Byzantina Mediterranea. Festschrift J. Koder, Monumentalmalerei in Serbien und Makedonien vom
2007, 157–174 [19] F. Daim / J. Drauschke (eds.), 11. bis zum frühen 14. Jahrhundert, vol. 1, 1963 [45]
Byzanz. Das Römerreich im Mittelalter, part 1: Welt M. Harrison, Ein Tempel für Byzanz. Die Entdeck-
der Ideen, Welt der Dinge, 2010 [20] J. G. Deckers ung und Ausgrabung von Anicia Julianas Palastkirche
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in Istanbul, in: E. Dassmann (ed.), Akten des XII. Halberstadt. Der byzantinische Diskos des Halber-
Internationalen Kongresses für Christliche Archäolo- städter Domschatzes, 2011 [47] H. Hellenkemper
gie (Bonn 1991), vol. 2, 1995, 674–681 [21] O. Demus, (ed.), Der Schatz von San Marco in Venedig (exhibi-
The Church of San Marco in Venice. History, Architec- tion catalogue), 1984 [48] Ø. Hjort, The Sculpture
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Byzantium, 31964 [23] O. Demus, The Style of the handschriften, vol. 5/1–2: Oxford, College Libraries,
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Ikonen, 1991 [25] M. Dennert, Mittelbyzan- Sculpture in Asia Minor, 1966 [52] R. H. J. Jenkins
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Byzantinische Kunst Berlin, in: Jahrbuch der Berliner Thresholds of the Sacred. Architectural, Art Historical,
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G. Galavaris, The Illustrations of the Liturgical lien des Johannes Chrysostomos in Byzanz, 2004 [61]
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Alternative View of the Late Byzantine Sanctuary minated Prophet Books. A Study of Byzantine Manu-
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Sacred. Architectural, Art Historical, Liturgical, and T. Macridy, The Monastery of Lips (Fenari Isa
Theological Perspectives on Religious Screens, East Camii) at Istanbul. With Contributions by A. H. S.
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12. Language, literature, culture and education
12.1. The literary language of Byzantium for all subsequent linguistic development of the
12.2. Literature Byzantine period [17].
12.3. Culture of writing and books I: Painted, However, in the latter part of the Hellenistic
chiselled, etched – the epigraphic tradition period (ca. 1st cent. bc/ad), however, a form of
12.4. Culture of writing and books II: Books and diglossia (use of two dialects/registers) was already
libraries – writing and reading in Byzantium emerging in Greek literature. A bitter struggle
12.5. Culture and education – imparting against opposing views led to the hardening of a
knowledge in Byzantium strictly purist movement that sought to reverse all
simplifications deriving from the koine. The main
12.1. The literary language of Byzantium agents of this movement were official rhetors,
who regarded the classical Attic prose of the 4th
A. Introduction century bc as authoritative. The final triumph of
B. The registers of the learned language this “atticizing” form was then sealed by the great
C. The vernacular language Church Fathers of the 4th century ad, Gregory of
Nazianzus, Basil of Caesarea and Gregory of Nyssa,
A. Introduction who wrote for the educated elite of their times and
Over a long time, the Byzantine Empire was used its language. They thus paved the way for the
geopolitically a complex, multi-ethnic entity with smooth adoption of atticizing Greek in the written
a wealth of languages for communication. Some culture of Christian Byzantium and also decided
of these languages (e.g. Coptic, Syriac, Armenian the long-term literary fate of koine.
and, later, Old Church Slavonic) were also major Whereas at first both linguistic registers were
cultural languages with their own scripts and lit- freely available to perspective authors within the
eratures. Besides, there was also Latin, the official given rules of genre, the triumph of the atticizing
language of the ancient Roman Empire, which learned language in the 4th century pushed koine
continued to play a major role in Byzantium until into a secondary position. As a literary medium, it
well into the 6th century. Latin remained the became confined to technical literature and simple
uncontested language of the military and of the narratives, such as early saints’ lives (→ 7.3. Sanc-
law throughout the Early Byzantine period. It was tity, piety and deviance A.) or chronicles, which
used, for instance, in the Corpus Juris Civilis (→ 4. lacked high artistic pretensions and addressed a
Legislation and legal practice), the great collection broad, mostly uneducated public with didactic
of laws commissioned by → Justinian I (2.3.). Latin and edificatory intentions. The only text written
was also firmly established in government and in this linguistic register which enjoyed the utmost
court ceremonial [8]. With only a few exceptions, respect even of the highly erudite Church Fathers
however (e.g. the Syrian Ammianus Marcellinus in was the Holy Writ. It therefore comes as no sur-
the 4th century, the North African Corippus and prise that koine became the dominant linguistic
the Goth Jordanes in the 6th, all of whom wrote form for scanty literary production of the ‘Dark
in Latin), Greek was the literary language of the Ages’ (7th/8th cents.), during which the empire
Eastern Roman Empire (→ 12.2. Literature) [7]. It was beset by external threats (conflict with the
was, however, far from a uniform, unchanging lan- Arab Caliphate, Slavic invasions) and internal
guage. On the contrary: both the spoken and writ- strife (Eikonomachia; → 7.1. Doctrinal history C.).
ten language of Byzantium underwent profound The resolution of the Iconoclasm and the con-
lexical, morphological and syntactical changes, sequent revival of the empire’s strength that began
building on processes that were already underway in the 9th century also permitted the consolida-
in Antiquity [3]; [15]. tion of education and culture (→ 12.5. Culture and
education). Educated people turned back to the
B. The registers of the learned literary tradition of Antiquity, and energetic efforts
language were made to transcribe old codices written in the
The natural evolution of Greek in Antiquity, majuscule script into minuscule, a form of cursive
combined with the political and later cultural with word separation and punctuation that made
dominance of Athens, had made Attic the author- texts easier to read (→ 12.4. Books and libraries C.),
itative dialect, overshadowing Doric, Aeolic and thereby rescuing them from decay and oblivion.
Ionic. The conquests of Alexander the Great estab- This intensifying engagement with the ancient
lished it throughout the East as a key language of auctores gave the purist atticizing movement a
spoken and written communication. A simplified, new impetus. Prestigious figures such as Arethas
standardized form of Greek became the ‘common of Caesarea and Patriarch Photios regarded Atti-
dialect’ (koine) of the educated urban classes from cizing Greek as an imperative and imposed it as
Greece to Egypt, Persia and far beyond. It was very obligatory for all ‘high’ literary genres – primar-
widely used in literature, and remained the basis ily rhetoric, but also historiography. Tolerance
12.1. the literary language of byzantium 426

towards the formerly dominant colloquial style phology (loss of the dative and dual and middle
eroded steadily. As a result, the early hagiographies forms, the optative and the pluperfect; reduction
came to be regarded as linguistically obsolete, and of infinitive and participle constructions; a general
they were transposed into a more suitable form. tendency toward parataxis in syntax) were already
This was a vast project that earned its author, the underway before the Byzantine period [15]; [3].
high ranking imperial official Simeon, the epithet This important source increasingly dries up, how-
Metaphrastes (‘the Translator’; → 12.2. Literature ever, in the period after the Byzantine Empire lost
E.6.). Egypt to the Arabs (ca. 640).
The special status of the atticizing learned The only evidence for subsequent develop-
language thereafter remained unaltered until the ment in the spoken language is indirect. One such
final fall of the Byzantine Empire in 1453 (and even source, for example, are the acclamations (recorded
beyond). Anyone who wanted to pursue a career in historical works), chiefly rhythmical, by which
in government, to exert political influence or even the people or the circus factions expressed their
simply to enjoy respect at court had to command wishes and (more often) criticism at official cer-
and use this esoteric ‘insider language’, particularly emonies [125–28]; [15256–261]. There is also evidence
in the Late Byzantine period. A range of Attic lex- of the spoken language in the inscriptions written
ica and grammars, as well as the schede that began in phonetically spelt Greek that have been found
to appear in the late 11th century (‘School Exer- in the territories newly occupied by the Proto-
cises’; → 12.4. Books and libraries G.), impressively Bulgars (mainly in the north of modern Bulgaria)
document how much effort was invested in order [15254–256] and in a few texts in a Greek-Hebrew
to master the learned language, and how demand- hybrid language (written in the Hebrew alphabet)
ing the process was. Byzantine Attic, however, was in the archive (genizah) of the Ezra Synagogue in
not identical to Classical Greek. It exhibited pecu- Cairo [10].
liarities of its own, which even today have yet to The spoken idiom only began to be accepted as
be properly studied [13]; [14]. a literary medium in the 12th century, of course in
The care of atticizing Greek did not impede a stylized poetic form [1]; [4]. The language used
the broad spread of koine, even if it possessed an was transregional, without dialectal coloration,
inferior literary status in the eyes of scholars. It and it combined elements of the learned written
certainly dominated all genres of utilitarian litera- language with purely popular elements from the
ture unchallenged. Scientific treatises, documents oral tradition. This peculiar mixture, however,
of the secular and ecclesiastical administration, was probably a product of the absence of any
many homilies and other texts were written in the normative orthography and morphology at the
lower register. The gulf between the two literary time, rather than a deliberate stylistic choice [11].
languages widened steadily over the course of the Finally, it is noteworthy that this new openness to
centuries, to the point that even people with an the ‘popular language’ did not come ‘from below’,
average school education could no longer cope but began at court [151]; [5]. It is significant that
with the high, rhetorical language. Attempts to the first vernacular ‘beggar-poems’, the Ptochopro-
remedy this situation began in the 14th century, dromika, are dedicated to two Komnenos emper-
as linguistically difficult texts (especially histori- ors, John II (1118–1143) and Manuel I (1143–1180),
cal works) were transposed from the learned lan- and another member of the imperial family
guage into a koine accessible to a wider readership. (→ 12.2. Literature F.8.).
Metaphrases like this survive, for instance, for It is also important to understand that the
the history of Niketas Choniates [9] and parts of three forms of the literary language – koine, atti-
the Alexiad of Anna Komnene (→ 12.2. Literature cizing Greek and the vernacular language just dis-
G.3.4.) [16]. cussed – were not static or monolithic entities. The
boundaries between the levels were permeable. In
C. The vernacular language particular, the remarkably flexible, nuanced koine,
The term diglossia does not fully reflect the which could be understood at least passively by
linguistic situation in Late Antiquity and Byzan- everyone until deep into the Byzantine period,
tium, for there was a third linguistic level, poorly was open – unlike the erudite learned language –
attested (because rarely recorded in writing): the to the living language of verbal communication,
level of everyday communication. An impressive which it incorporated to varying degrees. Its spec-
body of papyrus letters give insight into this spo- trum was accordingly broad, along a sliding scale
ken koine prior to the Byzantine period, allowing from a high register peppered with Atticisms
scholars to reconstruct the key elements of spo- through a middle-range (and dominant) stylization
ken Greek. The papyri clearly document that all to a virtually colloquial style. Even Attic, although
the major changes in pronunciation (the conver- certainly less adaptable and more elitist, was
gence of the diphthongs ei/oi and the vowels eta anything but uniform. It also displayed different
and upsilon to the phonetic value /i/) and mor- nuances and graduations according to an author’s
427 12.2. literature

skill and intentions, and it was not always able Sprachkunst, 2007, 107–142 [14] M. Hinterberger
to avoid idiomatic expressions or foreign words, (ed.), The Language of Byzantine Learned Literature,
which were invariably accompanied by apologetic 2014 [15] G. Horrocks, Greek. A History of the
mantras [18]. Even the popular language, having Language and its Speakers, 1997 [16] H. Hunger,
Anonyme Metaphrase zu Anna Komnene, Alexias
risen from the ‘underground’ of orality to claim XI–XIII. Ein Beitrag zur Erschließung der byzan-
a place in the literary culture, never freed itself tinischen Umgangssprache, 1981 [17] J. Niehoff-
from the influence of school learning. As a literary Panagiotidis, Koine und Diglossie, 1994 [18] I.
language, it therefore displays not only a colourful Ševčenko, Levels of Style in Byzantine Prose, in: JÖB
mix of more ancient and more modern forms, but 31, 1981, 289–312.
also nuances and stylistic ‘pitches’ [12].
Although the complex interweaving of the three Carolina Cupane
linguistic levels of Byzantine Greek is undeniable,
their coexistence became controversial after the fall 12.2. Literature
of Byzantium. Advocates of the learned and popu-
lar registers fought bitterly throughout the Otto- A. Introduction
man period, the first phase of the conflict focusing B. Foundation period (4th–late 5th centuries)
mainly on the vulgarization of Holy Scripture [6]. C. Early Byzantine period (late 5th–
This language war was not definitely settled – mid-7th centuries)
in favour of the demotic – until the end of the D. The ‘Dark Ages’, Iconoclasm and cultural
20th century. decline (mid-7th–8th centuries)
E. The age of collecting and the culture of the
Bibliography sylloge (9th–10th centuries)
[1] H.-G. Beck, Geschichte der byzantinischen Volks­ F. Literary productivity in the 11th and 12th
literatur, 1971 [2] R. Browning, The Language of centuries and the 12th-century ‘Renaissance’
Byzantine Literature, in: S. Vryonis (ed.), The ‘Past’ G. The last centuries of Byzantium (13th–15th
in Medieval and Modern Greek Culture (Byzantina centuries): literary tensions and contradictions
kai Metabyzantina 1), 1978, 103–133 [3] R. Brown-
ing, Medieval and Modern Greek, 21983 [4] C.
H. Finale
Cupane, Volkssprache und Volksliteratur in Byzanz,
in: N. Kössinger et al. (eds.), Anfangsgeschichten. A. Introduction
Der Beginn volkssprachlicher Schriftlichkeit in kom-
paratistischer Perspektive / Origin Stories. The Rise A.1. Concept of literature
of Vernacular Literacy in a Comparative Perspec- A.2. Categorization and periodization
tive, 2018, 39–70. [5] C. Cupane, Wie volkstüm-
lich ist die byzantinische Volksliteratur?, in: BZ 96, A.1. Concept of literature
2003, 577–599 [6] C. Cupane, Kontroversielles In the Middle Ages, the understanding of what
über die κοινὴ γλῶσσα im 16. Jahrhundert. Pachomios
Roussanos und Nikolaos Sofianos, in: E. Trapp /
may be considered literature differed greatly from
S. Schönauer (eds.), Lexicographica Byzantina, the modern one. Modern people recognize only
2008, 243–260 [7] G. Dagron, Aux origines de la fictional, autoreferential and subjective works
civilisation byzantine. Langue de culture et langue with a high degree of stylistic sophistication (i.e.
d’État, in: Revue historique 241, 1969, 23–56 [8] G. belles lettres) as literature, whereas medieval
Dagron, Formes et fonctions du pluralisme linguis- scholars would unhesitatingly include all writing,
tique à Byzance (IXe–XIIe siècles), in: TM 12, 1994, including technical, philosophical and theologi-
219–240 [9] J. Davis, The History Metaphrased. cal treatises. Even utilitarian texts of this kind fell
Changing Readership in the Fourteenth Century, in: under the category of logoi (literary culture), and
A. Simpson / S. Efthymiadis (eds.), Niketas Cho- they were an integral part of a comprehensive
niates. A Historian and a Writer, 2009, 145–163 [10]
N. De Lange, Greek Jewish Texts from the Cairo
education. Excluding such texts from the literary
Genizah, 1996 [11] M. Hinterberger, Sprachliche canon would therefore run counter to Byzantine
Variationsformen in volkssprachlichen metrischen thought, in which entertainment, scholarship and
Werken der spätbyzantinischen Zeit, in: N. M. Pan- edification were inextricably interwoven, and
ayiotakis (ed.), Origini della letteratura neogreca, verse was a perfectly suitable vehicle for present-
vol. 1, 1993, 158–168 [12] M. Hinterberger, How ing scientific and technical material and for con-
Should We Define Vernacular Literature? (Paper veying knowledge (→ 12.5. Culture and education
Given at the Conference ‘Unlocking the Potential H.). Accordingly, this section will also include
of Texts: Interdisciplinary Perspectives on Medieval technical literature, albeit peripherally and with
Greek’, Cambridge 2006), 2006 (https://www.mml.
cam.ac.uk/sites/www.mml.cam.ac.uk/files/hinter-
reference to the relevant sections elsewhere in this
berger.pdf) [13] M. Hinterberger, Die Sprache volume. The criterion for classification as Byzan-
der byzantinischen Literatur. Der Gebrauch der tine literature will be language (→ 12.1. The liter-
synthetischen Plusquamperfektformen, in: M. Hin- ary language). Although works were produced in
terberger / E. Schiffer (eds.), Byzantinische many different languages across the territories of
12.2. literature 428

the Byzantine Empire as they fluctuated over time government and culture emerged as a distinct
(Syriac and Latin production being particularly phenomenon from the ‘liquidation’ of the Roman
important in the first centuries and Old Church Empire. Nor does the Byzantine self-designation
Slavonic in later periods), and although these can lend any assistance, given that the Byzantines
with some justification be regarded as Byzantine always saw their world as the Roman world, and
literature, the discussion here will follow the Byz- themselves as Romans (Rhomaioi; → 2.1. View of
antines’ own concept of their culture and consider the state A.; → 15.1. The Byzantine worldview).
only those authors who wrote in Greek. ‘Turning points’ or historically relevant events,
such as the foundation or consecration of Con-
A.2. Categorization and stantinople (324/330), the division of the Roman
periodization Empire into an eastern and a western part by
Theodosius I in 395 or the collapse of the Western
A.2.1. Introduction Roman Empire in 476, do not reflect watersheds
A.2.2. Chronological framework: beginning in literature, nor do they interrupt the broad flow
and end of a literary production that was largely predi-
cated on continuity and imitation. Historians
A.2.1. Introduction have highlighted the special status of the period
Imposing a meaningful and coherent order on of transition between Classical Antiquity and the
the considerable quantity of material is a problem Middle Ages in the West by calling it ‘Late Antiq-
to which no generally valid solution has yet been uity’ [40]; [41]; [51], and its outer limit has been
found. The effort to subdivide Byzantine literature gradually shifted so far forward in time that it
in handbooks [77]; [34]; [35]; [59] into profane is sometimes described as lasting long into the
learned, vernacular and theological literature has 7th century [1033 f.].
not proved sustainable, because many Byzantine Historians of Late Antique literature, for their
authors wrote in different fields and in different part, find a natural boundary in the emergence
linguistic registers. Such a strict categorization of the national vernacular languages, which
therefore split up related material, and also failed took place at different dates in different regions
to do justice to particularly versatile scholars, [1045–8, 15–17]. However, the situation is far more
such as Michael Psellos (see below, F.4. et al.) or complex in the case of Byzantium. Some scholars,
Theodore Prodromos (see below,  F.6.–F.8.). More following in the tradition of the founder of Ger-
recent surveys with no pretensions to complete- man Byzantine studies [771 f.], tend to view the
ness [25]; [67]; [100] accordingly also include theo- foundation of Constantinople as the beginning
logical and vernacular writings in their accounts. not only of the history of Byzantium, but also of its
Categorizing material by genre is equally problem- literature; these scholars think in terms of a long
atic. It frequently runs the risk of fragmenting an ‘Early Byzantine’ period encompassing the whole
author’s presence, since many Byzantine authors of ‘Long Late Antiquity’, from the 4th to the 7th
experimented with more than one generic form. centuries [97600]; [27]. Others follow a more mod-
At the same time, the typically medieval predilec- ern trend that places the birth of Byzantine litera-
tion for hybrid literary forms and the fluid and ture in the age of Justinian (527–565) [67]; [100]
unsystematic concept of genre itself [85] under- or even during the phase in the mid-7th century
mine such categorization. that followed the death of Herakleios [68]. Both
For these reasons, the most suitable approach approaches are tenable, provided that one remem-
seems to be chronological, so that Byzantine lit- bers that any such classification can claim only
erary accomplishments may be presented in their practical value and is ultimately arbitrary.
ever-changing historical context, developments Nevertheless, this account will begin, in a spirit
may be followed, innovations and changes may be of ‘well-considered caprice’ [35IX], in the late 5th
identified and outstanding authors may be appre- century. The 4th century and first half of the 5th,
ciated in full. a period indisputably crucial to the future devel-
opment of Byzantine literature, will be consid-
A.2.2. Chronological framework: ered as a kind of entryway to the literary edifice
beginning and end within. Although the fateful year 476, historically
Establishing a definitive chronological frame- relevant though it may be, represented neither a
work, however, is not straightforward. Although sea change nor a watershed in literary activity,
consensus prevails regarding the end of Byzan- there were profound changes underway during
tium, given that the Ottoman conquest of Con- this period, despite all evidence of continuity, and
stantinople in 1453 put an end to the existence of they justify designating a new beginning [30]. First
the Byzantine Empire and with that, officially at of all, the status of Latin as an equal-ranking lit-
least, to its literature, no such date can readily be erary language, as it had hitherto been officially
pinpointed for the moment at which Byzantine recognized, began to waver [71411 f.], and levels of
429 12.2. literature

Latin proficiency declined precipitously, so that Theodore of Cyzicus [24p. 84, l. 20]). Even so, educa-
the language disappeared almost entirely by the tion remained based on the study of classical texts,
end of the 6th century. → Justinian (2.3.) was the because these were all that was available to those
last Byzantine emperor whose mother tongue was wishing to learn. Where their content was found
Latin, and it was during his reign and that of his questionable, the tried and tested method of
successor that the last works in Latin were written allegorical interpretation was available, as it had
at Constantinople: the histories of the Goths and already been to the ancients and the Jews. Morally
Romans by Jordanes (ca. 551), and the panegyric reprehensible content was thus separated from
to Justin II, In laudem Iustini minoris, by Corippus form, which was exemplary and to be imitated.
(566/67). Leading figures of Christian erudition thus also
Pagan literary production, meanwhile, was laid claim to the legacy of Antiquity. Basil, Bishop
increasingly suppressed and finally extinguished. of Caesarea, his brother and colleague Gregory of
The closure of the Platonic Academy of Athens Nyssa, the latter’s friend Gregory of Nazianzus and
by order of Justinian in 529 set the symbolic seal the patriarch of Constantinople, John Chrysostom,
on this irreversible process, although it failed to showed the way. Their writings remained models
prevent either the survival of Platonic thought or to later generations, not only for their theologi-
the popularity of pagan mythology as a literary cal and moral content, but also for their stylistic
reference system. At the same time, new, typically refinement. Even in the 11th century, Michael
Christian genres were emerging, drawing inspira- Psellos, a scholar of high calibre in his own right,
tion from the Near East, especially Syria, and pav- still expressed his admiration for them (Charac-
ing the way for the future. teres Patrum 124–131 [15]; cf. [58]).
Ancient eloquence lived on in the sermons of
B. Foundation period these Church Fathers. The letters of Gregory of
(4th–late 5th centuries) Nazianzus were highly esteemed throughout the
Byzantine period and represented the ultimate
B.1. Christian appropriation of ancient literary reference model for aspiring writers. The church
forms historian Socrates Scholasticus (5th cent.) claimed
B.2. In the footsteps of Hellenistic poetry rhetorical competence and brilliance also in Chris-
B.3. Innovative approaches tian writings. If they were to counter the attacks of
the pagans effectively with arguments, he insisted,
B.1. Christian appropriation of the simplicity of Holy Scripture would not suffice:
ancient literary forms for although the Scripture knew and teached the
→ Constantine (2.2.) consecrated the new words of God’s thruth, it lacked the means to
capital of the Roman Empire on the Bosporus on repel the pagan enemy with their own linguistic
May 11, 330 and gave the city his name. With Con- armoury (Ecclesiastical History 3,17 f.; 3,22 [21]).
stantinople as its centre, at the junction of trade
routes yet far from the waves of barbarian activ- B.2. In the footsteps of Hellenistic
ity that would submerge and destroy the Western poetry
Roman Empire over the following century, clas- Once the unity of content and form was dis-
sical culture could continue unhindered. In con- rupted, the latter automatically became avail-
trast to regions that were repeatedly devastated, able for new applications and contexts. The epic
depopulated and consigned to barbarism, urban form, language and metre of Homer became more
life continued to thrive here. With it also survived widely usable. The same Nonnus who had written
a schooling system (→ 12.5. Culture and education the Dionysiaca, the last pagan epic, on the eve of
B.), charged with nurturing the legacy of ancient the Middle Ages, had no objection to paraphras-
literature, and an educated society that both ing the Gospel of John in Homeric hexameters.
consumed and produced literature. The literary The abundance of surviving manuscripts attests
forms of Antiquity thus continued to be upheld, to the popularity, even in later centuries, of this –
unhampered by the rapid Christianization of soci- for modern tastes – peculiar amalgam. Nor would
ety. In the first place, this meant Homeric epic, Nonnus’ experiment be an isolated case. The well-
which had a late exponent, for instance, in Non- read Greek-born empress Athenaïs-Eudocia, con-
nus of Panopolis, the early 5th-century author of sort of Theodosius II (408–450), told the life story
a gigantic poem in 48 cantos on the deeds of the of Christ in a collage of Homeric lines. Such ‘patch-
god Dionysus (Dionysiaca; see below, B.2.). Non- work poems’ (centones), in which faithful retelling
nus himself found some imitators. merged with artful variation, are – for all their
Christian authors were well aware of the affectation – impressive evidence of astonishing
contrasts between the two philosophies, pith- linguistic virtuosity. They attest to their authors’
ily expressed with the key words about ‘our’ (i.e. profound knowledge of the Homeric epics, as well
Christian) versus ‘foreign’ (i.e. pagan) culture (e.g. as their firm intention of achieving a fusion of
Constantine VII Porphyrogennetos, epistle 1 to Christian salvation story and classical form.
12.2. literature 430

B.3. Innovative approaches art and literature, both in the traditional literary

Deeply bound to tradition though it was, this genres and in the field of new Christian genres.
period also boasted relevant literary innovations.
The Vita Antonii (ca. 365) written by Patriarch C.2. Classical literary prose
Athanasius of Alexandria created a monument to Historiography is a pre-eminent example of
the new Christian hero, the ascetic, and became the abiding power of the Classical literary tradi-
a reference work for later hagiography, e.g. the tion. Its most important and best-known exponent
lives of Pachomius (4th/5th cents.) and Simeon was Procopius. Born in Caesarea in Palaestina,
Stylites the Elder (5th cent.) and the so-called Procopius underwent rhetorical and legal training
Historia Lausiaca of Palladius (5th cent.). Atha- and served as legal and military advisor to Justin-
nasius drew inspiration from the Late Hellenistic ian’s famous general Belisarius from 527 to 542.
genre of the philosopher biography, but reversed Accompanying Belisarius, he experienced at first
its focus entirely. Whereas the philosopher biog- hand the victorious campaigns against the Sassa-
raphies highlighted the public impact and out- nids, Vandals and (in part) the Ostrogoths, which
standing deeds of their heroes, the vitae praised he described in eight books (Bella, ca. 545/51). In
withdrawal from the world and seclusion as the these works, the author’s classical paideia (‘educa-
ideals of human perfection. This genre played an tion’, ‘erudition’) is apparent at every turn. It runs
eminently important role in Byzantine literary far deeper than the formal level: this is a scholar
production (see below, C.4.) and remained popu- who has made Thucydidean style and Platonic
lar until the early modern period, as is clearly thought his own [6317–61, 94–117]. Criticism of Justin-
evidenced by the overwhelming abundance of ian’s policies is kept between the lines in the Bella,
surviving manuscripts. and there is no indication of a generally negative
Eusebius of Caesarea meanwhile took the ven- view of the emperor.
erable genre of historiography in new directions Procopius’ Historia arcana (‘Secret History’) is
in the first quarter of the 4th century, putting the a quite different matter. This work is a diatribe
turbulent history of the Church and the Christian against the imperial couple, planned by Procop-
persecutions down to his own day at the centre of ius (perhaps in anticipation of a change of ruler)
his account. His ten-volume work, which passed as an appendix to Book 7 of the Bella, but never
through several editorial phases, was continued in published because political conditions changed
the 5th century by Socrates Scholasticus, Sozomen (hence its alternative title of Anekdota, ‘Unpub-
and Theodoret, Bishop of Cyrrhus. A free Latin lished material’) [105]. Procopius here harnesses
translation by Rufinus and adaptations into Syriac circulating rumours to assert a direct link between
and Armenian earned it renown far beyond the the emperor and the extraordinary barrage of nat-
boundaries of the Byzantine Empire. ural catastrophes that were afflicting the empire,
portraying Justinian as a demonic creature, even
C. Early Byzantine period the Antichrist (Procop. Arc. 12,12–23 [14]; cf. [84342–
(late 5th–mid-7th centuries) 443]). He also paints a distorted picture of Empress

Theodora as a vengeful megalomaniac and nym-

C.1. The historical context phomaniac, the product of the most humble social
C.2. Classical literary prose origins (Procop. Arc. 9,9–34 [14]; cf. [53]) that to
C.3. Poetry during the reign of Justinian this day underpins her dubious reputation.
C.4. Tales of the new heroes Historians after Procopius likewise followed in
C.5. The workings of God in history: the invention the footsteps of Thucydides and Herodotus. These
of the world chronicle include Agathias, who continued Procopius’ his-
C.6. Poetry in the service of God tory and dealt with the period up to 559 in five
books, and Theophylaktos Simokattes (Theophy-
C.1. The historical context lact Simocatta), who wrote a history of the reign
The beginning and end of this span of time are of Emperor Maurice (582–602) during the reign
marked by two outstanding emperors: Justinian I of Herakleios. Theophylact’s elaborate, even bom-
(527–565) and Herakleios (610–641). The military bastic style, his use of all the structural elements
triumphs of the former brought the empire to of classical historiography (e.g. a preface to his
its greatest geographical extent and established history, which is composed as a dialogue between
it as the most important political and economic the personifications of historia and philosophia)
force in the Mediterranean. Under Justinian, the and his keen eye for developments in the Church
centrality of Constantinople as a sacred place and and miraculous events all make him a textbook
metonym for the empire was also consolidated, example of the rapprochement reached between
a process that symbolically concluded with the the Christian and the Classical.
reconstruction of Hagia Sophia after the devas- George of Pisidia, in contrast, used metre and
tating fire of 532. Byzantium in this period was the cloak of imperial panegyric (enkomion) to
producing glittering masterpieces in all fields of celebrate the victorious campaigns of Herakleios
431 12.2. literature

against the Persians and Avars in the 620s, for tion F.). They were composed not only in the
which he is the most important historical source. capital, but also in the cities of the eastern prov-
For the Byzantines themselves, however, as the inces, which at this period were still flourishing.
great number of manuscripts clearly shows, his The school at Gaza produced a series of brilliant
fame derived from a work of religious poetry, orators and poets: John, Procopius and Choricius
the Hexaemeron, in which he retells the biblical of Gaza, authors of very vivid descriptions of local
creation story. The verse form chosen by Pisides monuments [54]; [99]. Finally, the unbroken life
for both works was the dodecasyllable based on of the classical tradition in the age of Justinian is
iambic trimeter (the metre of ancient dramatic attested by the great scholarly collections, which,
poetry): it met the requirements of both quantita- like the rhetorical exercises, must be seen in the
tive metre, based on syllable length, and qualita- context of the system of higher education. They
tive metre, based on rhythmical accent. George’s include the medical compendia of Alexander
skill in this field guaranteed his outstanding lit- of Tralleis and Aetius of Amida (→ 13.3. Medical
erary reputation. Michael Psellos in the 11th cen- writings), the literary and lexicographical works
tury went so far as to prefer his verses to those of of Hesychius, and, last but not least, the juristic
Euripides (Essays 1,100–138 [16]). Pisides’ choice compilation commissioned by Justinian himself,
of metre may be seen either as an innovation or collected in the Corpus Juris Civilis (→ 4. Legisla-
as a capitulation in light of the difficulties of the tion and legal practice).
hexameter.
Another author indebted to classical historiog- C.4. Tales of the new heroes
raphy, and especially to Thucydides, was the Syr- The classical literary taste in the age of Justin-
ian Evagrius Scholasticus, who indeed worked as a ian must not, however, be allowed to obscure the
scholastikos (specifically a ‘lawyer’) at Antioch and many innovative impulses of the period. Christian
Constantinople. Evagrius’ Ecclesiastical History genres that had emerged in the preceding centu-
(ca. 594), which continues the works of Socrates ries were not abandoned, but continued to be cul-
and Sozomen, combined this new form with the tivated. Hagiography, for example, produced works
tradition of profane historiography insofar as he like the Pratum spirituale (‘Spiritual Meadow’, ca.
also paid close attention to political and military 700) by John Moschus and the Vitae of Sts. Sabas
events. For instance, he offers a brief but very and Euthymius (ca. mid-6th cent.), both by Cyril
vivid description of Hagia Sophia, which provides of Scythopolis in Palaestina. The genre reached
a substantial supplement to the account of Paul its zenith towards the end of the period with the
the Silentary (see below, C.3.). biography of the ‘Holy Fool’ Simeon (Salos) by
Leontios, Archbishop of Neapolis on Cyprus, a
C.3. Poetry during the reign of work remarkable in both language and content.
Justinian Leontios gives a vivid and very colourful por-
Besides classical historiography, the age of trayal of a new type of saint, who like the Cynic
Justinian also saw a florescence of rhetorical and heroes of Antiquity attains sanctity by disrupting
epigrammatic hexameter poetry. It found a gifted all social conventions and alienating his fellow
exponent in the aforementioned Agathias, who human beings. Although his unconventional, even
wrote a cycle of epigrams (probably in the latter scandalous behaviour makes Simeon an outsider
half of the 6th cent.; Anth. Pal. Book 4). Another in human terms, the reality is that he has freed
author of epigrams (Anth. Pal. Book 5), this time himself from worldly passions, and he suffers the
with a pronounced erotic bent, emerged in the incomprehension of the world in humility [102];
mid-6th century in the form of Paul the Silenti- [70]; [76]; [81291–348].
ary (Paulus Silentiarius, so named from the office
of silentiarios, the official responsible for keep- C.5. The workings of God in
ing order in the imperial palace). Paul is mainly history: the invention of the world
known, however, as the author of a description chronicle
(ekphrasis) of the Hagia Sophia composed in hon- Another important literary innovation occurred
our of Justinian and performed in public by its in the field of historiography. Classical historiogra-
author to mark the second consecration of the phy, dealing with limited periods of time in detail,
church on January 6, 563. Quite apart from its was now joined by the chronicle, organized in tab-
undisputed value for art history, this poem also ular form by calendar year. The first – and quint-
possesses great political relevance and should be essential – exponent of this genre, which would
understood as an encomium to the aging Justinian dominate Byzantine historiography for centuries,
and an appreciation of his policy of renovatio in was John Malalas of Antioch. His Chronicle in 18
troubled times [82]; [52]. books (after 565) begins with the creation of the
Descriptions of works of art were in any case world and proceeds by way of sometimes abrupt
a widespread school exercise that every aspiring leaps to cover the ages of the world through to the
rhetor had to master (→ 12.5. Culture and educa- Christian present. John’s focus was not on human
12.2. literature 432

action, but on world history as a reflection of the Romanos’ poetry a potent alternative to the high
will of God and the realization of his plan of sal- brow rhetoric of the period.
vation. Mythological material is reworked into
allegory and thereby integrated into the overall D. The ‘Dark Ages’, Iconoclasm
structure of history leading to salvation. Archaiz- and cultural decline
ing names for places, peoples and offices disap- (mid-7th–8th centuries)
pear and natural phenomena are taken as signs
of the workings of God in the world and punish- D.1. Historical context
ments for human misconduct. Finally, contempo- D.2. The era of theological polemic
rary conditions are covered in a simple, almost D.3. In praise of God and for the edification of
colloquial language [60]. Yet neither this linguis- Man: poetry and prose in the ‘Dark Ages’
tic simplification nor Malalas’ seemingly naive D.4. View of history and the historiography
view of history should be seen as evidence of the
author’s limitations, let alone philistinism. Nor D.1. Historical context
does either aspect necessarily point to different Herakleios’ triumphs in the war with the Sas-
circles of recipients [44]. Rather, his language is sanids, which made it possible to return the most
a deliberate choice of medium that reflects a new highly venerated relic in Christendom, the Holy
view of history rooted in the Bible [93]. The style Cross, to Jerusalem, were short-lived. The wave
so impressively forged by John Malalas was des- of Arab invasions began in 632. Palaestina and
tined to spawn manifold imitations. Syria, then Egypt and North Africa were lost to the
Arabs. Much of the Balkans and Byzantine Italy
C.6. Poetry in the service of God came under Slavic or Lombard rule. The territorial
No study of the earliest period of Byzantine integrity of the central and eastern Mediterranean
literature would be complete without mention collapsed. At the same time, the urban system that
of ecclesiastical poetry, probably the only sphere had facilitated the survival of Hellenistic erudi-
in which this period produced world literature. A tion and the emergence of a Christian culture in
new type of hymn, the kontakion (‘small scroll’), classical guise also disintegrated [57403–461]. With
appeared – probably under Syrian influence – in urban life, the cultural and educational system,
the 5th century, already alternating between clas- which had continued to function well up to this
sical quantitative and post-classical qualitative point, disappeared almost entirely, at least in the
metre. The kontakion, which was firmly rooted in capital – manuscripts copied in Syria and Palaes-
liturgical practice, can be seen as a kind of poetic tina still show clear traces of continuing classical
sermon, drawing on biblical history for inspira- culture and education there (→ 12.5. Culture and
tion. The hymns comprised a variable number of education) [43].
strophes (oikoi), identical in metrical structure and Although this to some extent lifts the dark-
preceded by an introductory strophe (koukoullion, ness of the ‘Dark Ages’, it cannot conceal the
literally ‘hood’) in a different metre. steep decline of literary production in this period
The genre peaked in the work of Romanos, or the theological shift in what continued to be
called the Melode (‘Singer’). Romanos came from produced.
Emesa in Syria and worked at Constantinople
during the reign of Justinian. The 60 kontakia D.2. The era of theological polemic
in dialogue form that are deemed to stem from Some religious writers nonetheless bestrode
Romanos deal with a range of themes from the the literary stage. One of the most important
Old and New Testaments, as well as contem- was Maximos, called Homologetes (‘Maximus the
porary matters (albeit fewer in number). One Confessor’), who became famous for his battle
example of the latter is the hymn On Earthquakes against monophysitism and monotheletism (→ 7.1.
and Fires commissioned personally by Justinian, Doctrinal history B.2.; → 7.2. Sacraments, liturgy
which takes as its subject the suppression of the and pastoral care B.1.; → 7.3. Sanctity, piety and
Nika Revolt of 532 and the immediate reconstruc- deviance C.) and his unflinching attitude toward
tion of Hagia Sophia (532–537), which had burned Emperor Constans II (641–668) [31]; [32]. Maxi-
down during the unrest [20no. 54 V]. Just as Paul the mos was the author of many dogmatic, polemical
Silentiary did later by different means, Romanos and exegetical tracts, some of them composed in
here took the opportunity of his imperial com- question-and-answer format (e.g. the Quaestiones
mission to incorporate an effective encomium to ad Thalassium, ca. 630), and of ascetic, mystical
Justinian into the prayer, which he sang himself, writings in which he espouses a humane, anthro-
thereby turning it into a powerful instrument of pocentric theology.
propaganda in support of the emperor’s policies The intense focus on theological discourse was
[73]. The broad popular appeal of his hymns was no doubt fostered in the decades that followed
facilitated, not least, by his simple, vivid diction, by the outbreak of the Eikonomachia (Icono-
spiced with many colloquial elements, making clasm; → 7.1. Doctrinal history C.), a new conflict –
433 12.2. literature

and this time, a domestic conflict – that shook of Crete, Kosmas the Melode and the aforemen-
the weakened and territorially and demographi- tioned John of Damascus.
cally reduced empire after 730 [42]. Even though This form, although new, had been develop-
recent scholars have acknowledged that the Icon- ing for some time, and its structure was rigid: a
oclasm cannot be blamed for the decline in liter- sequence of hymns, usually from three to nine
ary production in this period, and certainly not (‘odes’), beginning with a short strophe (the heir-
for the destruction of educational institutions or mos; → 14.3. Heirmologion), which gave the melody
the burning of books (→ 12.4. Books and libraries applicable to the entire canon, followed by one or
E.), the dispute over the permissibility of icon ven- sometimes several shorter strophes (troparia). Its
eration, which flared up in two phases (730–787, clear structure, simpler linguistic register, highly
815–843), ending with the triumph of the iconod- repetitive style and biblical content lent the canon
ule side, certainly dominated in the literature of a similar function to that of the homily, its prose
the day. equivalent [6846–52, 111–118]. Although homilies pri-
One of the leading defenders of icons, and one marily served practical purposes and were gen-
of the most important of all Byzantine theolo- erally written and performed for church festivals
gians, was John of Damascus (ca. 675–754), who or in honour of prominent saints, they also had
was born into a Christian family residing under literary pretensions that extended beyond their
the Caliphate. This erudite author drew on Aris- edificatory function. The genre found its leading
totelian categories of argument in his orations in exponent of this period in the powerful personal-
defence of icons, and his Fountain of Knowledge ity of the patriarch of Constantinople, Germanos
(Pege gnoseos, ca. 750) became one of the most I (715–730), but John of Damascus and Andrew of
widely read dogmatic treatises in Byzantine his- Crete also wrote homilies, and the genre long reso-
tory [6875–94]. nated in posterity. Canons and homilies shared a
If John was the founder of theological specula- performative character that suited them to public
tion regarding the veneration of icons, the debate recitation [6855–74]; [45].
on the subject began with the work of Theo- Iconoclast hagiography was entirely destroyed
dore Stoudites, abbot of the Stoudios Monastery by the victorious iconodules (icon venerators) or
founded in the 5th century at Constantinople was otherwise lost. One of the few saints’ lives
(→ 12.4. Books and libraries B.). Theodore died that could arguably be assigned to this category,
shortly before the resolution of the Eikonomachia not least because of its echoing silence regarding
and was canonized for his resolute stance follow- the icon cult, is also one of the masterpieces of
ing the triumph of Orthodoxy. He was a most the genre. The Life of St. Philaretos Eleemon (the
productive writer. His prolific correspondence, Merciful) was written in 822 by the saint’s grand-
most of which revolves around the cult of icons, son Niketas. Despite its biblical model (story of
runs to over 500 titles and shows its author to Job) and its fairy-tale traits (Cinderella motif), this
have been a brilliant artist of language and gifted work should be regarded essentially as a historical
dialectician, as well as an enthusiastic imitator of document [109128 f.]: Philaretos, a large-scale land-
Gregory of Nazianzus and Basil of Caesarea. Theo- owner, loses all his property, but suffers poverty
dore also wrote homilies for church festivals, ora- with forbearance, for which God rewards him:
tions in honour of various saints – and of his own his granddaughter Maria is chosen by Empress
mother Theoktiste and uncle Platon – and iambic Irene in a beauty contest to marry the heir to the
epigrams on religious objects, persons and saints throne, the future Constantine VI. The short text
that demonstrate his total mastery of metre. The is notable for its readily understandable language,
Catecheses (ca. 820) written for the monks of the its lively depictions and its tone hovering between
Stoudios Monastery, in contrast, are written in fairy-tale and sober account [68281–291]; [8174–166].
a simpler, almost colloquial register, and afford Most hagiography in praise of the martyrs of
important insights into the everyday life of an the Eikonomachia appeared following the Ortho-
urban monastic institution [68235–260]. dox triumph in the three-decade lull between the
two phases. One of the earliest and most impor-
D.3. In praise of God and for the tant examples is Stephen the Deacon’s Life of
edification of Man: poetry and prose Stephen the Younger (ca. 807/10), the founder of
in the ‘Dark Ages’ the famous monastery on Mount Auxentius in
Besides this theological ‘technical literature’, Bithynia, who was executed in 764 for his oppo-
three more religious genres enjoyed their heyday sition to the religious policy of Constantine V
in this period – the so-called ‘three Hs’ [68139]: [68183–203]. The black-and-white caricature of the
hymnography, homiletics and hagiography. Litur- emperor and his supporters presented in this work
gical poetry, for instance, flourished, but in altered is typical of the deliberate distortion inflicted on
form – the kontakion (see above, C.6.) was super- the iconoclast emperors by the victors, despite
seded by the less lively, more static canon – and it their notable military triumphs.
reached a second high-water mark with Andrew
12.2. literature 434

D.4. View of history and the originating in Macedonia (founded by Basil I in

historiography 867) [106]; [107]. Senior officials and later the
By contrast, no historiographical writings sur- emperors began supporting education by found-
vive from this period, whether because the con- ing schools – e.g. Bardas’ foundation of the estab-
stant political and ideological turmoil hampered lishment in the Magnaura Palace in 855 (→ 12.5.
critical reflection on contemporary events or Culture and education B.). Although such private
because such works suffered damnatio memoriae institutions were invariably short-lived, they none-
at the hands of the victorious iconodules. Filling theless played an important role in the re-evaluation
the yawning, century-long gap in the otherwise of ancient literature. In particular, rhetoric, learned
dense weave of Byzantine historiography are a on the basis of classical texts, increasingly became
number of apocalyptic works of pseudohistory, a sine qua non of social advancement.
including the immensely influential Apocalypse Literary production began a notable phase of
of Pseudo-Methodios of Patara (latter half of the growth in the 9th century. Compared with the
7th cent. ) [6819–22]. glorious age of Justinian, however, it took place
Historiographical narrative did not resume within the confines of a much smaller Byzan-
until the turn of the 9th century. When it did, it tine world, which in regard to profane literature
took the form of the world chronicle in the style at least, had only one cultural centre: Constanti-
of John Malalas, not the archaizing manner of nople. Apart from the general consolidation of
Procopius. Theophanes, later called Homologetes urban life and the school system, the trend was
(‘Confessor’) and canonized by the Orthodox also assisted by the introduction of a cheaper writ-
Church for his brave intervention in support of ing material, paper (→ 12.4. Books and libraries A.),
icon veneration, took up the unfinished chronicle and a quicker writing technique, minuscule script,
of George Synkellos at George’s invitation and pro- which superseded the old uncial (majuscule),
duced a Chronographia (ca. 810–815) based on dis- which was laborious to write. Many old manu-
parate material and arranged by year. It continued scripts, most of them containing texts by classical
to be read and treasured throughout the remain- authors, were transcribed into minuscule within
der of the Byzantine period. The work is notable two centuries (metacharakterismos; → 12.4. Books
for the particular attention it pays to contempo- and libraries C.) [11363–68]. These manuscripts were
rary political and ideological conflicts, such as the usually commissioned by important figures of
Arab attacks and the Eikonomachia. For many of political and ecclesiastical life, who now also set
these events, especially the conflict with the Arabs the tone in the production of literature.
and the history of the Huns, Bulgars and Turkic
peoples, it is our only source [68205–234]. E.2. Between old and new: the world
Compared to his sources, and especially to chronicle of George Hamartolos
George Synkellos, Theophanes was a linguistic Even so, strong links with the mainly monas-
innovator, consistently employing simple, vivid tic culture that had prevailed up to this point
diction in the tradition of John Malalas. His work remained [68381–407]. The key figure here was the
marks an important station along the circuitous monk George (whom many manuscripts call Ham-
road towards the emergence of the vernacular lit- artolos, ‘Sinner’), who took up the literary mantle
erature that would first become documentable in of Theophanes. George calls his own Chronicle
the 12th century. (ca. 860 or 870), which also begins with Adam, a
dramatourgema (an ‘intrigue’), befitting its style,
E. The age of collecting and which is rich in anecdote and aims to entertain
the culture of the sylloge rather than to record history. It was no accident
(9th–10th centuries) that George’s chronicle enjoyed a transmission
history that branched far and wide, being trans-
E.1. Historical context lated into Old Church Slavonic and Georgian and
E.2. Between old and new: the world chronicle of inspiring lavish illuminations. The work is also
George Hamartolos notable for its break with the annalistic structure
E.3. The triumph of philology of Theophanes and its introduction of an arrange-
E.4. ‘Culture of collecting’ ment by imperial reigns for the third part, devoted
E.5. Tales of brave warriors and heroic deeds to the Byzantine era proper [6943–52]. This organi-
E.6. Collecting, arranging and preserving zational principle would greatly influence the fur-
E.7. Saints’ lives on the eve of the new millennium ther development of Byzantine historiography.

E.1. Historical context E.3. The triumph of philology

The final triumph of Orthodoxy (843) heralded The dominant force in literary and intellectual
the slow rebuilding of cultural life – following ten- life in the 9th and 10th centuries, however, was
tative initiatives dating back to the turn of the cen- without doubt philology, and the newly redis-
tury – now under the leadership of a new dynasty covered love of the classical tradition. The finest
435 12.2. literature

philologist and bibliophile of this generation was 208].The initial impulse came from Emperor Leo
Arethas, who migrated to Constantinople from VI (886–912), called ‘The Wise’ for his erudition
his native Peloponnese and later became Bishop and wide-ranging literary output. Leo oversaw the
of Caesarea. Alongside his prolific theological out- complete revision (probably completed ca. 888)
put, he also not only commissioned manuscripts and Greek translation of the Justinianic law codes
of Euclid and Plato, but also kept a private library initiated by his father (Basil I, 867–886), the result
that was well stocked with ancient works and becoming known as the Basilika (→ 4.3. Legislation
himself wrote commentaries on classical authors. C.3.). He also commissioned a compilation of mili-
Arethas was not, however, self-taught: he acquired tary rules and regulations (Tactica, ca. 900; → 6.1.
the requisite philological apparatus from his pri- The state’s basic attitude to war A.) and another
vate tutor, Photios, twice Patriarch of Constanti- of prescriptions regulating court ceremonial
nople (858–867 and 877–886). (Kletorologion, 899). As a writer, Leo is known for
Photios’ classical erudition was remarkable and his poems in various metres and especially for his
is reflected in his entire very abundant œuvre. For 42 homilies for various church festivals and saints
instance, quotations and allusions bespangle his [6953–65].
prolific correspondence (ca. 300 letters) and homi- Leo’s son and successor, the learned Constan-
lies, in which he revived the genres of the imperial tine VII Porphyrogennetos (945–959), followed in
encomium and the ecphrasis, moribund for centu- his father’s footsteps. Constantine not only had
ries, and made them his own. the administration, provincial system and ceremo-
It is one of the oddest works preserved from nial of the empire systematically documented (De
the Byzantine Middle Ages, however, that mem- administrando imperio, 948–952; De thematibus,
orably shows the real meaning of ancient litera- between 934 and 944 or after 952; De ceremoniis
ture to the learned patriarch, as well as revealing aulae byzantinae, between 956 and 959, enlarged
how much of it was still available in his day. The after 963; → 5.1. Central civil institutions; → 5.2.
Myriobiblos (‘Ten Thousand Books’, ca. 845 with Government), but also had excerpts made from
later revisions), better known as the Bibliotheke/ ancient and Byzantine historians and arranged by
Bibliotheca (‘Library’), presents the fruits of Pho- topic, e.g. embassies, war lists, virtues and vices
tios’ extensive reading in the form of ‘reviews’. [69133–137]. For dynastic reasons, however, Constan-
Short biographies of the authors concerned, based tine was as interested in the history of the recent
on older sources, are followed by resumés of the past as he was in the collecting of old knowledge.
content of their works and stylistic assessments, Seeking to improve the image of his grandfather
with the degree of detail varying from case to case. Basil I, who had reached the throne through
The lion’s share, naturally, consists of theological intrigue and murder, he ordered a continuation of
literature, but around a hundred profane authors the Chronicle of Theophanes be made. He provided
are also included, chief amongst them the histori- a biography of Basil (flattering to the point of hagi-
ans, then the rhetors and – perhaps surprisingly – ography) to this Theophanes continuatus (949–950;
the romanciers of Late Antiquity, for whose works ca. 961; Book 5: Vita Basilii, ca. 950), either writing
Photios created the genre term drama/dramatikon it himself or commissioning it. This compendium
(‘intrigue’), recalling George Hamartalos’ drama- is more consistent than George Hamartolos (see
tourgema. The philosophers are sparsely repre- above, E.2.) in breaking with the annalistic struc-
sented and the lyric, tragic and epic poets not ture of the world chronicle and adopting the bio-
at all. The selection probably reflects Photios’ graphical periodization of classical historiography
own literary preferences. The absence of Homer by emperors’ reigns [69137–144]; [4].
and the tragedians may also stem from the safe
assumption that they were generally known, being E.5. Tales of brave warriors and
compulsory reading at advanced schools. A great heroic deeds
deal of space is devoted to linguistic and stylistic A similarly panegyric tone was struck a genera-
analysis, but Photios also exhibits an interest in tion later in the History in Ten Books (ca. 994) by
questions of composition and plot [697–42]. Leo the Deacon, who emulated Thucydides in a
work infused with the influence of epideictic rhet-
E.4. ‘Culture of collecting’ oric. His focal areas, however, differed radically
Photios’ Bibliotheke betrays not only its author’s from those of his immediate antecedents. In place
remarkable erudition, but also his powerful urge of the colourful descriptions of splendid build-
to collect and arrange, and thereby to preserve the ings that had made imperial power palpable for
ancient legacy and put it to use. This trend, how- the readers of the historians continuing the work
ever, did not come to full fruition until the 10th of Theophanes, Leo prefers the moving depiction
century, a phase scholars formerly called that of of battle scenes and heroic deeds. The hero of his
‘encyclopaedism’, but for which the term ‘culture history is Nikephoros Phokas, the victor over the
of collecting’ (sylloge) is now preferred [92]; [1113– Arabs in Syria and Mesopotamia; he won Crete
12.2. literature 436

back for the empire (and himself wrote a manual ‘stronghold’). The four volumes of the modern
of tactics), but was betrayed by one of his generals edition [1] bring together, in the manner of a lexi-
and murdered in 969 [69273–294]. con, articles by an unknown author on everything
This glorification of military valour and hero- that was considered worth knowing. The spec-
ism was new in Byzantine literature. It also trum ranges from the etymology of obscure words
inspired poetry. John Kyriotes Geometres, whose to moral precepts, from mythological to histori-
life is obscure, was authored religious and profane cal figures and from the pre-classical past to the
poems in which he demonstrated his mastery of Christian Byzantine present. Many lines and say-
classical metre (hexameter and elegiac couplets). ings of ancient poets survive today only thanks to
He also wrote homilies, theological exegeses and the Suda.
rhetorical exercises (progymnasmata). What was
particularly remarkable about his work, however, E.7. Saints’ lives on the eve of the
was its political coloration, unprecedented in new millennium
Byzantine poetry. Like Leo the Deacon, Geome- We would not do justice to the considerable
tres celebrated the heroic and victorious Nike- achievements of Byzantine literature in the 9th
phoros Phokas ([7nos. 61, 80, 147]; cf. [80287–304]) and and 10th centuries without considering hagiogra-
mourned his martyr’s death. Military rhetoric also phy, which at this very period was producing works
runs through some of his other poems (e.g. [7nos. 86, of pronounced originality and striking realism.
90 f.]). These new accents, however, were without Besides the lives of historical figures, such as Patri-
immediate imitators. The literary fanfare of battle arch Euthymios (907–912) or Theophano (d. 897),
would not be heard again until the 12th century – first wife of Leo VI, the biographies of fictional
and this with considerably less justification. saints are of special interest. Basil the Younger and
Andrew the Holy Fool (Salos) are purely literary
E.6. Collecting, arranging and figures: urban holy men who prowled the streets
preserving and alleys of the capital and exhibited a predilec-
The political poetry of John Geometres is a dis- tion for scurrilous behaviour. Both vitae also have
sonant antiphon to the epigrammatic poetry of long apocalyptic interludes giving detailed descrip-
Antiquity and Late Antiquity, which now began to tions of hellish punishments and heavenly pal-
be collected and systematically arranged. Constan- aces, thus reflecting eschatological preoccupations
tine Kephalas (ca. 900) accomplished the gigan- on the eve of the new millennium [69185–210]; [49].
tic task of imposing thematic order on the vast
epigrammatic output of Antiquity and the Early F. Literary productivity in the
Byzantine period. Constantine of Rhodes then 11th and 12th centuries and the
completed this collection around 945. The result 12th-century ‘Renaissance’
has come down to us as the Anthologia Palatina.
Over time, this encyclopaedic passion spread F.1. Historical context
to other literary fields, including ancient techni- F.2. Outside the capital: the emergence of a
cal literature. Scholars in the circle of Constantine fictional narrative literature
Porphyrogennetos (see above,  E.4.), for example, F.3. Literary life in Constantinople
collected and systematized ancient knowledge of F.4. Scholars and networks in the capital and
agricultural techniques (Geoponika), animal hus- periphery
bandry (esp. horses: Hippiatrika) and medicine F.5. Classical tradition as a factor of identity
(Iatrika; → 8.3. Archaeobotany; → 8.4. Animal use F.6. Literati and teachers: literary production for
and pastoralism; → 13.3. Medical writings). Around court and classroom
the turn of the 11th century, a high imperial official, F.7. Rhetoric of Hellenism in fictional and
the logothete Simeon Metaphrastes, then tackled historiographical discourse
the rampant jungle of hagiographical writing, F.8. The emergence of a vernacular literature
arranged a representative selection of vitae accord-
ing to the church calendar and adapted their lan- F.1. Historical context
guage to the tastes of the time. His collection went The period between the early 11th century and
on to enjoy lasting success, and it was preserved the fatal month of April 1204, when the capital
in hundreds of manuscripts long outlasting the of the Byzantine Empire fell into the hands of
Byzantine period. Even a refined writer of the 11th the Venetian merchants and French knights of
century like Michael Psellos could still find warm the ‘Fourth Crusade’, was in every respect a time
words of praise for the valuable achievement of of contradictions, riven with social, political and
Simeon [17267–288, no. 7]. ideological tensions.
The pinnacle of late 10th-century Byzantine In the military sphere, Byzantium suffered
knowledge, however, was undoubtedly the vast grave defeats at the hands of new enemies: the
reference work known as the Suda (= souda, Seljuk Turks, who conquered vast tracts of Asia
437 12.2. literature

Minor, then the Normans, to whom Byzantine [89]. The same category of literature translated
Southern Italy was lost, and finally the Bulgars, from eastern languages includes The Book of the
who founded an independent empire in 1185. Philosopher Syntipas, originally a Persian collec-
In ideological matters, the ‘Great Western tion of fables, which circulated throughout Europe
Schism’ provoked by Michael Keroularios in 1054 under the title The History of the Seven Wise Mas-
shook ecclesiastical life and stoked bitter hostility ters (Historia Septem Sapientium). The Greek trans-
to western civilization and culture. This antipathy lation was made by Michael Andreopoulos at the
triggered a plethora of polemical treatises Kata behest of Gabriel, Governor of Melitene, towards
Latinon (‘Against the Latins’, the Byzantine term the end of the 11th century. The fables told within
for westerners in general) in the 12th century, a narrative frame deal with widespread misogynis-
discussing theological and supposed ‘ethnic’ dif- tic themes (e.g. female ‘cunning’ and ‘lewdness’)
ferences (→ 15.2. The West). In economic terms, and are sometimes flagrantly erotic [110]; [75].
finally, the empire was compelled to cede more
and more ground to the industrious merchants of F.3. Literary life in Constantinople
Venice and Genoa, until its dependence on them Literature in the capital, meanwhile, pursued
was all but total. very different directions. It was wholly devoted
to the formal emulation of Antiquity, but reap-
F.2. Outside the capital: the plied the tenets of the ancient masters in creative
emergence of a fictional narrative ways, using them to formulate contemporary
literature concerns. There was particular interest in poetry
The astonishing fact remains that cultural and at this period. Metrical forms, from the classical
literary life flourished in this period, despite the hexameter to the Byzantine dodecasyllable, were
circumstances. No less remarkable is the fact, enlisted to serve a range of purposes and themes.
inescapably apparent from the sources, that the The only absentee from the programme was lyri-
strengthening of urban life in the provinces and cal love poetry, which is only to be found where
the emergence of powerful local aristocracies did it would be least expected: in the religious hymns
not result in a shred of decentralization in cul- of Simeon the New Theologian (Symeon the
tural or literary activity. On the contrary: the only Younger). This great Byzantine mystic, who was
real opportunity open to a Byzantine author who also one of the very few individualists in Byzan-
wanted to be read and who thought anything of tine literary history, experienced an intense vision
himself, from now on, was to go to Constantinople of divine light in his youth and went on to sing
(see below, F.3.). of the ecstasy of the love of God in passionate
The periphery did, however, produce litera- strains using the vocabulary of profane love (eros,
ture, albeit not in the mainstream genres. Their not agape). His choice of metrical form is strik-
particular contribution to fictional narrative lit- ing: far from joining the archaizing fashion, he
erature, which was still underdeveloped at this used the popular decapentasyllabic verse called
period, must not be overlooked. Texts produced politikos stichos (‘political verse’, i.e. ‘verse of the
in these contexts share edificatory aspirations, urban populace’) [61]; [78], the standard form of
dressed up in an appealing narrative guise; their later vernacular poetry. Although its first written
material invariably came from the East. The story records can be dated back to the 10th century, it
of Barlaam and Joasaph, a retelling of the life of had hardly ever been used before [72].
Buddha, found its way to Byzantium from the Ara- However, most 11th-century poetry, the most
bic linguistic sphere by way of a Georgian transla- important exponents of which were Christopher
tion. The Greek version – which scholars formerly of Mitylene and John Mauropous (‘Blackfoot’),
attributed to John of Damascus and dated to the consists of occasional poetry on contemporary
8th century – was written on Mount Athos by realities, e.g. epigrams on profane and religious
the Georgian monk Euthymios at the turn of the objects, funerary epigrams for public figures in
11th century [8vol. 6/1, 1–95]. It tells of the conversion the antique manner, didactic poems of all kinds
of the pagan prince Joasaph, that the ascetic Bar- or satirical pieces. All such works were recited in
laam brought about by telling him edificatory par- public or carved into stone and exhibited in pub-
ables. As the spirit of the age decreed, the young lic spaces (→ 12.3. The epigraphic tradition A., with
prince’s conversion to Christianity is spurred on fig. 1).
by visions of hellish torments and celestial bliss. Another driver of the intellectual life of the
Stephanites kai Ichnelates is the title of the Byz- capital was poetry contests. Poetic skill was
antine translation (probably from a Syriac version) appreciated and encouraged in lofty circles and
of the Arabic book Kalila wa Dimna. Its author, the was regarded as an important instrument for fur-
Syrian Simeon Seth, dedicated this prince’s mirror thering a career in the imperial service [37120–156].
disguised as animal fables to Alexios I Komnenos Culture was an extremely valuable asset in the 11th
12.2. literature 438

century, and emperors supported the foundation and of the Constantinople-centered mentality of
of new cultural and educational institutions. Con- intellectuals at the time [86]; [87218–277]. The works
stantine IX Monomachos (1042–1055), for instance, of Kekaumenos, on the other hand, offer a rare
established two teaching departments: one of law, provincial perspective. Remote from any climate
presided over by a ‘guardian of the laws’ (nomo- of cultural aspiration, this retired general wrote a
phylax), and one of philosophy, under a ‘consul of little book for his two sons giving advice for a range
the philosophers’ (hypatos ton philosophon; → 12.5. of situations in life. From Kekaumenos’ point of
Culture and Education B.2.). It was also in the con- view, the world of the capital and especially the
text of educational institutions that most of the court was fraught with danger. Indeed, human
literature of the period was produced, including life as a whole was a risky business, and only cau-
poetry [37159–182]. tion in word and deed could counter those risks.
The simple, almost colloquial diction of the work
F.4. Scholars and networks in the befits the literary genre and also reflects the aver-
capital and periphery age level of culture of its author [101]; [9].
The first and best-known consul of the phi-
losophers was one of the shining lights of Byzan- F.5. Classical tradition as a factor
tine intellectual life, Michael Psellos. Politician, of identity
universal scholar and tutor to emperors, Michael Byzantine literature continued to engage more
produced a vast body of work covering all literary and more closely with Classical Antiquity in the
genres, from historiography, philosophy and epis- 12th century, under the aegis of the new Komne-
tolography to encomiastic rhetoric, philosophical nos Dynasty, which derived from the military aris-
speculation, theology, hagiography, jurisprudence tocracy of Asia Minor. The imitation of classical
and, not least, astrology. His interpretations of literature, which had been a key preoccupation of
Homer reveal him as a supreme connoisseur of the Byzantine writers since at least the cultural revival
Iliad (which he claimed to have learned by heart of the 9th century, ceased to be merely a stylis-
as a child) and the Odyssey. He was well versed in tic inspiration, and now also became a matter of
the Neoplatonist art of allegorical exegesis, and he identity. As so many foreign peoples and states
wrote the first commentaries on Plato and Aris- threatened the empire and even its very existence
totle to have appeared for centuries. Michael also (→ 15. The Byzantines and the outside world), the
left a substantial body of didactic poetry (→ 12.5. watchword was continuity, in order to block out
Culture and education H.), the thematic range the unsettling realities of the present. Accord-
of which covered grammar and rhetoric, biblical ingly, the classics were meticulously studied and
commentary, medicine [112] and legal exposition. edited.
Michael Psellos’ expansive cultural horizons The paramount example of this love for Antiq-
also encompassed literary criticism. In addition uity must be the monumental Commentarii (Parek-
to his aforementioned encomia of George Pisides bolai) on the Homeric epics, written for his pupils
(see above, C.2.) and Simeon Metaphrastes (see by Eustathios, the future metropolitan of Thes-
above,  E.6.), he also wrote a perceptive compari- salonica, during his years teaching at the ‘Patri-
son of the romances of Heliodorus and Achilleus archal School’ of Constantinople (→ 12.4. Books
Tatius that examines compositional aspects as and libraries, fig. 4; → 12.5. Culture and educa-
well as matters of language and style. Michael’s tion C.). In this commentary, Eustathios collected
masterpiece, however, is his chronicle (Chro- and arranged the results of centuries of Homeric
nographia, after 1055–1060 and late 1071–1078), philology, supplementing it with his incompa-
arranged by emperor reigns. In it, he proves him- rable erudition and taking care to relate the epic
self an outstanding observer of human nature and world, with its mores and customs, to his own. He
a powerful authorial personality [96]; [18]; [19]. As draws attention, for instance, to the evolution of
a supreme expert in ancient literature, which he the Greek language, thus delivering striking evi-
regarded as a ‘value in itself’, Michael Psellos ini- dence of a profound historical consciousness. The
tiated a new phase in the history of Byzantium’s learned bishop also reflected elsewhere on the
relationship with its classical heritage. realities of his own time, showing himself able to
All these scholars belonged to a tightly woven describe them in vivid colours. For example, he
network and were in continuous correspondence gives a dramatic eye-witness account of the Nor-
with one another. It is no coincidence that many man sack of Thessalonica in 1185.
collections of letters date from this period. In Michael Choniates, a colleague of Eustathios’
addition to the abovementioned Mauropous (77 at the metropolitan see of Athens, expressed his
letters) and Michael Psellos (over 500) [95], the love of Antiquity with a similar intensity, but in a
correspondence of Theophylact of Ohrid warrants different way. Besides an impressive collection of
mention, affording as it does both rare glimpses letters (180), he is also known as the author of a
of the everyday life of a provincial Byzantine city, poem (after 1182) in which he mourns, in iambic
439 12.2. literature

dodecasyllables, the city that was once the home F.7. Rhetoric of Hellenism in
and embodiment of beauty and culture, but now fictional and historiographical
was rotting away as a provincial backwater in the discourse
shadow of its classical ruins. The poem arguably Another genre in which the gods of mythology,
exemplifies the effusive attitude of intellectuals of especially Eros and Aphrodite, had once played a
this period toward the glorious tradition of Antiq- major role, was the romance. This too was revived
uity [79333–335]; [65145–162]. in the 12th century. The new Byzantine romances
were more than mere philological muscle-flex-
F.6. Literati and teachers: literary ing: the genre was in keeping with the tastes of
production for court and classroom the times [88]; [91136–209]. Theodore Prodromos
A new class of professional writers emerged in appears once more as the author of one of the
the 12th century. Like their predecessors of a cen- four surviving texts. The form is wholly Byzan-
tury before, they were in close contact with each tine. Rather than prose, these works are in verse,
other, as a large body of surviving correspondence namely the rhythmical, accentuated dodecasyl-
likewise clearly attests. Although they were invari- lables in which most scholarly Byzantine poetry
ably active in proximity to the court, they were no was written. The themes and motifs, settings and
longer in positions of power themselves, but were even protagonist names, however, could equally
economically and socially beholden to those who at first sight date from the Hellenistic period. Yet
were. These men of letters generally earned their this is far more than merely ‘putting old wine in
living as private tutors. Much of their literary out- new bottles’. The authors were skilled in formulat-
put was therefore written for school use and was ing present-day concerns in ancient garb. Ancient
sponsored by high-ranking figures (→ 12.5. Culture commonplaces (topoi) – such as the polarity
and education) [28]. Public readings of new works between cultivated, morally upright Greeks and
were given for colleagues and patrons, so that crude and uncultivated barbarians – took on new
such works circulated quickly among insiders. impetus in a period where hostile foreign groups
These gatherings of scholars were called theatra, of various provenance and language besieged
but they shared nothing but the name in common the empire on all sides. Hellenism – which had
with ancient theatrical performances [91161–169]. long since been synonymous with paganism in
John Tzetzes, for example, wrote a retelling of Byzantium and had accordingly received a very
the Iliad with a commentary for Bertha of Sulz- bad press – became once more a desirable ideal,
bach, the German first wife of Manuel I Komne- indeed a marker of Byzantine identity [47];
nos (1143–1180). He also left a collection of letters [64225–316].
that was so heavily peppered with quotations and It is logical, then, that the great historian Nik-
mythological allusions that he felt obliged to write etas Choniates, the only voice to describe the
a much larger commentary for it, now known as Sack of Constantinople of 1204 from a Byzantine
the Chiliades. perspective, concluded his lament for the vio-
Theodore Prodromos elucidated Aristotle, lated city with a refusal ‘to tell more of deeds of
wrote satirical dialogues in the style of Lucian of war from which the Greeks (Hellenes) [i.e. the
Samosata (2nd cent.), composed a dramatic poetic Byzantines] did not emerge victorious’ or ‘to put
parody on the War of the Cats and Mice (Katomyo- historiography, the most precious creation of the
machia, first half of the 12th cent., in allusion to [Ancient] Greeks, to work recounting barbarians’
the pseudo-Homeric Batrachomyomachia) and acts against the [new] Greeks’ (Chronike Diegesis
dedicated poetic encomia to many members of [5vol. 1, p. 580, l. 88 f., 94 f.]). The historian saw no distinc-
the imperial family, some even in hexameters. tion between the Greeks of the Classical period
Encomiastic poetry was in general the dominant and the Greeks of his own day. They were united
genre of the period [83413–488]. It was characterized by a common language and culture; hence, at least
by exuberant rhetoric and had no compunction in in this moment of supreme rhetorical excitement,
requisitioning the entire Olympian pantheon for it seemed worthwhile to abandon the usual Byz-
purposes of ornamentation. antine self-description Rhomaioi (‘Rhomaeans’,
The same spirit of imitative love of classical i.e. Romans).
literature also inspired an anonymous poem (for- It must be acknowledged, however, that this
merly attributed to Gregory of Nazianzus) on the rhetorical enhancement was at least in part a reac-
crucifixion of Christ (Christos paschon) in dramatic tion to the tragic historical situation, especially the
form. To some extent, it revisits the Homeric cen- trauma of 1204, in the light of which Niketas wrote
tones of the 5th century, but now on the basis of his monumental history (begun ca. 1185, several
classical tragedy. One in three of the 2,610 lines of revisions after 1204). To Anna Komnena, daughter
the poem is taken verbatim from the works of the of Alexios I and one of the very few female voices
Greek tragedians, especially Euripides’ Hekabe.
12.2. literature 440

in Byzantine literature, who was writing only one decapentasyllable was the quintessential metre of
generation earlier, ‘Hellenism’ was still a purely lit- Byzantine didactic poetry.
erary concept. Indeed, Homer was the great model The epic romance Digenes Akrites, also in deca-
for her properly epic Alexiad (between 1148 and pentasyllables, was another work to appear at this
1155) and is omnipresent in the linguistic texture period, presumably in the capital, but based on far
of the work, especially in the battle scenes, which older traditional heroic lays. It survives in several
are constructed in great detail and with consum- versions, the two oldest of which arguably date
mate skill. from the 12th century. Set on the eastern fron-
tier (akrai) of the empire at the time of the Arab
F.8. The emergence of a vernacular Wars (9th/10th cents.), it tells the life and loves
literature of a hero of mixed Byzantine and Arab descent
Yet imitation and innovation were not mutu- (hence Digenes, ‘of two races’) in the manner of a
ally exclusive in the 12th century. To Theodore romance. Although Modern Greek scholars chose
Prodromos, again, are attributed four begging- to view the text as Homer resurrected on its redis-
poems in decapentasyllables, which run in the covery in 1869, and to make it the national epic
manuscript tradition under the name Ptochopro- of a Greece newly liberated from the Ottoman
dromos (‘Poor Prodromos’). The poems are dedi- yoke, Digenes is no national hero. His superhu-
cated respectively to the emperors John II and man powers are never put at the service of the
Manuel I Komnenos and another member of the empire, nor are his enemies Arabs or infidels, but
Komnenos clan [2]. The pieces are important not merely army irregulars (apelatai) in pursuit of his
only for their content, but also for their skilled use wife. The anonymous author, who clearly had lit-
of different linguistic registers. All explore fictional erary knowledge, took inspiration if not from the
situations of everyday life in a playful vein, as the contemporary Byzantine romance, then certainly
poet slips from role to role. He alternates between from the Hellenistic romance, as can clearly be
an unfortunate husband unhappily married to a seen in the many descriptions of people, buildings
rich and despotic wife (poems 1 and 2), a destitute and luxury objects.
scholar whose education has not secured him the These disparate elements gave rise to a blend
social advancement he hoped for (poem 3) and of love and adventure, heroism and raw frontier
finally a naive monk who falls victim to blatant romance that was virtually predestined to appeal
abuses in a Constantinople monastery (poem 4). to a wide readership. Digenes was still being
Throughout, Prodromos evokes a vivid, if satiri- adapted, reworked and transposed into prose and
cally exaggerated image of urban life in the great- verse long into the early modern period. Even
est metropolis of the Middle Ages. the earliest Byzantine version from the 12th cen-
A stylistic contrast emerges between the proo- tury shows clear evidence of literary ambition.
emia, written in the learned language and in Its author makes a deliberate play for the classi-
accordance with all the rules of encomiastic rhet- cal tradition in his prologue, comparing the story
oric, and the narrative sections, which are often he has to tell with the poems of Homer. Even this
in dialogue form and use colloquial speech for the highly innovative piece of 12th-century Byzantine
sake of realism and directness. The subject matter literary production is not prepared to disregard
is new for Byzantine literature, but the language the authority of the ancients [33]; [62].
is even more innovative, drawing on colloquial
idiom, embracing coarse expressions and artfully G. The last centuries of Byzantium
combining them with erudite vocabulary. The (13th–15th centuries): literary
author, like Simeon the New Theologian before tensions and contradictions
him (see above, F.3.), uses the popular decapen-
tasyllable, which by the 12th century was entirely G.1. Historical context
socially acceptable. It was even found suitable for G.2. Literary life in exile
imperial panegyric – Prodromos yet again [23e.g. I, IV, G.3. Literary boom in times of strife: the
V, XI] – and historiography. Constantine Manasses ‘Palaiologan Renaissance’
used decapentasyllables not only for his romance
(preserved in fragments), but also for a world G.1. Historical context
chronicle (ca. 1140–1142) he composed for a mem- The loss of Constantinople (1204) not only had
ber of the Komnenos clan, the sebastokratorissa an incalculable psychological impact, it also her-
Irene. It covers the period from Adam to the year alded the territorial fragmentation of the empire.
1081, and brims with the clichés and stylistic traits New centres of power arose in former imperial
of the Byzantine romance [98]; [90]. Finally, the territory, some of which, like the Empire of Trebi-
zond, even survived the final Fall of Constanti-
441 12.2. literature

nople (1453), while others, like the Despotate of G.3. Literary boom in times of strife:
Epirus, dissolved over the course of the 14th century. the ‘Palaiologan Renaissance’
The government set up in exile by the Las-
karides at Nicaea felt itself to be the legitimate G.3.1. Historical context
successor to Constantinople now that the latter G.3.2. Erudition, philology and openness to Latin
was in Latin hands. Scholars fleeing the capital literature
gathered at the court of Nicaea and at the impe- G.3.3. Historiography of crisis, ecclesiastical history
rial summer residence of Nymphaion [5571–81], and G.3.4. Vernacular literature
they ensured the continuity of education. G.3.5. A privilege or a burden? Ambivalent
attitudes to the classical legacy
G.2. Literary life in exile
Striking evidence for the efficiency of the edu- G.3.1. Historical context
cation provided at Nicaea is the work of the his- After half a century in exile, the Byzantines
torian George Akropolites, who between 1261 and recovered their capital in 1261. Michael VIII
1267 told the story of the empire in exile and the Palaiologos (1259–1282) became the first emperor
glorious recapture of Constantinople. Another of the dynasty that would steer the empire’s des-
scholar working at Nicaea was Nicholas Mesarites, tiny until its final conquest by the Ottomans in
later the metropolitan of Ephesus. Mesarites had 1453. The conditions for literary activity under the
played an important political role in negotiations Palaiologoi were as unfavourable as could be imag-
with the Catholic Church immediately after the ined. Having regained Constantinople, the empire
Latin takeover of Constantinople and wrote vari- found itself increasingly confronted with domestic
ous polemic essays, ecphrases (e.g. of the Church and external problems, and its role on the politi-
of the Holy Apostles in Constantinople; → 11.2. cal stage steadily diminished. The expansion of
Architecture A.2.2.; → 11.3. Art A.1.1.) and a vivid the Ottoman Turks that began in the 13th cen-
account of the failed palace revolution of John tury brought the loss of the whole of Asia Minor
Komnenos the Fat (1201). (→ 15.5. The East), while the Bulgars and especially
Following the precepts of the Komnenian the Serbs asserted themselves in the → Balkans
period, cultural activity at Nicaea focused entirely (15.3.). Dynastic, but also social and religious strife,
on study of the classics, but the former openness led to two bloody civil wars that destabilized the
to colloquial language was dropped. The third foundations of society and the state. Commercial
emperor of Nicaea, Theodore II Laskaris (1254– and economic life was even more concentrated in
1258), is a typical representative of this frame Italian hands than it had been in the 12th century.
of mind. Theodore was a pupil of the universal ‘Latins’ (see above, F.1.) now played a key role
scholar Nikephoros Blemmydes, who wrote medi- at court, where imperial brides were taken from
cal, theological, exegetic, geographical and philo- western royal houses more and more frequently.
sophical treatises as well as a markedly apologetic The result was increasing frustration and a climate
autobiography and a prince’s mirror dedicated to of impotence and social imbalance.
his imperial protégé (Basilikos Andrias, or in Latin
Statua regia). Theodore shared his teacher’s inter- G.3.2. Erudition, philology and
est in theology and natural science. Noteworthy openness to Latin literature
among his many works are a theological tract The Byzantine literary establishment reacted to
(Christianike theologia), a scientific treatise on the this bleak reality in traditional ways. Classical eru-
cosmos (Kosmike delosis), a number of panegy- dition was accorded unprecedented prestige. The
ric orations (including an encomium to the city editions of classical works by Thomas Magister
of Nicaea and a funerary oration to Frederick II (tragedians and Pindar), Manuel Moschopoulos
Hohenstaufen) and, last but not least, a substan- (Aristophanes, Hesiod, tragedians) and Demetrios
tial correspondence. Triklinios (Aristophanes, tragedians) anticipate
The glorification of all things Hellenic reached conjectural criticism and are still valuable to the
new heights in Theodore Laskaris’ works and also work of textual constitution today. The refined,
now took on a political dimension. Not only did atticizing learned language of these scholars
he – like others before him – regard Greek as supe- became the true sociolect of a numerically very
rior to all other languages, but he also saw the Hel- small but influential class that set the tone of
lenes themselves (and, as a learned Byzantine, he political life [5615–130, 163–168].
included himself under this label) as the superior A prominent figure in philology around 1300
people [64368–388]; [7414 f.]. The erudite emperor was Maximos Planoudes, to whom we owe a new
therefore had no compunction in calling his small edition of the Anthologia Palatina that is named
Micrasiatic kingdom ‘Hellas’ (Epistulae 77 (29) after him, as well as numerous editions of classical
[22p. 103, l. 4]; 125 (3) [22p. 176, l. 52]; cf. [46149 f.]). authors (Hesiod, the Attic tragedians, Nonnus of
12.2. literature 442

Panopolis, Thucydides, as well as technical texts to 911. The work is dedicated to emperor Androni-
like the Geographia of Claudius Ptolemy and the kos II Palaiologos (1282–1328), who had revoked
Arithmetica of Diophantus). His original writing is the church union ceremonially agreed at Lyon in
also noteworthy, including poems in hexameters 1274, thereby earning himself the reputation of
in the tradition of ancient bucolic and an impres- restorer of Orthodoxy [94]. Occasional poetry is
sive body of correspondence. At the same time, also to be found in the literature of this period. Its
however, Planoudes was a harbinger of change. outstanding exponent was Manuel Philes, author
His intellectual curiosity did not limit itself to of epigrams – almost entirely in iambic dodeca-
the traditional domestic sphere. Latin literature syllables – that frequently describe art objects
also fascinated him. He translated – as might be (icons and other liturgical objects, mosaics, stat-
expected – theological works (Augustine’s De ues, buildings) and are thus of great importance
Trinitate), as well as Roman poetry and works to the history of material culture and art (→ 11. Art
of proverbial wisdom, such as Cicero’s Somnium and architecture) [39].
Scipionis with Macrobius’ commentary, the Disti-
cha Catonis, and in particular the complete works G.3.4. Vernacular literature
of Ovid, including the Ars amatoria and Remedia There was another side to the literature of
amoris. the Palaiologan period, however – one that bore
This new openness, however, seems to have the innovative traits of vernacular writing. Nar-
emerged at a remove from the main conserva- rative literature (romances, historical accounts
tive trend, running parallel to it but never mixing. and songs), satirical and moralizing or edificatory
Although translation work continued in the 14th works, animal fables and love poetry were now
century, it increasingly confined itself entirely to cast in the metrical form of political (decapenta-
theology. The brothers Prochoros and Demetrios syllabic) verse and written in the more demotic
Kydones tackled the works of Thomas Aquinas linguistic register in which innovation had always
and ultimately converted to Catholicism. The Byz- – albeit quietly – articulated itself in Byzantine lit-
antines thus regarded them as traitors, and their erature. It steadily grew in importance in the sec-
work exerted no recognizable influence. tor that would now be called ‘popular literature’.
The abandonment of the atticizing learned lan-
G.3.3. Historiography of crisis, guage loosened the ties to Antiquity, for the new
ecclesiastical history linguistic register lacked the evocative power that
Otherwise, literature continued pursuing the brought myth and tradition ineluctably to mind
traditional genres – with notable results. The triad and was thus free to embrace new voices and new
of George Pachymeres, Nikephoros Gregoras and myths [36173].
John Kantakouzenos wrote historical works at the This new openness can be traced particularly
highest level in the 13th/14th centuries, although clearly in the example of the Byzantine romance.
with differing emphases. The first, a cleric, was All earlier texts of this type, dating back to the late
greatly interested in church affairs, especially the 13th century, had appeared in the context of the
hotly debated issue of church union (→ 7.1. Doc- imperial court, and despite some motivic and sty-
trinal history D.2.), while Nikephoras focused on listic innovations, many threads still tied them to
the Hesychasm debate (taking a position opposed their Late Antique and Byzantine precursors, even
to Gregory Palamas, the leading figure of this if they also betrayed the influence of the contem-
spiritual movement; → 7.1. Doctrinal history E.), porary narrative and allegorical literature of Latin
to which he also contributed a series of polemical West [26286–292, 305–315]; [48]. Over time, not just
treatises (Antirrhetika, 1346/47–1351, 1353–1355/56). motifs, but also complete works of foreign origin
Finally, John Kantakouzenos, the former emperor began to be appropriated. It followed from the his-
(1341/47–1354), wrote his history after becoming a torical context that such works tended to be west-
monk following his deposition. His work is not so ern, mostly Italian and to some extent French. The
much a narrative history as a collection of heavily bestsellers of medieval romance literature – the
apologetic memoirs that seek to justify his contro- Roman de Troie, the history of Apollonius of Tyre,
versial career and usurpation. Florire and Blanchefleur, Pierre and Maguelonne –
The genre of ecclesiastical history, dormant thus found their way into Byzantine literature. It is
since the 6th century, was now revived. Nikepho- likely, although not conclusively proven, that this
ros Kallistos Xanthopoulos undertook the task increasing westward turn went hand in hand with
of continuing the histories of his Late Antique a decentralization of literary activity [342 f.]. What
predecessors down to the present day. A single had been peripheral regions of the Byzantine
manuscript preserves 18 books (written ca. 1316– Empire, such as Venetian Crete or Cyprus under
1320) covering the period up to 610, and a table of the House of Lusignan, would later (16th/17th
contents for a further five dealing with events up cents.) become fountainheads of a new literature.
443 12.2. literature

Already post-Byzantine, it was these literature that H. Finale

the newly founded modern Greek nation would The intimate connection to Antiquity runs like
identify as the origins of its own literature in the a golden thread through the literature of the final
19th century. decades of the Byzantine Empire. These decades
Conservative scholars, however, stubbornly were dominated by desperate attempts to per-
ignored this vernacular production and continued suade the West to intervene in Byzantium’s aid,
to look down with disdain on the evolution of the not least on the basis of the church union that was
living language. Although there was a move to formally sealed at the Council of Ferrara/Florence
transpose important historical texts (Anna Kom- in 1438. The doyen of this final phase of Byzantine
nena’s Alexiad, the Chronike Diegesis of Niketas Humanism was George Gemistos, called Plethon.
Choniates, the mirror of princes of Blemmydes) From 1410 until his death in 1452, he worked in
into a simpler linguistic register, the target level the Despotate of → Mistra (8.13.), the last centre
of such metaphrases was at most a kind of liter- of Byzantine culture on the Peloponnese, teach-
ary koine, not the vernacular (→ 12.1. The literary ing Platonic philosophy and trying to establish
language). The reasons for this dogged linguistic paganism as an alternative to Christianity [114];
conservatism were probably socio-political. There [38177–192].
was simply no other way, by now, to sustain the Equally indebted to Antiquity is the language
illusion of the everlasting supremacy of Byzantine of the history (completed ca. 1463) that Laonikos
culture, or even the Byzantine monopoly on Greek Chalkokondyles dedicated to Mehmet I. Laoni-
literature, which was now also enjoying a growing kos, who was an Athenian pupil of Plethon’s,
reputation in the West. recounted the development of Turkish power and
the Ottoman conquest in the style and language
G.3.5. A privilege or a burden? of Thucydides and Herodotus. His cultural con-
Ambivalent attitudes to the classical sciousness, however, stood in sharp contrast to his
legacy ‘national’ sense of identity. Laonikos no longer saw
Even so, this is only one side of the coin. Atti- himself as a Byzantine, but as a ‘Greek’ (Hellen).
tudes to the past, particularly one that had been The term Rhomaios had lost all power of convey-
so glorious, were in reality far more complex and ing identity for him, and he used it exclusively to
multifaceted. Byzantine intellectuals sometimes refer to the ancient Romans [59vol. 1, 485–490]; [66].
felt that the classical legacy was an intolerable The same auctores, as well as Arrian and Jose-
burden. The grand logothete (megas logothetes) of phus Flavius, inspired Michael Kritoboulos, an
Andronikos II Palaiologos, Theodore Metochites, older contemporary of Laonikos’. In his Historiae
author of the only Byzantine encomium to Con- (between 1453 and 1467), Michael also described
stantinople to survive intact (written ca. 1310) [13], the fall of Byzantium from an Ottoman perspec-
voiced such feelings when he resignedly declared tive, but unlike Chalkokondyles, he focused on
that the ancients had already said everything the overwhelming catastrophe itself, highlight-
there was to say, leaving nothing for their Byzan- ing the suffering of the defeated and especially
tine heirs ([12cap. 1, p. 14]; cf. [108175]). Yet Theodore the plunder and violation of Constantinople, in
was anything but dissuaded by this from writing order to illustrate all the more vividly the nobility
works of his own: the study of ancient astron- of the conqueror and the grand scale of his vic-
omy and Aristotelian philosophy was a lifelong tory. However, Kritoboulos’ pro-Ottoman stance
preoccupation, and even when writing his most and his glorification of Mehmet are laced with
personal poetry ‘for himself’, he chose the long- a pride in Greek as the cultural language known
obsolete form of the hexameter and cultivated and admired throughout the world, and the only
an extreme, archaizing language peppered with vehicle capable of bestowing immortality on the
Homeric lexemes. sultan’s heroic deeds [10p. 3, l. 23–p. 5, l. 25].
Later Byzantine intellectuals shared this con- Greek was certainly no longer the exclusive
flicted attitude toward Antiquity, if not Theodore’s preserve and privilege of Byzantine writers in the
pessimism. A century later, in a letter written in Humanist period. As Gennadios Scholarios, the
1410, the learned emperor → Manuel II Palaiologos first Patriarch of Constantinople under Turkish
(2.6.; 1391–1425) declared the greatness of classical rule and a Latin expert bitterly acknowledged (in
writers like Plato, Demosthenes and Thucydides to a letter to his pupils [6vol. 4, p. 405, ll. 31–406]; cf. [38359–
be unattainable. Yet emulating them was not only 362]), Greek culture enjoyed a higher reputation in

commendable, but absolutely necessary. ‘If for this Italy than in Byzantium itself. It was no accident
reason we refrained from producing literature, the that many exponents of Byzantine erudition had
fruits of our culture would vanish entirely, leaving taken their books and fled west to find refuge even
us incapable even of rightly understanding the before the Fall of Constantinople. The paradig-
dogmas that underpin our Orthodox faith’ [11no. 52, matic example of this emerging Greek diaspora,
140–151]. which would do much to change the cultural face
12.2. literature 444

of Europe, was Bessarion, who not only converted Consilia et narrationes, edited by C. Roueché, 2013
to Catholicism but even rose to the rank of car- (www.ancientwisdoms.ac.uk/library/kekaumenos-
dinal. Author of a substantial body of theological consilia-et-narrationes) [10] M. Kritobulos, Cri-
works, Bessarion brought books with him from tobulae Imbriotae Historiae (CFHB 22), edited by
D. R. Reinsch, 1983 [11] Manuel II. Palaiologos,
Constantinople that would lay the foundations of Letters (CFHB 8), edited by G. T. Dennis, 1977 [12] T.
the Greek manuscript collection at the Biblioteca Metochites, Miscellanea philosophica et historica,
Marciana in Venice. edited by C. G. Müller und T. Kiessling, 1821 (reprint
As discussed above, however, Byzantine lit- 1969) [13] T. Metochites, Βυζάντιος ἢ Περὶ τῆς
erature had also long since operated also in the βασιλίδος Μεγαλοπόλεως. Κοσμολογία καὶ ῥητορικὴ
vernacular. Much entertainment and fictional κατὰ τὸν ιδ’ aἰῶνα, edited by I. D. Polemis, 2013 [14]
literature was written in this register in the sec- Procopius of Caesarea, Opera Omnia, vol. 3:
ond half of the 14th century and through the 15th. Historia arcana, edited by J. Haury und G. Wirth,
Historical songs, love songs, satirical, didactic and 2001 [15] M. Psellos, De operatione daemonum,
edited by J. F. Boissonade, comm. by G. Gaulmin,
hortatory poems, afterlife visions and more made
1838 (reprint 1964) [16] M. Psellos, The Essays on
use of the vernacular language, and even historio- Euripides and George of Pisidia and on Heliodorus
graphical discourse began to be receptive to col- and Achilles Tatius (BV 16), edited by A. R. Dyck,
loquial idiom. At the same time as Chalkokondyles 1986 [17] M. Psellos, Orationes hagiographicae,
and Kritoboulos were dedicating their historical edited by E. A. Fisher, 1994 [18] M. Psellos, Chro-
works in the learned language to the sultan, Dou- nographia, 2 vols. (Millennium-Studies 51), edited by
kas, an eye-witness to the Turkish conquest of the D. R. Reinsch, 2014 [19] M. Psellos, Leben der
capital, saw nothing wrong in lamenting the catas- byzantinischen Kaiser (976–1075). Chronographia,
trophe in a language very close to the colloquial edited by D. R. Reinsch, 2015 [20] Romanos Melo-
register. Finally, George Sphrantzes, a close con- dos (‘the Melodist’), Hymnes, 5 vols., edited by
J. Grosdidier de Matons, 1964–1981 [21] Socrates
fidant of the last Byzantine Emperor, Constantine Scholasticus, Kirchengeschichte, edited by G. C.
XI, used the same register to record his diary-like Hansen, 1995 [22] Theodore Dukas Laskaris,
chronicle of the final fifty years of Byzantine his- Epistulae CCXVII, edited by N. Festa, 1898 [23] The-
tory and his personal role in them. The anony- odore Prodromos, Historische Gedichte (WBS 11),
mous authors of the threnodies (threnoi) on the edited by W. Hörandner, 1974 [24] Theodore of
Fall of Constantinople also chose the language and Cyzicus, Epistulae (CFHB 48), edited by M. Tziatzi-
metre of the people to give appropriate expression Papagianni, 2012.
to their sorrow and horror at the capture of the
God-protected city and the desecration of Hagia Secondary literature
Sophia [2985–90]. [25] W. Aerts, Panorama der byzantinischen Litera-
It is fitting that this survey of the literature of tur, in: L.-J. Engels / H. Hofman (eds.), Neues
Handbuch der Literaturwissenschaft, vol. 4: Spätan-
the thousand-year Byzantine period should con-
tike, 1997, 635–713 [26] P. A. Agapitos, In Rho-
clude in the contemplation of that monument, maian, Frankish and Persian Lands. Fiction and
whose beauty Paul the Silentiary once praised in Fictionality in Byzantium and beyond, in: P. A. Agap-
resonant hexameters (see above, C.3.), and which itos / L. B. Mortensen (eds.), Medieval Narratives
still stands today as the symbol and embodiment between History and Fiction, 2012, 235–367 [27]
of Byzantium. P. A. Agapitos, Late Antique or Early Byzantine?
Plans: Plans 1–2 The Shifting Beginnings of Byzantine Literature, in:
Istituto Lombardo di Scienze e Lettere. Rendiconti
146/3, 2012, 1–36 [28] P. A. Agapitos, Grammar,
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hochsprachliche profane Literatur der Byzantiner, tine Letter-Writing. The Case of Exile, in: A. R. Lit-
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Raconter Byzance. La littérature au XIIe siècle, chiselled, etched – the epigraphic tradition
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Malalas entre littérature et philosophie, in: R. Mac-
B. Byzantine churches as venues of ‘displayed
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schichte des Nikephoros Kallistos Xanthopoulos, in: C. Verse inscriptions
Ostkirchliche Studien 58, 2009, 248–266 [95] S. D. The interaction of word, image and viewer
Papaioannou, Fragile Literature. Byzantine Letter- E. Summary
Collections and the Case of Michael Psellos, in: P.
Odorico (ed.), La face cachée de la littérature byz- A. Introduction
antine. Le texte en tant que message immédiat, 2012, On April 4, 1166, after several sittings of the
289–328 [96] S. Papaioannou, Michael Psellos. synod, a decree of Emperor Manuel I Komnenos
Rhetoric and Autorship in Byzantium, 2013 [97]
(1143–1180) was read out. It declared the theologi-
D. R. Reinsch, Byzantium II. Literature, in: BNP
Classical Tradition, 1, 2006, 610–619 [98] D. R. cal dispute that had broken out years before, over
Reinsch, Historia ancilla litterarum? Zum liter- the question of how to understand the statement
arischen Geschmack in der Komnenenzeit, in: P. ‘[…] the father is greater than I’ in the New Testa-
Odorico / A. Agapitos (eds.), Pour une nouvelle ment (Joh 14,28), to be resolved. The remarkable
histoire de la littérature byzantine, 2002, 81–94 [99] thing about this decree was that it was chiselled
D. Renaut, La récitation d’ekphraseis. Une réalité into marble as a long, monumental inscription
vivante à Gaza au VIe siècle, in: C. Saliou (ed.), Gaza and put on show in the largest place of worship
dans l’Antiquité tardive. Archéologie, rhétorique et in the city, Hagia Sophia [15]. The tablets on view
histoire, 2005, 197–220 [100] J. O. Rosenqvist, Die in the entrance of the church today, however, are
byzantinische Literatur. Vom 6. Jahrhundert bis zum
Fall Konstantinopels 1453, 2007 [101] C. Roueché,
copies (cf. fig. 1), because the originals were used
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tion, in: P. Odorico (ed.), L’éducation au gouverne-
ment et à la vie. La tradition des ‘règles de vie’ de
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anz 565–1453, 42011 [104] D. Shanzer, Literature,
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Anekdota und Justinians Nachfolge, in: JÖB 53, 2003,
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tities, 2014, 87–105 [111] P. Van Deun / C. Macé
(eds.), Encyclopedic Trends in Byzantium? (Proc. of Fig. 1: Decree of Manuel I. Komnenos (1166) in Hagia
the International Conference Held in Leuven, 2009), Sophia, Constantinople (modern copies). In putting
2011 [112] R. Volk, Der medizinische Inhalt der the inscription on public show, Manuel was not only
Schriften des Michael Psellos (MBM 32), 1990 [113] fulfilling the intention of presenting the synod’s verdict
N. Wilson, Scholars in Byzantium, 21996 [114] to a wider public, but also conducting propaganda on
C. M. Woodhouse, George Gemistos Plethon. The his own behalf. It is no coincidence that the prooemium,
Last of the Hellenes, 1986. inscribed in larger letters, consists of the numerous
epithets and titles of the emperor. The inscription
Carolina Cupane also deliberately evokes the epigraphic traditions of
Antiquity and Late Antiquity when – in the absence of
alternatives – it was usual to publish decrees and other
decisions carved in stone and readable from a distance.
447 12.3. culture of writing and books i: painted, chiselled, etched

in the building of the mausoleum of Sultan Sulei- Maximos Planudes, for instance, writing in the
man the Magnificent in the second half of the second half of the 13th century, began a poem
16th century. written for Theodora Raulaina, a niece of Michael
The production of inscriptions was at its height VIII Palaiologos (1259–1282), as follows: ‘Inscrip-
in Antiquity and Late Antiquity, until the 6th cen- tions bring understanding of pictures of things
tury. As urban structures flourished, cities were and people. In an inscription, I offer knowledge of
the ideal venue for putting up inscriptions that who I am, where I come from and what my destiny
served both to inform and celebrate the ruling is’ [23318 f.]; [29299 f.]. It seems likely that the poem
class. As Late Antiquity waned, political and social was exhibited in an inscription next to the like-
turmoil led to a collapse in epigraphic production, ness of Theodora Raulaina in the Constantinople
not least as a result of the loss of epigraphically Monastery of Hagios Andreas en te Krisei, which
productive regions in the east (Palaestina, Syria) in she had just had refurbished. The quotation shows
consequence of the Arab conquest. However, the that the Byzantines were aware of the interplay of
view (often still expressed today) that inscriptions text and image. After the Iconoclasm (→ 7.1. Doc-
did not play a practical role in Byzantium, in con- trinal history C.), adding names to pictures gave
trast to Greco-Roman Antiquity, is incorrect. This rise in Byzantium to the new genre of the nomina
view has arisen chiefly because the inscriptions of sacra, in which names of saints were written in
Byzantium have yet to be comprehensively sur- abbreviated form, to ensure that it was the saint
veyed on account of the absence of a systematic who was venerated, not the image as object [14275].
focus on epigraphy in Byzantine studies [16]; [28]. Even so, Byzantium was not a civilisation
The definition of ‘inscription’ must also be con- d’épigraphie [3088], because new and more eas-
siderably broader for Byzantine culture than it is ily manageable methods of communication and
for Antiquity and Late Antiquity. Texts were not representation were developed over the centu-
only carved in stone or chiselled in it in Byzan- ries. Monumental inscriptions like that created by
tium. They were also painted, in great numbers, Emperor Manuel in 1166 were the exception rather
in Byzantine churches and on icons. Texts were than the rule. Yet inscriptions were still put up at
also added to many liturgical and other small art important Byzantine sites. For example, inscrip-
objects, and to coins and thousands of seals. tions viewable from some distance were put up
The descriptor ‘Byzantine’ generally applies to on city walls (→ 11.2. Architecture B.8.), especially
inscriptions that were made between the 4th and those of Constantinople [17], not only declaring
15th centuries and that were written in Greek. the name of the ruler who had commissioned
Yet there were Byzantine epigraphic (and many them, but also fulfilling a protective and apotro-
other) traditions that survived the fall of the paic function (i.e. repelling harm). Public inscrip-
empire. Furthermore, Latin inscriptions were also tions were also placed at other important sites in
produced in Byzantium, for instance in the Early the capital, e.g. on the obelisks in the Hippodrome,
Byzantine period, when Latin was still the offi- on columns and around the Great Palace.
cial language of the empire, and later in regions The overall tendency revealed by Byzantine
under western, ‘Latin’ dominance after the Fourth epigraphic findings, however, is of a retreat into
Crusade of 1204. Some Slavic inscriptions also the private sphere and a shift from ordinary people
properly belong to the Byzantine epigraphic tra- to the social elites. For example, many unpreten-
dition. Frescos created under Serbian influence tious funerary inscriptions to ordinary people are
in churches of Southeastern Europe in the 13th still found dating from Late Antiquity, but these
and 14th centuries that show both Greek and Old disappear almost entirely after the 7th century.
Church Slavonic texts, incidentally also attest to Ordinary people are occasionally commemorated
some bilingualism at painting workshops and in the many surviving pieces of graffiti [7], but
among the target audience. Inscriptions were also even this form of epigraphy presupposes at least
made in Byzantine territory in Arabic, Armenian, a rudimentary level of education in its practitio-
Georgian and later Ottoman Turkish. Conversely, ners, and only a small fraction of the population
the Greek epigraphic tradition also lived on in had such education.
regions that had long ceased to belong to the Byz-
antine Empire, such as Southern Italy and Sicily, B. Byzantine churches as venues of
where many Greek inscriptions were created after ‘displayed writing’
the 11th century, some of them multilingual and The abandonment of profane subject matter
found in intercultural contexts. One such example and the turn to religious and theological content
is a funerary inscription at Palermo dating from that came with the triumph of Christianity made
1149, with a text given in Greek, Latin, Arabic and churches rather than public urban spaces, as in
Judaeo-Arabic [2no. 199]. Antiquity and Late Antiquity, the key Byzantine
Byzantines themselves occasionally remarked venue of ‘displayed writing’, especially after the
on the importance of inscriptions. The scholar end of the Eikonomachia and the restoration of
12.3. culture of writing and books i: painted, chiselled, etched 448

the icon cult [31235]. Inscriptions are ubiquitous in the same date. It is safe to assume that in addi-
Byzantine churches, and they fulfil a number of tion to the painters’ books known from the post-
purposes. Benefactors’ inscriptions are exhibited Byzantine period, there were also pattern books
very prominently, often above the entrance on of inscriptions which painters’ workshops could
the door lintel, sometimes also inside the church consult when designing the epigraphic decoration
above the main entrance. In the Middle Byzan- of a church. Inscriptions accompanying scenes
tine period, they are still very often engraved in and inscriptions on saints’ and prophets’ scrolls
stone or chiselled out of it, or more rarely made in were probably also incorporated into the church
mosaic, but in the Late Byzantine period, partly for liturgy. For instance, a priest might have recited
financial reasons, benefactors’ inscriptions tend to the text on a saint’s scroll on the saint’s feast day.
be painted, often in combination with a portrait Such texts thus also went beyond the simple func-
of the benefactor or his or her entire family [5]. tion of conveying information to the recipient
Byzantine churches sometimes have sev- reader. They also constituted part of the interac-
eral benefactor inscriptions, some in unadorned tion between preacher and congregation in the
prose and others in verse. One example is the liturgical space [27].
famous Church of Panagia Skripou in Orchome- Inscriptions also played a decorative aesthetic
nos (Boeotia), dating from the second half of the role in the artistic design of churches, often being
9th century. While three inscriptions on the apse composed of carefully painted letters. Their content
exteriors simply give the key facts of the founda- was often of merely secondary importance, as is
tion of the church and its chapel, a sophisticated proved by the fact that some texts on saints’ scrolls,
verse inscription near the entrance also celebrates taken from the Bible or based on biblical quota-
the aristocratic founder [24737–739]; [19]. Although tions, break off mid-sentence or even mid-word.
the content of the verse inscription adds little to Inscriptions might be placed not only on the
the facts stated in prose, a lavish inscription was a walls and floors (e.g. funerary floor slabs) of a Byz-
tried and tested method for benefactors to portray antine church, but also on the very wide range of
themselves and an expression of the well-estab- the liturgical objects it contained, such as crosses,
lished memorial culture of Byzantium [18]; [8]. staurotheques (cross reliquaries), patens (diskoi),
Benefactor inscriptions were documents that chalices and book bindings (→ 11.3. Art C., with
not only reported the act of benefaction, but prob- fig. 11; → 10.10. Goldsmithing and silversmith-
ably also were used for a certain period in the lit- ing; → 10.12. Glass; → 10.14. Ivory; → 10.15. Leather
urgy of the church year. There are indications, for goods, fig. 9). The content of the texts added to
instance, that the benefactor inscription of the these objects, usually engraved in metal, tends
famous Church of Christ Pantokrator, founded at to be liturgical and was intended to reinforce the
Constantinople in the first half of the 12th century, sacred function of the object. Sometimes, how-
was recited at the annual commemoration of the ever, they commemorate the benefactor, who –
church consecration [9208–218]. The inscription, much as in the traditional church benefactor
which ran to 145 lines, gives further proof that the inscriptions – would conventionally ask for the
Byzantines turned even very lengthy texts into forgiveness of sins and support at the Last Judg-
inscriptions. Although it is lost today, a 16th-cen- ment in exchange for the endowment.
tury witness reports its existence [20]. Other very
long epigraphic documents in churches include C. Verse inscriptions
not only the aforementioned decree of Manuel I One special form of inscription was the type
in Hagia Sophia, but also the texts of four early composed in verse and generally known as an
14th-century chrysobulls. These documents, which epigram, such as the abovementioned benefac-
granted privileges, were painted on the walls of a tor epigram in the Church of Panagia Skripou at
chapel in the Church of the Hodegetria at → Mis- Orchomenos. One remarkable feature of this epi-
tra (8.13.) [12]. Such texts were intended not to be gram is that it is written, as in Antiquity and Late
read, but rather to ensure the continuance of the Antiquity, in excellent hexameters, a metre only
privileges granted and to impress upon the viewer, rarely found in the Byzantine period after 600. By
through their powerful presence, the importance far the majority of metrical Byzantine inscriptions
of what was written. are in Byzantine dodecasyllables. This verse form,
Inside a church, a Byzantine visitor would be which evolved out of the ancient iambic trimeter,
confronted with a plethora of other inscriptions. is characterized by a regular count of twelve syl-
Fresco cycles, for instance, had accompanying lables, with a caesura after the fifth or seventh
inscriptions describing the scenes and identify- syllables and paroxytonic endings (i.e. accents on
ing the figures. The fact that the texts and images the penultimate syllable). Although many Byzan-
sometimes do not match, as in the Cappadocian tine epigram inscriptions (especially those com-
rock-cut church of Tokalı Kilise [137], may suggest missioned by the imperial family or aristocratic
that the words and pictures were not created at elite) maintain the alternation of short and long
449 12.3. culture of writing and books i: painted, chiselled, etched

syllables familiar from the trimeter, other epi- backs of icons and crosses, where they were at
grams take no account of long and short and are least out of immediate sight. Once discovered,
thus non-prosodic. such inscriptions would by their mere presence
Not all benefactors could afford to engage impress a viewer and exert a magical aura, par-
highly qualified authors like Manuel Philes, a poet ticularly for those who had little or no ability to
on commission active in the first half of the 14th read. Inscriptions were also believed to have pro-
century. Accordingly, some benefactor epigrams tective and apotropaic powers; for instance, the
begin metrically or contain metrical parts, but are texts on the defensive ramparts of Constantinople
otherwise in prose. One such is the inscription were positioned to point outwards, i.e. towards
(11th cent.) on the lintel of the famous Church the enemy [17].
of Panagia ton Chalkeon in Thessalonica, which Illiterate or near-illiterate viewers of Byzantine
begins in verse, but continues in prose, apparently inscriptions were thus not necessarily excluded
because the author found it impossible to accom- from the information those inscriptions conveyed.
modate the title of the benefactor and the names As also discussed above, the content of inscriptions
of his family members in dodecasyllables [26GR126]. might sometimes be read out to them on special
Epigrams were used not only to report the occasions, for example on church consecration
foundation of a church or the refurbishment of festival days. Other inscriptions may also have
a city wall in poetic form [21]; [26]. They were played with readily recognizable signal words that
also placed on liturgical utensils, icons [22] and would reveal their meaning to a reading observer
an abundance of Byzantine lead seals [3]. They at a glance. Here again, the long hexametric bene-
should be seen as an expression of the benefac- factor epigram in the Church of Panagia Skripou
tor’s self-representation and particular desire to at Orchomenos serves as a good example. It makes
assert his status in society. clear to the reader from the outset that ‘envy and
Some 700 Byzantine epigram inscriptions dat- time’ – synoymous with ‘destruction’ for the Byz-
ing from the period between 700 and 1500 are pre- antines – would never succeed in obliterating the
served in situ today. This number can only hint at achievement of the founder [24737 f.].
the actual number of epigraphic verses that once One specialized genre of Byzantine epigra-
existed and at the prevalence of the practice in phy comprises inscriptions consisting of a small
Byzantine culture. number of letters recurring in a specific pattern.
Because most of these are made up of four letters
D. The interaction of word, image or pairs of letters, they are called tetragrams. They
and viewer generally accompany the portrayals of crosses on
As discussed above, Byzantine inscriptions city walls, church walls, icons and other objects.
were not simply conveyors of specific factual The best-known tetragram is IC XC NI KA (I[ēsù]s
information, but also elements of artistic design. Ch[ristò]s nikâ, ‘Jesus Christ victorious’), pithily
They thus also served a decorative and aesthetic proclaiming the victory of the crucified Christ.
purpose, much like illuminated letters and words Another frequently found from Late Antiquity
in manuscripts. Particularly aesthetic capital let- until long after the fall of Byzantium is ΦΧΦΠ
ters (majuscules) were also often imitated in (Ph[ôs] Ch[ristoū] ph[aínei] p[âsin], ‘The light of
manuscripts (called in German ‘epigraphische Christ illumines all’), which was also apotropaic
Auszeichnungsmajuskel’; → 12.4. Books and librar- in character (cf. fig. 2). The frequency of these
ies C., D.1.) [10]. While most Byzantine inscriptions abbreviated inscriptions suggests that they were
are executed in majuscules that are difficult to well-known symbols that would also have been
date, the 11th century represents a kind of caesura, understood by people of limited or no literacy
marking as it does the advent of ligatures, abbre- [32]; [25].
viations and occasional small letters (minuscules) Many inscriptions also sought contact with
in the script [16149]. Punctuation and other mark- readers or viewers by directly addressing them
ings in inscriptions sometimes seem not only to and encouraging them to take active part in the
be decorative, but also to convey meaning, espe- content of the text. Funerary inscriptions very
cially the various symbols introduced at the end of often contain such direct challenges to the reader
verses and other units of meaning in inscriptions. to look upon the deceased (who would be por-
It is safe to assume that Byzantine inscriptions trayed in paint or sculpture beside the tomb) and
could be read and understood by only a very small remember them.
number of those who looked at them. Moreover,
some inscriptions were put up in places where E. Summary
even literate viewers could not have deciphered The Byzantines were confronted with inscrip-
them, whether in the high dome of a church or tions to a far greater extent than is sometimes
engraved high atop a column. Other inscriptions assumed. Future research in Byzantine epigraphy
not primarily intended to be read were those will need to complete scholarly editions, whether
walled in and thus not visible, and those on the as traditional book publications [1] or as online
12.3. culture of writing and books i: painted, chiselled, etched 450

Fig. 2: Tetragram ‘Phi Chi

Phi Pi’ on the city wall
of Thessalonike (Late
Byzantine). The crosses
with tetragrams set into
the wall in brick represent
security and protection.
The cross and letters are
well-known symbols,
evoking the invincibility
and indestructibility of the
city walls, protected by
Christ.

resources [4], and to conduct further studies [11]; Epigram as Evidence for Viewer Response, 1996 [14]
[6] that examine inscriptions in context and assess H. Maguire, Validation and Disruption. The Binding
their socio-cultural significance in the lived world and Severing of Text and Image in Byzantium, in: K.
of the Byzantines. Krause / B. Schellewald (eds.), Bild und Text im
Mittelalter, 2011, 267–281 [15] C. Mango, The Con-
ciliar Edict of 1166, in: DOP 17, 1963, 317–330 [16] C.
Bibliography Mango, Epigraphy, in: E. Jeffreys et al. (eds.), The
Oxford Handbook of Byzantine Studies, 2008, 144–
Sources 149 [17] B. Meyer-Plath / A. M. Schneider, Die
[1] Recueil des inscriptions chrétiennes de Macédoine Landmauer von Konstantinopel, Teil 2, 1943 [18] A.
du IIIe au VIe siècle, edited by D. Feissel, 1983 [2] Papalexandrou, The Memory Culture of Byzan-
Recueil des inscriptions grecques médiévales d’Italie, tium, in: L. James (ed.), A Companion to Byzantium,
edited by A. Guillou, 1996 [3] Corpus der byzan- 2010, 108–122 [19] O. Prieto-Domínguez, On the
tinischen Siegel mit metrischen Legenden, Teile 1–2, Founder of the Skripou Church. Literary Trends in the
edited by A. Wassiliou-Seibt, 2011–2016. Milieu of Photius, in: GRBS 53, 2013, 166–191 [20] A.
Rhoby, Zu jambischen Versen an einer Mauer in Kon-
Secondary literature stantinopel, in: BZ 96, 2003, 685–687 [21] A. Rhoby,
[4] H. Cayless et al., Epigraphy in 2017, in: Digi- Byzantinische Epigramme auf Fresken und Mosaiken,
tal Humanities Quarterly 3/1, 2009 (www.digital 2009 [22] A. Rhoby, Byzantinische Epigramme auf
humanities.org/dhq/vol/3/1/000030/000030.html) Ikonen und Objekten der Kleinkunst, 2010 [23] A.
[5] E. Drakopoulou, Η πόλη της Καστοριάς τη Rhoby, Interactive Inscriptions. Byzantine Works of
βυζαντινή και μεταβυζαντινή εποχή (12ος–16ος αι.). Art and their Beholders, in: A. M. Lidov (ed.), Spa-
Ιστορία – Τέχνη – Επιγραφές, 1997 [6] A. East- tial Icons. Performativity in Byzantium and Medieval
mond (ed.), Viewing Inscriptions in the Late Antique Russia, 2011, 317–333 [24] A. Rhoby, The Meaning
and Medieval World, 2015 [7] M. C. Gketakos, of Inscriptions for the Early and Middle Byzantine
Ἀνέκδοτοι ἐπιγραφαὶ καὶ χαράγματα ἐκ βυζαντινῶν Culture. Remarks on the Interaction of Word, Image
καὶ μεταβυζαντινῶν μνημείων τῆς Ἑλλάδος. Corpus and Beholder, in: Scrivere e leggere nell’alto Medio-
ἐπιγραφῶν καὶ χαραγμάτων, 1957 [8] M. Grünbart, evo (Settimane di studio della Fondazione Centro
Zur Memorialkultur im byzantinischen Mittelalter, in: italiano di studi sull’alto Medioevo, Spoleto 2011),
D. Sullivan et al. (eds.), Byzantine Religious Cul- vol. 2, 2012, 731–753 [25] A. Rhoby, Secret Mes-
ture. Festschrift A.-M. Talbot, 2012, 373–394 [9] W. sages? Byzantine Greek Tetragrams and their Display,
Hörandner, Zur Beschreibung von Kunstwerken in: en-scription 1, 2017 (http://in-scription.edel.univ-
in der byzantinischen Dichtung. Am Beispiel des poitiers.fr/index.php?id=180) [26] A. Rhoby, Byz-
Gedichts auf das Pantokrator-Kloster in Konstantino- antinische Epigramme auf Stein, 2 vols., 2014 [27]
pel, in: C. Ratkowitsch (ed.), Die poetische Ekph- A. Rhoby, Byzantinische Kirchen als Orte der Inter-
rasis von Kunstwerken. Eine literarische Tradition aktion von Wort, Bild und Betrachter. Inschriften
der Großdichtung in Antike, Mittelalter und früher im sakralen Kontext, in: W. Eck / P. Funke (eds.),
Neuzeit, 2006, 203–219 [10] H. Hunger, Epigra- Öffentlichkeit – Monument – Text (XIV Congressus
phische Auszeichnungsmajuskel. Beitrag zu einem Internationalis Epigraphiae Graecae et Latinae, 2012),
bisher kaum beachteten Kapitel der griechischen 2014, 650–652 [28] A. Rhoby, A Short History of
Paläographie, in: JÖB 26, 1977, 193–210 [11] L. James Byzantine Epigraphy, in: A. Rhoby (ed.), Inscrip-
(ed.), Art and Text in Byzantine Culture, 2007 [12] tions in Byzantium and beyond. Methods – Projects –
S. Kalopissi-Verti, Church Inscriptions as Docu- Case Studies, 2015, 17–31 [29] A. Riehle, Καί σε
ments. Chrysobulls – Ecclesiastical Acts – Inventories – προστάτιν ἐν αὐτοῖς τῆς αὐτῶν ἐπιγράψομεν σωτηρίας.
Donations – Wills, in: DChAE 24, 2003, 79–88 [13] Theodora Raulaina als Stifterin und Patronin, in: L.
H. Maguire, Image and Imagination. The Byzantine Theis et al. (eds.), Female Founders in Byzantium
451 12.4. culture of writing and books ii: books and libraries

and beyond, 2014, 299–315 [30] L. Robert, Choix The somewhat brittle papyrus, the dominant
d’écrits, edited by D. Rousset, 2007 [31] C. Roue- writing material of Antiquity and Late Antiquity,
ché, Written Display in the Late Antique and Byzan- was better suited to the scroll form than the codex.
tine City, in: E. Jeffreys (ed.), Proceedings of the 21st Obtaining papyrus became more difficult after the
International Congress of Byzantine Studies (London
2006), vol. 1, 2006, 235–253 [32] C. Walter, The
Arab conquest of Egypt (640/41), but it remained
Apotropaic Function of the Victorious Cross, in: REB the preferred medium for letters, especially at the
55, 1997, 193–220. imperial chancellery, until the 11th century.
Parchment was more difficult and costly to
Andreas Rhoby manufacture, but it was more flexible and dura-
ble, could be written on both sides and could
be illustrated. In terms of quality, it ranged from
12.4. Culture of writing and books II: Books and fine, smooth, white parchment for prestige manu-
libraries – writing and reading in Byzantium scripts to the rough, yellowish material complete
with bone holes for the use of scholars. Because
A. Book designs and writing materials parchment was costly, it was regularly recycled:
B. Writing implements and production costs the study of palimpsest manuscripts (from palimp-
C. Scriptoria and scribes sestos, ‘scraped again’) has made great strides in
D. History of writing recent years [19]. Paper, which reached the Islamic
E. Collections and libraries caliphate from China via Samarkand around 750,
is attested in the Greek-speaking diaspora of the
A. Book designs and writing Levant in the 8th and 9th centuries (Vat. gr. 2200
materials [47]). Bombazine paper (bambykinon or bom-
The written culture of the epigram has recently bikynon, possibly from Syrian Membij – the usual
and rightly increasingly been a research focus, but meaning of the adjective bombikynos is ‘silk[en]’)
the Late Antique and medieval book, which itself is found with increasing frequency from the
underwent profound changes in format and mate- 11th/12th centuries on at Constantinople. Paper
rial over the millennium of Byzantine history, from Northern Italy, recognizable by its water-
remains the main vehicle for the transmission of marks and clear grid pattern, began to appear in
Byzantine texts. In the 4th and 5th centuries, the the late 13th century, competing with the eastern
codex [3], a Roman invention [53], superseded the method of moulding and rapidly establishing itself
scroll as the preferred form for books, and later as the most popular writing material.
parchment replaced papyrus as the material of
book production. Cheaper paper then began com- B. Writing implements and
peting with parchment in the 11th/12th centuries. production costs
The codex format finally began to give way to digi- The main source on Byzantine writing materi-
tal media in the late 20th century. als and implements is the many surviving portraits
The transition from the scroll to the codex of the evangelists. The writing implement was the
was connected to the spread of Christianity in the kalamos (Latin calamus), a reed cut and sharp-
same period. Stabler and easily stackable thanks ened at the end. A knife or pumice stone was used
to its protective binding, the book lent itself to use to sharpen it and to erase writing. Inkpots were
by itinerant professionals. These included not only portable or could be set up in a variety of ways.
peripatetic grammarians and physicians, but also Byzantine ink recipes have recently been the sub-
the Apostles and especially their early Christian ject of a comprehensive study [59]. Particularly
successors [36]. Not least because one could write in the Middle Byzantine period, rulers and lead
on both sides of a folio, the codex form made it wheels or styluses were used to line parchment
possible to accommodate the Tetraevangelion in before writing [58]. The ruler was laid between
a single book, whereas several (papyrus) scrolls two points carefully made in the parchment with
(with writing only on the inner surface) would a knife tip or other sharp implement. Scribes bal-
have been needed. The codex thus played a part anced the writing material on their knees while
in promoting the canonization of Holy Scripture sitting and bent over their work. Many scribes
[60]. The codex also showed its worth in liturgical complained of finger and back pain [2885–89, 95].
use: it could easily be opened at any place, indeed Even ‘simple’ books were comparatively luxu-
with one hand if necessary, and it was easy to rious items in terms of their material cost. A cal-
illuminate. Nevertheless, book scrolls remained in ligraphic manuscript of Plato (424 folios, 32.5 ×
liturgical use for several centuries. One of the most 22.5 cm) made in 895, for example, cost 8 nomi-
famous Middle Byzantine examples is the Joshua smata for the parchment and 13 for the writ-
Rotulus/Roll, dating from the late 10th century [62]. ing work – an astronomical sum given that one
nomisma represented approximately the monthly
12.4. culture of writing and books ii: books and libraries 452

income of an artisan in the 8th century [44295–305], Constantinople (→ 12.2. Literature D.2.), the scrip-
and the annual salary (rhoga) of a protospatharios, torium of which promoted the use of minuscule as
one of the lowest ranking senator, was 72 nomi- a book script [49]; [2183–92]. The abbot of Stoudios,
smata [67121, fig. 2]. Codices were usually bound Theodore, for instance, praised his uncle Platon
in wood covered in leather. The binding could as a capable calligrapher. Such pioneers of minus-
be made as lavish as required – liturgical books cule as Platon and Theodore, whom Byzantine
sometimes had covers adorned with ivory, silver, tradition regarded as saintly, make the connection
gold, precious stones or enamel [31]. However, between monastic and chancellery writing in this
many codices in the Byzantine Middle Ages seem period particularly evident: both men had careers
to have been simply bound in leather (→ 10.15. in the imperial administration as laymen before
Leather goods D.2., with fig. 9.), receiving stur- taking holy orders.
dier bindings in the libraries of the early modern Until the 10th century, monastic scriptoria and
period. professional copyists – some clerics or monks like
the renowned Ephraim [46], some laymen – did
C. Scriptoria and scribes the bidding of wealthy clients. One such man was
Byzantine writing culture differed fundamen- Arethas, who became the metropolitan bishop of
tally from that of the Latin Middle Ages, particu- Caesarea in 902. Arethas contented himself with
larly in that it was not confined to monasteries writing marginal glosses and scholia, and he pre-
and churches. In contrast to the West, chancel- ferred majuscule script, whereas all the codices in
lery work was not a clerical prerogative. Writing his collection were written in minuscule (cf. fig. 3)
in Late Antiquity was often done by slaves, and [67120–135, fig. 2]. Another example is (or are) the
this may have been true even of the fifty Bibles anonymous commissioning client(s) behind the
famously commissioned by Constantine I from so-called Philosophical Collection (third quarter of
Eusebius of Caesarea [25116 f.]. A monastic writing the 9th cent.) [48]; [56]; [57].
culture developed over the course of Late Antiq- Education at this period was the preserve of
uity [52] and flourished in the Middle Byzantine a very small → elite (1.4.) that surrounded the
period, especially at the Stoudios Monastery in emperor and patriarch. It was not until an eco-

Fig. 3: Codex from the collection of Arethas of Patras (888; Oxford, Bodleian Library, D’Orville 301, fol. 179v–180 r).
The oldest surviving codex from the collection of the future metropolitan of Caesarea contains the Elements of
the ancient mathematician Euclid. Arethas commissioned the manuscript (entirely in minuscule script) from the
klerikos Stephanos in 888, in exchange for a fee of 14 nomismata. The scholia in the upper and lower margins are
written by Arethas himself, here using a tiny minuscule with many abbreviations.
453 12.4. culture of writing and books ii: books and libraries

nomic recovery commenced in the 10th century D. History of writing

that an urban class emerged for whom the acquisi-
tion of education offered a path to social advance- D.1. Majuscule script
ment. A network of schools and schoolmasters D.2. Minuscule script
emerged in early 10th-century Constantinople (→
12.5. Culture and education). These scholars, who D.1. Majuscule script
on their own account were constantly short of As is only to be expected, the evolution of
money, began copying their own manuscripts (so- medieval Greek script reflects this brief social his-
called ‘scholar manuscripts’), often using parch- tory of writing. A fundamental distinction is made
ment of inferior quality. One such scholar was the in Greek (as in Latin) palaeography between two-
figure known as the ‘anonymous schoolmaster’, line majuscule, in which most letters fit between
who also entered service with the patriarch as a two lines, and four-line minuscule, with character-
scribe [14] and corresponded with the aforemen- istic ascenders and descenders. Greek palaeogra-
tioned Ephraim; another is the likewise anony- phy was founded in the early 18th century by the
mous learned scribe of codex Barocci 50 [65vol. 1, 16; Benedictine monk of St. Maur, Bernard de Mont-
vol. 2, pl. 20 f.]; [5591–131]. This 10th-century parchment faucon ([37]; updated introduction: [17]).
codex, perhaps created in Southern Italy, con- Majuscule was the book script of Antiquity and
tains lexicographic and lexical writings as well Late Antiquity. Greek minuscule developed gradu-
as the pseudo-Homeric Batrachomyomachia and ally out of cursive forms of majuscule between the
Musaeus’ epyllium Hero and Leander (ca. 500). 3rd century and the late 8th, under the influence
‘Learned hands’ of this kind, many of whom of the Latin alphabet, which had already evolved
copied codices for their own use, played a vital four-line writing. Initially, minuscule was used
part in preserving ancient dramatic and rhetorical in chancellery documents and everyday writing
texts that came down to the Renaissance. Erudite [18]. The basic principle of calligraphic majuscule
bishops of the 11th and 12th centuries (e.g. John was that each letter would be written separately,
Mauropous, Eustathios; see fig. 4) may not have whereas minuscule sought to link together as
employed calligraphers, but they will have had a many letters as possible (syrmaiographein) [15];
secretary or assistant who wrote down their works, [33], chiefly in the interests of economy of effort,
as also did court officials (e.g. Niketas Choniates in time and material.
the early 13th century; Theodore Metochites and Majuscule letters that were easily confused if
Nikephoros Choumnos in the early 14th). One not written clearly or if the ink faded – e.g. the
notable 12th-century copyist was Johannikios, who three round letters epsilon, omicron and sigma,
cooperated with the Latins at Constantinople [20]. or the diagonals alpha, delta and lambda, all of
We can also observe in the late 13th and early which were distinguished by a single thin ink
14th centuries how writing was increasingly stroke – can easily be distinguished in the minus-
becoming a collective, identity-affirming activity in cule alphabet. However, other possible sources of
learned circles: young protégés literally wrote their confusion arise in minuscule (e.g. between eta and
way into these erudite groups [5]. Such circum- kappa or mu and nu). For this reason, and perhaps
stances are one reason for the frequent changes also out of respect for the conservative tastes of
of hand in Late Byzantine scholar manuscripts. wealthy clients, majuscule letters (eta, kappa, nu,
At the same time, monastic scriptoria remained lambda etc.) were increasingly mixed in with pure
the main source of liturgical manuscripts in the minuscule in the 10th century [41]. Majuscule and
Late Byzantine period. Scriptoria and studios are minuscule coexisted for several centuries and
known to have existed in the milieu of a Palaiolog- were used in clear hierarchies and on a sliding
ina and at the Monastery of the Panagia Hodeget- scale from formal to informal at various times and
ria in Constantinople [40]; [45], and Theodore in various contexts.
Hagiopetrites had a scriptorium at Thessalonica The dominant book script of Late Antiquity
[39]. The question of whether some manuscripts was Biblical Majuscule (or Biblical Uncial), a labo-
might also have been written and illustrated in rious style in which every letter was made by two
convents of the period remains unresolved. to four strokes of the kalamos [11]. The descrip-
Subscriptions and colophons potentially tor ‘biblical’ is deceptive insofar as the style was
contain information about the scribe, commis- taken from literary texts for use in biblical ones,
sioning client, place and date of production and not the other way around. ‘Alexandrian’ majuscule
more. They are rather rare in Byzantine manu- (grammata Alexandrina, the only nomenclature
scripts, in contrast, for instance, to Armenian and attested in Greek sources) seems to have arisen
Georgian manuscripts [2895–99]. The Repertorium in late antique Alexandria and was a character-
griechischer Kopisten, 800–1600 [24] is a project that istic of patriarchal missives [12]. Ogival (i.e. with
aspires to list all scribes who are known by name. pointed arches) majuscule types (slanted at first,
12.4. culture of writing and books ii: books and libraries 454

later vertical) were typical of early medieval Con- inspiration from the contemporary style of the
stantinople [16]. imperial chancellery, for example, emphasizing
Ancient texts were written in majuscule until certain letters by enlarging them, heavy emphasis
the 9th century [13], and majuscule remained in on ascenders and descenders, numerous short-
use as a kind of reserve script for liturgical texts, hand abbreviations etc. (cf. fig. 4; see also fig. 3).
reaching its zenith in this respect in what became There was some overlap in responsibilities,
known as ‘liturgical majuscule’, a script more as chancellery scribes took on additional com-
painted than written and used exclusively in large- mission work as copyists and produced learned
format prestige (folio) manuscripts for liturgical manuscripts for their own use [66]. The socially
use [43] – and as a script for emphasis [27]. Much ambitious class of scholars may also have chosen
of the dating of extant majuscule codices remains this method to display their (perceived) proximity
hypothetical. The manuscript of Dioscurides now to the centre of political power. Finally, scholarly
held at Vienna is one of the few dated reasonably fashions of the 15th century became the model for
securely to the early 6th century [38]. the Greek typefaces of Aldus Manutius and other
Renaissance printers [4].
D.2. Minuscule script Scholars still struggle to identify the regional
Over the course of the 8th century, minuscule, provenance of Byzantine hands. Efforts to detect
hitherto established as a chancellery script for and identify regional or local styles are hampered,
economy of time and material, gradually became on the one hand, by the fact that many manu-
accepted as an informal book script, particularly scripts were removed from their original contexts
for texts intended for everyday use, such as medi- in the 15th century at the latest, and colophons
cal manuscripts [22] or philosophical and theo- rarely divulge such information. On the other
logical manuals (e.g. Barocci 26 in ‘pocket-book hand, the relative centralization of the empire,
format’) [65vol. 1, 12; vol. 2, pl. 11]. The earliest dated which meant that writing elites regularly circu-
calligraphic minuscule codex, the Uspensky Gos- lated through Constantinople, can hardly have
pel (835), was written in a formal register by the fostered the development of regional peculiari-
future Abbot Nicholas of the Stoudios Monastery ties. Regional styles tend to come into view when
(but it was certainly for private, rather than liturgi- a region became detached from the political
cal use); he used a less formal hand for marginal influence of the centre, e.g. Southern Italy in the
notes and obituaries (short records of the death 12th century (Reggio and Rossano Styles [9]; [32],
dates of important Stoudites and the patriarch Otranto Style [30]), later Cyprus [8], and finally
of Constantinople). The evolution of minuscule Epirus [10].
into a book script took place at approximately the To conclude, two trends can be observed over
same time as the Carolingian writing reforms (lat- the course of palaeographic history: from the
ter half of the 8th cent.), but it is largely unclear margin of the folio to its centre, and from utilitar-
whether, and if so to what extent, the two changes ian to special script. For example, vertical ogival
influenced one another [35]. In consequence majuscule, initially used for marginal commentar-
of the change, majuscule texts were gradually ies, ultimately superseded slanted ogival majus-
transcribed into minuscule (a process known as cule in actual texts. Minuscule is also attested in
metacharakterismos) [54]. margins before it replaced majuscule as the book
Round calligraphic minuscule was soon joined script. Around 800, majuscule increasingly began
by an angular variant. In the 10th century, how- to transform into a special script with a religious
ever, a calligraphic minuscule with rounded serifs function. Beginning around 1100, by which time
and pronounced majuscule elements came into majuscule survived only as a script of emphasis,
vogue (for liturgical manuscripts only: ‘patristic calligraphic minuscule inherited this function,
script’; minuscule bouletée [29]; Kirchenlehrerstil although its archaizing variant also adopted ele-
[27]; [2vol. 1, 1]). Round forms with reduced ascend- ments from scholarly minuscule as the latter con-
ers and descenders dominated in the 11th century tinued to evolve.
(‘pearl script’; German Perlschrift) [26], after which
this calligraphic minuscule variant went the same E. Collections and libraries
way as formal majuscule: an increasingly artificial, City libraries remained a phenomenon of
archaizing style became established in liturgical late antique euergesia (‘charity’). The only figure
manuscripts [50]; [51], while variants of scholarly credited with founding (a number of) libraries in
minuscule continued to evolve in everyday use the Late Byzantine period was John III Vatatzes
[7]. Beginning in the 11th century, as an educated (1222–1254). The library with adjacent scriptorium
elite emerged that only partially overlapped with (basilike stoa) financed by the emperor in the new-
the political, aristocratic elite (→ 12.2. Literature founded city of Constantinople, mentioned in the
F.3.), scholarly minuscule began to draw some reigns of Constantius II, Julian (who may have
455 12.4. culture of writing and books ii: books and libraries

Fig. 4: Folio from the

commentary by Eustathios
of Thessalonica on the Iliad
(12th cent.; Florence,
Biblioteca Laurenziana-
Medicea, Ms. 59.2, fol. 183 r).
Eustathios’ commentaries on
the Odyssey and Iliad offer
a treasure trove to classical
philologists and students
of Byzantine erudition.
The illustration shows the
beginning of the commentary
on the ninth canto of the
Iliad. The readily visible
abbreviations for the Greek
word hóti (‘that’) – in red
ink – introduce the individual
sections. There is a word
index in the outer margin
intended to facilitate use
of the commentary. The
comprehensive commentary
itself fills an entire codex,
rather than being consigned
to the margins of an Iliad
manuscript. This arrangement
is very unusual for the
Byzantine period.

extended it), Valens and Theodosius II, burned books that were kept (in whatever form) at the
down in 475. Some 120,000 volumes were said to imperial court probably fell victim to the sack of
have been destroyed. 1204. In Late Byzantine Constantinople in 1292/93,
Talk of an ‘imperial library’ in the Middle Byz- Maximos Planudes tried (whether successfully is
antine period should be treated with caution. unknown) to obtain money from the emperor’s
The main source for such a library is the court mesazon (his senior official) to set up an ‘impe-
history of Constantine VII (913–959), which very rial library’ in the Chora Monastery. The travel
probably projects the situation in the second half writer Pero Tafur mentions a small collection of
of the 10th century onto earlier periods. It is also books in the Blachernae Palace in 1437. Constan-
uncertain whether this library was actually viewed tine IX Monomachos (1041–1055) gave the newly
as an institution, and whether it survived as such. appointed nomophylax (‘Guardian of the Laws’)
At all events, its inventory proved insufficient for the right to borrow legal texts from the palace’s
the ambitious plans of the emperor (→ 12.2. Litera- holdings.
ture E.4.). Subscriptions contain evidence of a library
Since no universities survived Late Antiquity belonging to the Patriarchate of Constantinople
[61], the supposed burning of teachers and books between the incumbency of Sergius I (610–638)
in the reign of Leo III (717–741) doubtless belongs and the early 9th century, and sporadically there-
to the sphere of iconophile legends. Most of the after. Books were brought from churches and
12.4. culture of writing and books ii: books and libraries 456

monasteries across the entire city in preparation grecque et byzantine (Actes du colloque interna-
for the synod of 815 [34]. Monastery libraries tional, Paris 1974), 1977, 241–261 [10] A. Cataldi
began to become important in the context of the Palau, The Burdett-Coutts Collection of Greek Man-
Eikonomachia. Even today, around a quarter of all uscripts. Manuscripts from Epirus, in: Codices Manu-
scripti 54/55, 2006, 31–64 [11] G. Cavallo, Ricerche
surviving Greek manuscripts (ca. 15,000) are held sulla maiuscolo biblica, 1967 [12] G. Cavallo,
by the Mount Athos monasteries and the Monas- Γράμματα Ἀλεξανδρῖνα, in: JÖB 24, 1975, 23–54 [13]
tery of St. Catherine on Mount Sinai. Book lists of G. Cavallo, Funzione e struttura della maiuscola
the Monastery of St. John on Patmos, which care- greca tra i secoli VIII–XI, in: J. Glénisson et al.
fully distinguish between parchment and paper (eds.), La paléographie grecque et byzantine (Actes
codices, record 330 copies for the year 1201 and du colloque international, Paris 1974), 1977,
around 300 for the 14th century (today there are 95–137 [14] G. Cortassa, Un filologo di Bisanzio e
around 800, 108 of which date back to the medi- il suo committente. La lettera 88 dell’‘Anonimo di
eval inventories). Most monastery libraries prob- Londra’, in: MEG 1, 2001, 97–138 [15] G. Cortassa,
Συρμαιογραφεῖν e l’antica minuscola libraria greca, in:
ably held between a dozen and 50 codices. Such
MEG 3, 2003, 73–94 [16] E. Crisci, La maiuscola
collections were often donated by founders, as in ogivale diritta. Origini, tipologie, dislocazioni, in:
the case of Michael Attaleiates (ca. 50 volumes; Scrittura e Civiltà 9, 1985, 103–145 [17] E. Crisci /
another 30 from elsewhere), Gregory Pakurianos P. Degni, La scrittura greca dall’antichità all’epoca
(30 codices) and Theodore Synadenos (number della stampa, 2011 [18] G. De Gregorio, Materiali
unknown; mostly patristic and hagiographic texts) vecchi e nuovi per uno studio della minuscola greca
[63]; [64]. fra il VII e il IX secolo, in: G. Prato (ed.), I mano-
Only members of the elite – e.g. Arethas [6789– scritti greci fra riflessione e dibattito (Atti V Colloquio
135], later Nikephoros Moschopulos, whose books Internazionale di Paleografia Greca) (Papyrologica
were taken to the Peloponnese loaded on four Florentina 31), 2000, 83–151 [19] D. Deckers / J.
Grusková, Zum Einsatz verschiedener digitaler Ver-
horses [23], Theodore Metochites and Nikephoros fahren in der Palimpsestforschung, in: A. Bravo
Gregoras at the Chora Monastery [6] – had collec- García / I. Pérez Martín (eds.), The Legacy of
tions of any size of ancient and presumably con- Bernard de Montfaucon, 2010, 353–362 [20] P.
temporary literature, but these are on the whole Degni, I manoscritti dello ‘scriptorium’ di Gioanni-
unlikely to have run to more than a few dozen cio, in: Segno e Testo 6, 2008, 179–248 [21] B. L.
codices. Many scholars and schoolmasters of the Fonkič, Scriptoria bizantini. Risultati e prospettive
Middle and Late Byzantine periods copied their della ricerca, in: RSBN 17–19, 1980–1982, 73–118 [22]
own reference libraries. B. L. Fonkič, Aux origines de la minuscule stoudite.
Byzantine book restoration is also increasingly Les fragments moscovite et parisien de l’œuvre de
Paul d’Égine, in: G. Prato (ed.), I manoscritti greci
becoming a subject of study.
tra riflessione e dibattito (Atti del V Colloquio Inter-
A survey of the Greek manuscripts in libraries nazionale di Paleografia Greca, Cremona 1998), 2000,
today can be found in [42] and on the ‘Pinakes’ 169–186 [23] E. Gamillscheg, Eine Platonhand-
website [1]. schrift des Nikephoros Moschopulos: Vind. Phil. Gr.
Maps and plans: Map 9, Plans 1–2 21, in: W. Seibt (ed.), Geschichte und Kultur der
Palaiologenzeit, 1996, 95–100 [24] E. Gamills-
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cnrs.fr) [2] M. L. Agati, La minuscola ‘bouletée’, in the Late Roman World, 2011 [26] H. Hunger,
2 vols., 1992 [3] M. L. Agati, Il libro manoscritto da Die Perlschrift, eine Stilrichtung der griechischen
Oriente a Occidente, 2009 [4] N. Barker, Aldus Buchschrift des 11. Jahrhunderts, in: H. Hunger, Stu-
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Bianconi, Età comnena e cultura scritta. Materiali e ture du Xe siècle. La minuscule bouletée, in: La
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707–718) [8] P. Canart, Un style d’écriture livr- grecque et byzantine (Actes du colloque interna-
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La Chypriote ‘bouclée’, in: J. Glénisson et al. (eds.), The Word Made Visible. The Exterior of the Early
La paléographie grecque et byzantine (Actes du col- Christian Book as Visual Argument, in: W. E. Kling-
loque international, Paris 1974), 1977, 303–321 [9] P. shirn / L. Safran (eds.), The Early Christian Book,
Canart / J. Leroy, Les manuscrits en style de Reg- 2007, 13–47 [32] S. Lucà, Rossano, il Patir e lo stile
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greca e produzione libraria tra VII e IX secolo, in: Ana- Oltrogge, Byzantinische Tinten-, Tuschen- und
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Mango, The Availability of Books in the Byzantine the Christian Codex, in: ZPE 102, 1994, 236–268 [61]
Empire, A.D. 750–850, in: I. Ševčenko / C. Mango P. Speck, Die Kaiserliche Universität von Konstanti-
(eds.), Byzantine Books and Bookmen (Dumbarton nopel, 1974 [62] S. H. Wander, The Joshua Roll,
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(eds.), La paléographie grecque et byzantine (Actes 288 [64] N. G. Wilson, The Libraries of the Byzan-
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180 [36] M. McCormick, The Birth of the Codex Wilson, Medieval Greek Bookhands, 2 vols., 1972–
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Græca, sive De ortu et progressu literarum Græcarum, (eds.), La paléographie grecque et byzantine (Actes
1708 [38] A. Müller, Ein vermeintlich fester du colloque international, Paris 1974), 1977, 221–
Anker. Das Jahr 512 als zeitlicher Ansatz des ‘Wiener 239 [67] N. G. Wilson, Scholars of Byzantium,
Dioskurides’, in: JÖB 62, 2012, 103–109 [39] R. S. 21996.
Nelson, Theodore Hagiopetrites. A Late Byzantine
Scribe and Illuminator, 1991 [40] R. S. Nelson / J. Niels Gaul
Lowden, The Palaeologina Group. Additional Manu-
scripts and New Questions, in: DOP 45, 1991,
59–68 [41] N. Oikonomides, La réintroduction 12.5. Culture and education – imparting
des lettres majuscules dans l’écriture minuscule et les knowledge in Byzantium
origines du monocondyle, in: G. Prato (ed.), I mano-
scritti greci tra riflessione e dibattito (Atti del V Col- A. Introduction
loquio Internazionale di Paleografia Greca, Cremona B. Public institutions: the ‘University’ of
1998), 2000, 239–248 [42] J.-M. Olivier, Réper- Constantinople
toire des bibliothèques et des catalogues de manu- C. The ‘Patriarchal School’
scrits grecs de Marcel Richard, 1989 [43] P. Orsini,
Genesi e articolazione della ‘maiuscola liturgica’, in:
D. Private schools and private tutors
A. Bravo García / I. Pérez Martín (eds.), The E. Stages of education
Legacy of Bernard de Montfaucon, 2010, 669– F. The progymnasmata
682 [44] G. Ostrogorsky, Löhne und Preise in G. A new method: schedographia
Byzanz, in: BZ 32, 1932, 293–338 [45] I. Pérez Mar- H. The Byzantine didactic poem
tín, El ‘estilo Hodegos’ y su proyección en las escritu- I. Conclusion
ras constantinopolitanas, in: Segno e Testo 6, 2008,
389–458 [46] L. Perria, Un nuovo codice di Efrem: A. Introduction
l’Urb. gr. 130, in: RSBN 14–16, 1977–1979, 33–114 [47] The chief notary and ecclesiastical lector Con-
L. Perria, Il Vat. gr. 2200. Note codicologiche e
stantine, who is attested on Cyprus shortly after
paleografiche, in: RSBN 20/21, 1983–1984, 25–68 [48]
L. Perria, Scrittura e ornamentazione nei codici the middle of the 13th century, was the author of
della ‘collezione filosofica’, in: RSBN 28, 1991, a poem in pentadecasyllables, adopting a mixture
45–111 [49] L. Perria, Scrittura e ornamentazione of prestige and demotic language, addressed to
nei manoscritti di origine studita, in: BollGrott 47, an insolent and lazy pupil, potentially his own
1993, 245–260 [50] G. Prato, Scritture librarie son. Although Constantine commiserates with
arcaizzanti della prima età dei Paleologi e loro mod- the miscreant for the punishments the latter had
elli, in: Scrittura e Civiltà 3, 1979, 151–193 [51] G. incurred, he also puts a speech of apology in his
Prato / G. De Gregorio, Scrittura arcaizzante in mouth, which begins with the words ‘Sir teacher
codici profani e sacri della prima età paleologa, in: [Greek maistor], I have sinned and will do it no
RHM 45, 2003, 59–102 [52] C. Rapp, Holy Texts,
Holy Men and Holy Scribes. Aspects of Scriptural
more’ [318, v. 10]. In Byzantium, the term mais-
Holiness in Late Antiquity, in: W. E. Klingshirn / tor (from Latin magister) generally referred to a
L. Safran (eds.), The Early Christian Book, 2007, teacher of pupils in the second and most impor-
194–222 [53] C. H. Roberts / T. C. Skeat, The tant phase of their schooling, the enkyklios paideia
Birth of the Codex, 1983 [54] F. Ronconi, La (see below, E.) [50787]; [51190]. The term was not an
traslitterazione dei testi greci, 2003 [55] F. Ron- invention of later centuries, but had been in use
coni, I manoscritti greci miscellanei, 2007 [56] F. much earlier. For example, it is frequently found
Ronconi, Qualche riflessione sulla provenienza dei as a term of address for colleagues in the letters
modelli della ‘collezione filosofica’, in: D. Bianconi / of the ‘anonymous schoolmaster’ (see below, D.1.).
L. Del Corso (eds.), Oltre la scrittura, 2008, 125–
Constantine the Notary in the 13th century and
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étude des milieux socioculturels liés à la ‘collection the ‘anonymous schoolmaster’ in the 10th worked
philosophique’, in: P. Odorico (ed.), La face cachée within a system that, like many other spheres of
de la littérature byzantine, 2012, 137–166 [58] J.-H. Byzantine civilization, was based on foundations
Sautel, Répertoire de réglures dans les manuscrits laid in the Hellenistic and Roman periods. The
12.5. culture and education – imparting knowledge in byzantium 458

only new aspect concerned the location of schools: Didaskaleion (‘School’) of the Basilica beside the
the rise of Christianity meant that teaching now Milion (on the location: [6092–107]) also enjoyed a
also (although not predominantly) took place in status akin to that of a university. Neither institu-
ecclesiastical institutions. However, the sources do tion survived the early 7th century [4939 f.].
not permit us to reconstruct the history of the Byz-
antine education system completely. Particularly B.2. Middle Byzantine period
in regard to its lowest stages, the glints of insight Another institution regularly called a univer-
available are generally haphazard and unsystem- sity surfaces in the sources after the resolution
atic. ‘University’ education is better understood, of the Eikonomachia (after 843; → 7.1. Doctrinal
because supporting knowledge and wisdom history C.). However, the term hardly befits the
was an important quality for a good ruler. Some school founded by Bardas, uncle of the young
emperors in various periods therefore emerged as Michael III (843–867), which was not a complete
patrons and even founders (or refounders) of insti- establishment covering the full spectrum of sub-
tutes of higher education that are conventionally ject areas. Nor was it a public or imperial institu-
called universities. This term, however, had a dif- tion, but rather a private foundation, established
ferent and much broader meaning in Late Antiq- by the ambitious Bardas as a way of enhancing his
uity and the Middle Ages than in the modern age. prestige and cementing his position at the impe-
rial court [607 f.]. The director of this school, which
B. Public institutions: the was housed in the Magnaura in the complex of
‘University’ of Constantinople the Great Palace, was Leo the Philosopher, the
most important scholar and mathematician of his
B.1. Early Byzantine period day. Constantine VII Porphyrogennetos (913–959)
B.2. Middle Byzantine period reorganized the school in the 10th century, but
B.3. Late Byzantine period could not secure its future. It disappeared soon
afterwards.
B.1. Early Byzantine period The term ‘university’ seems more justified
Although schools and teaching were rarely in the case of the colleges of law and philoso-
government matters in Byzantium, and although phy founded by Constantine IX Monomachos
there were no general legal provisions in this (1042–1055) to counter the decline of education
area, emperors repeatedly sought to assert control caused by political instability. Two leading schol-
over higher education. One of the first attempts ars were entrusted with heading the two depart-
to that effect was made in the 5th century. Theo- ments: John Xiphilinos, who became nomophylax
dosius II (408–450) is remembered as the founder (‘Guardian of the Laws’; → 4.3. Legislation C.3.)
(or refounder) of a ‘university’ at Constantinople, and Michael Psellos, who took the title of hypa-
housed in the Magnaura Palace (which had an tos ton philosophon (‘Consul of the Philosophers’;
audience hall). Called the ‘Pandidakterion’ (‘place (→ 12.2. Literature F.3., F.4.) [64]. The department
of universal teaching’), some prefer to see it as a of law was housed in the Monastery Church of
‘school’ [609, note 38]. The institution had 31 profes- St. George founded by the emperor in the Man-
sors, who dressed in official clothing. They were gana quarter. Students here received free tuition
responsible for the teaching of Greek and Latin regardless of social status, and the school became
grammar, as well as rhetoric, philosophy and law. an elite training ground for imperial civil servants,
The main purpose of this establishment was to lawyers and notaries. The dominant figure at this
train future civil servants [57]. The high status ‘university’, however, was Michael Psellos, who –
of the professors is documented in a number of contrary to the spirit of the age – had strong Pla-
privileges granted to them, such as exemption tonic sympathies [3431]. Psellos was not lacking in
from taxes [4763 f.]. The University of Theodosius self-confidence as a university teacher. In a letter
also had a lively exchange of scholars and students to his opponent, Patriarch Michael Keroularios,
with other important educational centres, such as he declared, ‘My throne here is exalted and noble,
Alexandria, Antioch, Athens and Beirut [341–8]; and no less than yours’ [1826, l. 144 f.].
[4763 f.]. The writings of Psellos also afford direct insight
The fate of this institution after the reign of into everyday life at his institution, particularly
Justinian (527–565) is unclear, but it cannot have regarding the relationship between teachers and
survived long. Nor did the philosophical schools of students, who were clearly allowed to discuss and
Athens or Antioch. The famous Platonic Academy question [3432]. However, the ‘university’ founded
at Athens was a pagan institution, and as such met by Constantine Monomachos was also short-
its end under → Justinian (2.3.) himself [63], while lived, and its decline set in already under Michael
the Antioch school, which specialized in Aristote- Psellos’ successor as hypatos ton philosophon, John
lian philosophy, survived until the Arab conquest Italos. The conservative cultural climate fostered
in the first half of the 7th century. At Constanti- by the new emperor → Alexios I Komnenos (2.5.;
nople, the Museion at the Philadelphion and the 1081–1118) took offence at Italos’ Neoplatonist lean-
459 12.5. culture and education – imparting knowledge in byzantium

ings, and he was convicted of heresy and pagan- monastic rule of Basil of Caesarea, who also used
ism in 1082 [3433–35]; [2350–60]. The Church and the older and more experienced students as tutors
Patriarchate of Constantinople now began to take [53239 f.]. Finally, the teaching institution at the
the lead in higher education. Church of the Holy Apostles was just as renowned
Many sources from this period attest to other at the same period. Nicholas Mesarites gives a
(semi-private) institutions engaged in primary lively account of its intensive teaching opera-
and secondary education and basic legal train- tion (Ecphrasis of the Church of the Holy Apostles
ing. However, the schools at the Church of Christ 42,894–896) [8].
Chalkites, the Churches of the Theotokos Chalko-
prateia and Diakonissa, the Church of Hagios The- B.3. Late Byzantine period
odoros Sphorakios and the Church of the Forty The sack of Constantinople during the Fourth
Martyrs of Sebaste were founded in the 11th cen- Crusade (1204) led the imperial court and intel-
tury, but in the Justinianic period. All were housed lectual elites to flee to Nicaea, where a Byzantine
within churches or monasteries, a fact explained Greek empire in exile existed until the capital was
by the progressive dilapidation of ancient build- recaptured in 1261. Despite the presence there of
ings and the growing prosperity and social influ- many refugee scholars, infrastructural and eco-
ence of the Church after the 4th century. The only nomic factors, and the focus on the government’s
new foundations were the schools at the Chalke struggle for survival, meant that no public institu-
and the Nea Ekklesia, both within the Great Palace tions of higher education were established. Teach-
compound and endowed by John I Tzimiskes and ing shifted to the private sphere, where scholars
Basil I respectively [4936–42]; [37238–243]. worked as tutors [325–27]; [40].
One of the most important educational centres Even after the recapture of Constantinople in
of 12th-century Constantinople was another impe- 1261, and throughout the last two centuries of the
rial foundation: the school at the orphanotropheion empire’s existence, the state did not reassert con-
(‘orphanage’) of St. Paul [53]; [54]. This institution, trol over education, despite repeated attempts by
which was near the Acropolis, already existed in emperors to influence teaching institutions. The
Late Antiquity. Alexios I Komnenos restored it school of Theodore Hyrtakenos, for instance, in
and also founded a grammar school for orphans the first half of the 14th century, was under con-
and destitute children, which very probably only siderable court influence [5290–95]. So too was
admitted boys. It taught music, Christian doctrine the school at which the renowned scholar and
and grammar. Pupils were specially trained for translator Maximos Planudes taught in the late
oratorical contests – apparently in keen compe- 13th and early 14th centuries, before taking holy
tition with other educational institutions in the orders. Once a monk, he taught in the monaster-
capital [53227]. The teaching staff was influenced ies of Chora and Akataleptos, where he also lived,
by the patriarch, who appears to have been the but it is unclear whether the teaching institutions
highest authority over the school. there were public or private [3266–89]. At all events,
One indication of the influence of the emperor scholars often offered teaching in private schools
is that he and the patriarch recruited metropoli- and learned circles, wholly independent of state
tans from among the teaching staff [53233], such as intervention. The learned statesman Theodore
the renowned poet Constantine Stilbes (late 12th Metochites, for instance, gave seminars for inter-
cent.), who began his career at the orphanotro- ested friends around the turn of the 14th century
pheion school and was later named metropolitan [28111].
of Cyzicus. One of the best-known teachers at the On the eve of the fall of the Byzantine Empire
school in the 12th century, who may himself have in 1453, some Byzantines were already admiring
been taught at the orphanotropheion, was the poet and praising the profound education offered by
and rhetor Theodore Prodromos. One contempo- the universities of the West [3466]. Even in the 15th
rary source, Leo of Rhodes, reported the trials and century, however, Constantinople’s abundance of
tribulations of teaching at this school, comparing leading scholars still made it a stronghold of erudi-
his work to that of the enslaved Jews in Egypt. tion, albeit (if the word of George Scholarios, the
After teaching for two decades, he now felt too future Patriarch Gennadios II, is to be believed)
old and tired to continue dealing with the stu- one without institutionalized schools [26297–300].
dents, whom he rather disparagingly referred to Some teaching institutions seem to have remained
as brephyllia (‘babies’). Fortune, however, would in operation until the fall of the empire, e.g. the
also smile on this long-suffering teacher. Like Con- (mainly) medical school attached to the famous
stantine Stilbes, he was later made a metropolitan xenon (hospital) of the Kral, founded by the Ser-
[53235 f.]. bian Kral Stephan Uroš II Milutin at the Monastery
The burden of teaching at the orphanotrophe- of St. John Prodromos in the Petra quarter [61],
ion was not borne by teachers alone. Older pupils where the Humanist John Argyropoulos taught
also supported the teachers, working as tutors. natural philosophy and medicine from 1425 to 1438
This upheld a Byzantine custom rooted in the and from 1448 to 1453 (→ 13.2. Hospitals) [61].
12.5. culture and education – imparting knowledge in byzantium 460

The Italian Humanist Francesco Filelfo, who D. Private schools and private
was married to the daughter of the copyist John tutors
Chrysoloras, may have received higher educa-
tion in Byzantium (thanks to his father-in-law) D.1. The ‘anonymous schoolmaster’
[28107]; [21vol. 12, 101, 252]. He certainly learned Greek D.2. Other teachers and private schools
from a grammar by his father-in-law’s uncle, the
renowned scholar Manuel Chrysoloras [21vol. 12, 101]; D.1. The ‘anonymous schoolmaster’
[26301]. It is also assumed that the famous writer Teaching was offered not only by state and
and Humanist George Gemistos Plethon worked ecclesiastical institutions, but also privately. The
as a philosophy teacher before moving to → Mis- aforementioned ‘anonymous schoolmaster’ at
tra (8.13.) on the Peloponnese [3470 f.], although Constantinople, for instance, ran a private school.
it is not known whether he taught at a school or His 122 surviving letters give a very vivid picture
privately. There is also interesting evidence in a of the operation of a private school in the capi-
poetic lament written shortly after the Ottoman tal, where young people of all ages were taught.
conquest of Constantinople in 1453, which among Although nothing is known of the exact nature or
other things deplores the fate of rhetors and phi- location of the school, the letters provide informa-
losophers after the fall of the city [2174, v. 150; 177, tion about the weekly timetable of a reasonably
v. 242]; [3475]; [28106]. advanced pupil (letter 110). Such a student would
have reached the third conjugation of verbs that
C. The ‘Patriarchal School’ were not accented on the end. He would be tested
The educational institution accommodated in twice a week and would consolidate what he had
the Hagia Sophia complex and other churches learned by explaining it to others [28114]; [59 f.].
around the capital, which was operated by the Although the ‘anonymous schoolmaster’ seems
patriarchate (hence the misleading name ‘Patri- to have been the only teacher at his school who
archal Academy’ sometimes given to it), was also could teach the entire range of elementary mate-
set up by Alexios I Komnenos (1081–1118), although rial, he followed an ancient and Early Byzantine
the beginnings of this institution also probably lay tradition in having older, more advanced pupils
far back in the Early Byzantine past. The institu- teach the younger children, monitoring their prog-
tion comprised three teaching departments led ress himself only occasionally [28107]. He received
by didaskaloi (‘teachers’) for the exegesis of the a tuition fee for his work, frequently paid not by
Gospels, the Apostolic Letters and the Psalms the parents themselves but by another relative
respectively. The students were aspiring clerics or godfather. This sometimes caused quarrels,
and monks, but this was not a systematic theologi- and such quarrels sometimes ended up in court.
cal training – unlike the West, Byzantium never Neither was the relationship between the head of
had such a tradition. Besides the didaskaloi, there school and his advanced students invariably free
were also other teachers directly appointed by the of friction, but overall the climate seems to have
patriarch. been very good, particularly since the ‘anony-
A secular education was also offered at this mous schoolmaster’ – like other teachers in simi-
school to prepare one for engagement with theo- lar institutions – received many gifts as a kind of
logical texts. It was presumably in connection with additional salary [50790]. He mentions no sanc-
this that the office of maistor ton rhetoron (‘rheto- tions, but a later source (early 14th cent.) attests
ric teacher’) was established around the middle of that even corporal punishment could be applied
the 12th century [27]; [29]. One of the best-known if pupils failed to attend lessons [28115].
holders of this position, in the second half of the Many graduates of the school of the ‘anony-
12th century, was Eustathios, who later became mous schoolmaster’ attained high secular and
Bishop of Myra in Asia Minor and Thessalonica. ecclesiastical office, which in turn enhanced
Eustathios taught grammar, rhetoric and philoso- the prestige of the school and ensured its solid
phy, but also wrote numerous occasional and cer- material foundation. The anonymous bibliophile
emonial orations for the imperial court [27186–193]; teacher-scholar was therefore able to afford a sub-
[44115–140]. On his own testimony, his monumental stantial library, and what he did not own, being
commentaries (Parekbolai) on the Iliad and Odys- of good reputation, he was able to borrow, as was
sey were also written for teaching purposes (→ 12.2. generally the custom in Byzantium. He may also
Literature F.5.; → 12.4. Books and libraries, fig. 4) occasionally have sold books from his library,
[9vol. 1, 2, ll. 16–22; vol. 4, 516, l. 20 f.]. probably to increase his income [6029–35]; [54–13].
The school was unable to sustain its heyday Because books were costly, most tuition was ver-
into the Palaiologan period (1258–1453). Rees- bal [28114]. There is also a strikingly high propor-
tablished after the interlude of the Latin Empire tion of palimpsests (→ 12.4. Books and libraries
(1204–1261), it offered elementary education, but A.) in the manuscript record of elementary school
the task of training future clerics now mainly fell books. Making manuscripts was an expensive
to the monasteries [5230–33, 237]. business, so books for teaching grammar were
461 12.5. culture and education – imparting knowledge in byzantium

often produced by reusing old manuscripts [35212]. always lament, I curse teaching and say through
There was a particular shortage of books at Con- tears: to the Devil with erudition, my God, and
stantinople after the recapture of the city in 1261, whoever prizes it!’ [4119 f., vv. 56–85; 191 f.].
since many had been lost or even destroyed dur- As discussed above, every form of private
ing the decades of Latin rule. It is no coincidence tuition also thrived in the empire in exile at
that a conspicuously high number of books were Nicaea, when Byzantines fled the capital after its
borrowed and copied in the late 13th century, as capture by the Latins in 1204. Anyone who could
numerous sources attest [3346]. afford higher education and sought a career in the
new state would be taught here by private tutors.
D.2. Other teachers and private Educating the next generation of young people
schools versed in erudition and rhetoric was very impor-
There was an abundance of private schools at tant to the Laskarides, the dynasty that ruled at
Constantinople, and competitive pressure alone Nicaea, and they sometimes interceded personally
meant that many probably enjoyed a high reputa- to connect talented students with a good teacher.
tion. There was probably a fierce contest to secure One student promoted in this way was George
the best pupils, even though changing to another Akropolites, whose training in rhetoric, philoso-
teacher was seen as a grave insult [28111]. Schol- phy and mathematics John III Vatatzes (1222–
ars who had assembled a large cohort of students 1254) arranged personally. Thanks to his talent and
sometimes also conducted disputes in public. excellent education, Akropolites quickly forged
There was an especially legendary rivalry between a career at court, and he soon acquired his own
Theodore Metochites and Nikephoros Choumnos teaching responsibilities. One of his best-known
in the early 14th century; these two scholars also pupils was the future patriarch Gregory of Cyprus
conducted their polemic by proxy through their (1283–1289), himself later a celebrated teacher.
circles of students [3352]. After the return to Constantinople, Akropolites
Members of the imperial house enjoyed a par- even rose to become the most important advisor
ticular form of private tuition. Special tutors were to Michael VIII Palaiologos (1259–1282) [3342–44].
appointed for them, and they also took writing The body of work he left (history, letters, ora-
commissions at court. One particular challenge tions) bears eloquent witness to his versatility as
was providing tuition for princes and princesses a scholar.
who had come to Constantinople by marriage. For Education was close to the heart of Theodore
example, the sebastokratorissa Irene, sister-in-law Laskaris, the future emperor Theodore II (1254–
of Manuel I Komnenos (1143–1180) and (probably) 1258), himself very highly educated. His founda-
a Norman, first had to be introduced to Byzantine tions included not only a school at the monastery
culture. Several scholars were engaged to teach of St. Tryphon, where rhetoric and (as an intro-
her the Greek language, history and culture. A duction) poetry were taught, but also libraries at
Greek grammar was written especially for her, she several places across the empire. These libraries
was introduced to Greek mythology, and a chroni- in turn spawned intellectual circles from which
cle dedicated to her by Constantine Manasses (see senior state officials could be recruited [3344].
below, H.; [12]), leading from the creation of the
world to the end of the 11th century, was designed E. Stages of education
to acquaint her with the Byzantine and Greek Before progressing to the higher stages of
past [41]. education, whether at a state, church or private
Another work dating from the mid-12th century institution, children had to complete elementary
is a comically exaggerated pamphlet (nonethe- schooling. This was not compulsory or regulated
less probably centred on a grain of truth) against by the state, but rather depended on the initiative
education and the often pitiless professional life of the parents. Conditions varied: children of dif-
of a private tutor. In a poem (no. 3) addressed ferent ages might be taught by a teacher individu-
to Manuel I, the anonymous Ptochoprodromos ally or in a group, and the sources give the ages at
(→ 12.2. Literature F.8.), the author alternates which schooling began at between five and nine
between cursing and imploring as he tells the [24169 f.]. Particularly gifted children began earlier:
reader of himself and his career progressing from Michael Psellos (→ 12.2. Literature F.4.), in the
pupil to teacher: ‘From my earliest childhood, my 11th century, went to a tutor at the age of five and
good, old father honed me: my child, learn eru- was already able to move on to higher education
dition and you will reap happiness, honour and at eight. On his own testimony, which is perhaps
renown … hearing these words, My Lord, of my old to be taken with a grain of salt, he already knew
father … I took considerable pains to give myself the entire Iliad by the time he was nine [1997, l. 361];
erudition. Later I indeed became a master of edu- [28110, note 1], although a source of the early 12th cen-
cation [Greek grammatikos technites], but I would tury reports that the best pupils could learn fifty
also have liked a piece of bread or even just a few lines of the Iliad per day and the less gifted were
crumbs, and because I must hunger so much and still capable of learning thirty [28114].
12.5. culture and education – imparting knowledge in byzantium 462

The teacher, who could be a learned layman, a a basic schooling even in the remotest periph-
priest or a monk, taught children to read and write ery [36664 f.]. However, anyone who could afford
and introduced them to ‘simple’ (peza grammata) it would send their children to Constantinople,
and ‘holy texts’ (hiera grammata) [3073]. The text- because attending a school in the capital was a
books were the same used in the classical world: precondition for a career at court or in the Church
the Grammar of Dionysius Thrax (2nd cent. bc) [6030, note 9].
was the most important tool of study through- Individual elementary schooling was followed
out the Byzantine era, and the most important by higher education, known as enkyklios paideia.
textbook for reading practice was Homer’s Iliad, The term, which describes a rounded education
particularly the first two books [28112]. Selected that ‘closes like a circle’, already occurred in Antiq-
tragedies of Aeschylus, Sophocles and Euripides uity, eloquently expressing the pedagogical ideal
were used, as were the comedies of Aristophanes of a higher general education that was regarded as
and texts chosen from Hesiod, Pindar, Lucian, essential for adult life [55]. The enkyklios paideia
Demosthenes and the Platonic dialogues [51191]. was the basis and condition for further, special-
Some Christian texts, such as the Psalms of David ized studies. Byzantine sources describe anyone
and the poems of Gregory of Nazianzus (4th lacking it as akyklios, which was synonymous with
cent.), were used as textbooks. The popularity of apaideutos (‘uneducated’) [5910]. The enkyklios pai-
Gregory in particular as a school author is docu- deia underwent changes and additions until Late
mented in the numerous commentaries, scholia Antiquity, such as the inclusion of rhetoric and
and lexica on his works that were produced for philosophy in the syllabus.
the classroom [1057–88]. Poems by the 7th-century The term enkyklios paideia was still fully
court poet George of Pisidia also later came into applicable in the 12th century. The scholar John
use in schools [28112]. Tzetzes, in his Histories (or Chiliades), a metrical
Apart from training children to read and write, commentary on his own letters written around
elementary schooling also aimed to teach some- the middle of the century, calls the ‘lessons clos-
thing of the formation of syllables, words and ing to form a circle’ (enkyklia mathemata) ‘the
sentences and the rudiments of arithmetic [24169]. perfection of all sciences, comprising grammar,
It generally lasted two or three years, sometimes rhetoric, philosophy itself, and the four subor-
rather longer. Leontios Presbyteros’ vita of Greg- dinate arts of arithmetic, music, geometry and
ory of Agrigentum (ca. 800), for instance, reports astronomy bestriding the skies’ [20441, vv. 513–528];
that Gregory’s parents brought him to the city at [5911]. This passage reveals the subjects on the syl-
the age of eight, where his godfather, the bishop, labus at this stage of education. A fundamental
engaged a pious man as his tutor, and he studied distinction was made, according to a terminol-
with him for four years. The close relationship ogy dating back to Boëthius (5th/6th cents.) but
with the bishop meant that Gregory was able still valid in Byzantium, between the subjects of
to continue his education, and at twelve he was the trivium (grammar, rhetoric and philosophy)
entrusted to other teachers and ordained a lector and those of the quadrivium (arithmetic, geom-
of the Church [24172]. etry, music and astronomy). George Pachymeres,
Occasionally, children were directly schooled for instance, around 1300, wrote a comprehensive
by an educated parent or parents, in which case treatise on the quadrivium entitled Syntagma ton
the programme might be spread over several years tessaron mathematon (‘Compositions on the four
because other commitments prevented parents sciences’) [14]. The notable feature of this treatise
from being available daily. The sources suggest is that it treats → music (14.) as a branch of applied
that fathers taught boys and mothers girls [24180]. mathematics. A shift was thus accomplished in
Although girls received schooling, female higher Byzantine musical education, which had tradition-
education was the exclusive preserve of girls of ally seen music merely as an aspect of poetry and
the imperial house and the aristocracy, such as metrics [39vol. 2, 188 f.].
the famous princess Anna Komnene (1083–ca.
1153/54), whose high level of education is well F. The progymnasmata
known. The daughter of Michael Psellos is known Schoolchildren intending to follow up the
to have begun her basic schooling at seven, but it introductory grammatical training and reading of
was confined to reading the psalms [28110, note 1]. the ancient classics with the study of rhetoric in
Unsurprisingly, peasant children usually Late Antiquity, the Byzantine period and beyond,
received no education, because their parents were had to begin by completing the progymnasmata
neither educated themselves nor wealthy enough, (‘preliminary exercises’) that prepared them
and the children were also needed for labour. for the gymnasmata, the public presentation of
There were, however, elementary teaching institu- entire (practise) orations. The purpose of this
tions in the provinces as well as the urban centres training was to produce orators and speechwrit-
[24177]. Even in the Late Byzantine period, when ers capable of producing speeches drawing on
the territory of the Byzantine Empire was already all rhetorical registers in the service of imperial
greatly reduced, it was possible to receive at least propaganda.
463 12.5. culture and education – imparting knowledge in byzantium

Teaching in Late Antiquity was based on the a word. Well-known epimerismoi (on the psalms)
Progymnasmata of Aphthonius (4th/5th cents.), were produced by the school of George Choirobos-
and in the 6th century this began to be used as a kos (8th/9th cents.). It is striking here that around
propaedeutic introduction along with the corpus half of the epimerismoi relate to the first two
of Hermogenes (2nd/3rd cents.), whom the Byzan- psalms, and that material on the later psalms thins
tines saw as an authority. Even in the late 13th cen- out steadily [39vol. 2, 22 f.]. Choiroboskos’ epimerismoi
tury, the scholar Maximos Planudes produced an certainly enjoyed great popularity and were still
important commentary on the corpus of Hermo- in use in the 10th century [47252]. Yet Epimerismoi
genes [3347]. Major Byzantine commentaries attest were not written only on classical texts or psalms,
to the popularity of Aphthonius in this period. but also on contemporary works. In the early 14th
Several Byzantine scholar-teachers are known century, for instance, George Lakapenos wrote
as authors of detailed progymnasmata, including epimerismoi on the many letters from his own cor-
John the Geometer, Nikephoros Basilakes (12th respondence [39vol. 2, 23].
cent.), Nikephoros Chrysoberges (12th/13th cents.), A new method evolved out of the epimerismoi
Gregory of Cyprus (13th cent.), George Pachymeres in the Middle Byzantine period: schedographia.
and Nikephoros Kallistou Xanthopoulos (13th/14th First attested around 1000 or in the first half of the
cents.). The progymnasmata were arranged in 11th century, this teaching tool involved compos-
ascending degree of difficulty and by parts of a ing a didactic piece (schedos, pl. schede) of limited
complete speech. Fourteen exercise types were length, as a school exercise in prose or verse and
defined: fable (mythos); narrative (diegema); anec- intended for teaching grammar, orthography and
dote (chreia, literally ‘use’: anecdotal story relating syntax. Schedographia is first mentioned as a class-
to a specific historical personage); maxim (gnome); room method in relation to the young Michael
refutation (anaskeue); affirmation (kataskeue); Psellos [17vol. 2, 20, l. 7 f.], who later also wrote schede
commonplace (koinos topos); encomium (enko- in his function as teacher. Schede could be short
mion); invective (psogos); comparison (synkri- orations written for the purpose, brief (often mor-
sis); personification (ethopoeia; fictional oration alizing) essays, passages from profane ancient and
wearing the mask of another person); description Byzantine authors and the Bible, prayers, hymns
(ekphrasis); argument (thesis: discussion of a gen- and much else. Texts were also composed with
eral philosophical issue), and argument in favour deliberately itacized malformations (e.g. oi for i, ē
of or against a law (nomou eisphora). for i etc.) and incorrect combinations of syllables.
Detailed instructions were given on how to Pupils had to correct the writing and word sepa-
design these exercises. Pupils had to work out a ration of these word-puzzles [46590 f.]; [39vol. 2, 25–29];
subject in writing. For the ethopoeia exercise, for [62].
example, Aphthonius suggests the question, ‘What Although schedographia was already very pop-
might Niobe have said on seeing her murdered ular in the 11th century, and especially in the 12th,
children?’ Some of the progymnasmata later estab- there was no lack of critical voices. Anna Kom-
lished themselves as genres (e.g. enkomion and nene, in her Alexiad written before the middle of
ekphrasis), while others became components of the 12th century, derided the method as ‘a modern
other genres, such as historiography [39vol. 1, 92–120]; invention of our generation’ and insisted that she
[45]. Ethopoeia was still being pursued in the last herself had turned away from ‘the perverse exag-
centuries of the empire: the learned → Manuel II gerations of schedography’ since she had devoted
Palaiologos (2.6.; 1391–1425) responded to the good herself to rhetoric and philosophy. Anna also
(for Byzantium) news of the Mongol defeat of the lamented the decline of general higher education
Ottomans threatening the city (1402) by writing and regretted that young people preferred dice
an imaginary address by the khan to the defeated games and other such immoral pastimes to the
Ottoman sultan [3352]. study of the classics [6vol. 1, 485, ll. 18–34].
Anna’s harsh words reflect her bitterness at
G. A new method: schedographia her own fate, and what she considered to be the
prevailing intellectual decadence of the reign of
G.1. From the epimerismoi to the schedographia Manuel I Komnenos (1143–1180), rather than the
G.2. The zenith of schedography general opinion [22]. On the contrary, evidence
from the 11th and 12th centuries clearly shows that
G.1. From the epimerismoi to the most people regarded schedographia as a firm
schedographia fixture of the education process [39vol. 2, 25]. How-
Teaching also included intensive word analysis ever, the passage from the Alexiad is also inter-
to familiarize pupils with language and writing. A esting for another reason: Anna mentions some
tool that had been widely used in this field since textbooks by name, including that of Longibardos
Late Antiquity was the epimerismos (‘division [of (ca. 1000), whose comprehensive treatise on gram-
a word]’), which determined the part of speech, mar, syntax and orthography in fact also survives
meaning, etymology, orthography and prosody of [39vol. 2, 26 f.].
12.5. culture and education – imparting knowledge in byzantium 464

Christopher of Mitylene (11th cent.) drips with therefore, that Niketas Eugenianos’ monody to
sarcasm in telling of an author of schede, who like Prodromos emphasized his accomplishment in
a second Midas (the epitome of greed) sold his the artistic design of schede in particular [53228];
schede and made the school ton Chalkoprateion [22]. The aforementioned criticism of schede may
(in the ‘bronze sellers’ district) at Constantinople thus also be understood as personal reactions to
into a schedoprateion (‘schede market’) [712, vv. the great success of Prodromos in this genre [22].
12–14]. Nikephoros Basilakes, Eustathios, later arch- The schedographia method was so popular that
bishop of Thessalonica, and John Tzetzes are all contests were even fought using it between teach-
also recorded criticizing schede [629 f.]; [22]. This ers and rival schools. Pupils faced each other in
criticism probably arose from the conflict between these battles, having been prepared for them by
the ‘old’ schedographia, which was still close to their schools [39vol. 2, 27]; [5417 f.]; [36679]; [22]. Two
the technique of the epimerismoi, and the ‘new’ or 12th-century texts – one in prose, the other in
‘second’ schedographia, in which – to the baffle- verse – survive that were written by a teacher at
ment of some – puzzle texts were composed for the school of the orphanotropheion for a pupils’
children to correct [43]. Nevertheless, this ‘new’ context. From these, we learn that the victor in a
form became so established that even Constan- schede competition held there would receive the
tine IX Monomachos (1042–1055) did not consider crown of the school’s patron saint, Paul [53232].
it beneath his dignity to write schede in his own Such contests were sometimes also held in the
hand – albeit, as befitting an emperor, in red ink presence of the head of state. Manuel I Komne-
[39vol. 2, 25]. nos is attested as attending one in the 12th century
[5419 f.].
G.2. The zenith of schedography The schedos went out of fashion after the 12th
The zenith of schedographia came in the 12th century. Manuel Moschopoulos did write a tract
century, when well-known authors also working Peri schedon (‘On the schede’) as late as the first
as teachers are recorded as authors of schede. decade of the 14th century, drawing on standard-
First among them was Theodore Prodromos, who ized material from Homer and the Bible for gram-
worked as a teacher, probably at the orphanotro- matical analysis. The beginning of this work is of
pheion (see above, B.2.), among other places. His interest: Christ, the Virgin Mary and John Chryso-
best-known works for classroom use included the stom are called upon as spokespersons anticipat-
schede tou myos (‘schede of the mouse’), which ing the success of the schedos and the novice in
enrich teaching materials with elements of satire. schedographia. Their invocation is then immedi-
The text, which is highly absurd in places, prac- ately incorporated into the exercise, which dis-
tises vocabulary for meals, animals and body parts, sects it word by word and analyses its grammar. A
imparts synonyms and gives names from mythol- page is devoted, for instance, to discussing words
ogy for memorization. In the second part, Prodro- that – like the first word in the invocation (Kyrie;
mos uses the fiction for a comprehensive satire on ‘Lord’) – begin with ky- and must be distinguished
the monastic class. Fittingly for the utilitarian pur- from those beginning with (the homophonic) koi-
pose of the schedos, numerous quotations from the [133–48]; [39vol. 2, 24].
psalms and other books of the Old Testament are Another Late Byzantine work was the anony-
woven into the text. The humorous use of Hosea mous piece named Lexikon schedographikon
6,6, dióti éleos thélō kaì ou thysían (‘for I desired (‘Schedographic Lexicon’) by a modern editor. It
the knowledge of God more than burnt offerings’), is unusual in being very long and in verse (907
is particularly successful: alluding to the mouse’s Byzantine pentadecasyllables). It gives detailed
proverbial gourmandizing, the cat turns this to tò descriptions of the letters, the antistoichiai and the
élaion thélō kaì ou thysían (‘for I desired oil more composition of words [36666–693].
than burnt offerings’) – the point being that by
this date, élaion was pronounced éleon and was H. The Byzantine didactic poem
thus almost a homophone of éleos in the biblical Another genre besides the schede that served
quotation [15]; [16]. teaching and the transmission of knowledge was
This use of homophonic vowels and diph- flourishing in the 11th and 12th centuries: the
thongs, where the orthography sometimes caused didactic poem. These were metrical texts impart-
the Byzantines problems, is called antistoichia [58]. ing information on a wide range of disciplines to
Prodromos’ didactic piece was doubtless designed advanced students. The genre was not confined to
for advanced students who could understand its Byzantium, but also existed in the Latin world, in
allusions and satirical undertones, which made it both Antiquity and the Middle Ages. Many didac-
more than just a successful school text. His skill tic poems of the 11th century and later are written
as a writer also enabled Prodromos to elevate the in pentadecasyllabic verse – another indication
schede to a literary genre in its own right, capa- that, contrary to the former view, this metre was
ble of addressing a wider public and suitable for not only an expression of the ‘political’ (in the
use as a scholarly gift [6213]. It is no coincidence, sense ‘of the polis’, i.e. demotic) register. Four
465 12.5. culture and education – imparting knowledge in byzantium

names in particular are associated with the genre: ents, only a wealthy elite could afford it by the late
the aforementioned Michael Psellos and John period.
Tzetzes, as well as Philip Monotropos, author of Despite the strict theological and religious
a long theological poem entitled Dioptra (‘Mirror’; focus of the Byzantine Empire, there was never
late 11th cent.), and Niketas of Herakleia (11th any such thing as state-sponsored specialist theo-
cent.). The long title of one piece by Psellos reveals logical training, nor did any curriculum of study
the intention of the text: it was written for the exist that was especially designed for the clergy.
young Michael Doukas at the request of his father, Laymen and clerics received essentially the same
who wished his son to be introduced to the sci- education, and specialist theological knowledge
ences in a simple and enjoyable way [3858]. had to be acquired privately on one’s individual
Niketas of Herakleia, teacher at the ‘Patriar- initiative and through reading. As for teaching
chal Academy’ in Hagia Sophia at Constantinople methods, Byzantium continued to follow the
(see above, C.) and later metropolitan of Thracian conventions of Antiquity and Late Antiquity. The
Herakleia, then brought the genre to full frui- schedographia (see above,  G.), in contrast, was an
tion by formulating grammatical explanations authentically Byzantine method, and over time it
in verse. He wrote, for instance, a poem of 100 evolved from a pure school exercise into an inde-
dodecasyllables [1vol. 3, 323–327] treating the nouns pendent literary genre.
ending -ny, then an even longer poem (1,087 pen- Plans: Plans 1–2
tadecasyllables) chiefly dealing with the syntax of
the four parts of speech (nouns, verbs, preposi- Bibliography
tions, adverbs) [1vol. 2, 340–393]. In the case of the first
poem at least, it is quite conceivable that pupils Sources
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13. Medicine
13.1. The medical profession chiefly in urban areas) – offered in special insti-
13.2. Hospitals tutions (→ 13.2. Hospitals), augmented to dif-
13.3. Medical writings fering degrees by active medical treatment
13.4. Xenonika biblia (→ 13.7. Therapies).
13.5. Common illnesses Doctors (almost exclusively men – women
13.6. Epidemics were limited to the obstetric and gynaecological
13.7. Therapies sector [35]) were increasingly integrated into the
system by secular and especially by ecclesiastical
13.1. The medical profession patrons. The initial antipathy, exaggerated in hagi-
ography, between traditional academic medicine
A. History, image and alternative anargyroi – that is, holy men offer-
B. Social status ing help free of charge, very often after their own
C. Training deaths in the ancient tradition of ‘incubation’ or
‘temple sleep’ (e.g. Sts. Cosmas and Damian, Sts.
A. History, image Cyrus and John converting the sceptical physician
As elsewhere, the profession of physician Gesios at Sophronius, SS Cyri et Ioannis miracula,
(Greek iatros, literary asklepiadai/‘disciple of mir. 30, 6th/7th cents. [9]; Miracula Artemii, mir.
Asclepius’; Latin medicus) enjoyed social prestige 25: physicians mocked as butchers [6]; [27]; [38];
in Byzantium, but was also subject to prejudices, [41]; [18]) – gave way to coexistence after the Early
particularly relating to avarice (e.g. from central Byzantine period. Independent physicians who
and southern Greece, the Vita of Loukas Steiriotes, visited moneyed patients at home (John Zacha-
10th cent., cap. 74 and 97 [4]; Kekaumenos, Strate- rias, Peri ouron 163; 182, 13th/14th cents. [3]; sati-
gikon 224–226, ca. 1070 [12]; admonitory: Michael rized in Ptochoprodromos, 4,563–569; 4,581–585,
Choniates, epistle 131,2, 12th/13th cents. [8]) and 12th cent. [5]) continued to ply their trade (and
lack of efficacy (cf. the satire Executioner or Doctor were generally the first port of call; cf. e.g. Mirac-
by Theodore Prodromos, first half of the 11th cent. ula Artemii 21; 23 [6]). Alternatively, or as a last
[15], about a dentist who goes to work armed with resort, the afflicted might undertake a pilgrimage,
a tool of gigantic size). The rise of Christianity also for example, to the Monastery of the Zoodochos
initially encouraged scepticism, arising on the one Pege in Constantinople [24].
hand from Christianity’s exclusive claim to ‘save’
(and heal: the typical Christus medicus concept) B. Social status
rooted in the firm belief in God (physical suffering Oribasius, personal physician to Emperor Julian
was also sometimes regarded as a test imposed by (360–363) and the author of many → medical writ-
God) [25]; [42], and on the other from the medical ings (13.3.) exemplifies the rarefied social status of
profession’s close ties to a society that was steeped the heirs to Hippocrates and Galen, which for the
in paganism, and from its close ties to the wealthy time being persisted. It was no coincidence that
elite [20]. emissaries sent to foreign rulers in the 6th century
Specialized medical knowledge remained were often doctors ([21]; cf. Evagrios Scholastikos,
largely inaccessible to ordinary people for reasons Ecclesiastical History 5,12). However, doctors’ help-
of education, geography (concentration of the lessness [22] in the face of the epidemic waves of
profession in major cities) and, above all, lack of plague between 541/42 and 750 (→ 13.6. Epidemics)
money (Vita of St. Diomedes of Tarsus [1551]; [16170]). [43]; [37] did lasting damage to their image.
Quackery (cf. Basil, 4th cent., Homily on Psalm 45, The tide did not begin to turn back in their
cap. 2), magic [36]; [48], home remedies and the favour until the 10th century (Theophanes Non-
belief in miracles took its place in case of illness. nos/Chrysobalantes), as physicians again rose to
Like the medieval West, Christian Byzantium prominent positions at the imperial court [33]
failed to achieve significant improvement, par- and learned laymen like Michael Psellos (→ 12.2.
ticularly in regard to rural areas. In many cases, Literature F.4.) began writing on medical topics
saints promising or even bringing about physical [29]; [50], which were now respected as an aspect
cures (e.g. [44]; [19]) simply replaced pagan cults. of erudition – indeed, the human body was a
The old concept of philanthropy, however, was mirror of the key subject of study, the macrocos-
now translated into practice, as concern for one’s mos. Even members of the ruling dynasty (Anna
brother in need (Mt 25:35 ff.) was now extended Komnene, Alexiad 15,11 [7] and Manuel I, cf. John
to include merciful care of the sick, increasingly – Kinnamos, Epitome 190 [13]) had some medical
where possible in terms of infrastructure (i.e. knowledge and flaunted it. The wise physician
13.1. the medical profession 468

was now contrasted with the executioner (George There is evidence of medical interest among
Tornikes, Epistle 24, 12th cent.) rather than being the elites even in the late period: John Zacharias
likened to him (Anth. Pal. 11,280: ‘better before (whose byname, Aktuarios, was the senior rank
the stool of Hegemon, who condemns robbers to in the medical hierarchy) in the 14th century had
death, than in the hands of Gennadios, who calls the politician Alexios Apokaukos as his patron
himself a surgeon’). [28]. On the whole, however, the elite now had
less to invest, so that the Byzantine medical sec-
C. Training tor shrank with the empire itself – quantitatively
The Monastery of Christ Pantokrator, founded if not necessarily qualitatively. The famous Dioscu-
around 1136 as a model of imperial piety and char- rides Codex (early 6th cent.) on plants and their
ity (and including a hospital, walk-in clinic and old pharmacological uses (now Codex Med. gr. 1 in the
people’s home) at Constantinople [10]; [49134–194], Austrian National Library), which in 1405/06 was
also had a teacher responsible for training aspiring in the possession of the xenon of the Kral in Con-
doctors (typikon/statute, l. 946 f., 1311–1323 [10]). stantinople (→ 13.2. Hospitals), was by that time so
This continued the classical tradition, in which worn, presumably by constant consultation, that it
medical training combined learning by experience had to be rebound (entry by John Chortasmenos
at the bedside (cf. SS Cyri et Ioannis miracula, mir. on fol. 1 r of the manuscript).
33; 60 [9]) with study and comparative commen- The xenon of the Kral, founded from abroad
tary on relevant texts [51]. The most famous ‘col- by the Serbian king (kral) Stefan Uroš II Milutin
lege’ of this kind survived into the Arab period at (1282–1321), housed a medical training centre until
Alexandria in Egypt (Gregory of Nyssa [2vol. 46, 901D]; only a few years before the fall of the empire in
[23]). Its students included Oribasius and Aëtius 1453 [39], and John Argyropoulos ([17I, #1267]; fig.
of Amida (both listed with their works in the Bib- in Cod. Barocc. 87, fol. 33 r: [3186,302]) was its lead-
liotheke of Photios, 9th cent.; → 13.3. Medical writ- ing professor (he would later teach philosophy at
ings), and among its teachers was Paul of Aegina Rome and Florence). A transcript of one of his
(H1 7th cent), author of a medical manual. lectures even survives [45]. His pupils were also
Medicine was not one of the subjects of the engaged in the scriptorium of the Monastery of St.
trivium or quadrivium. Whether it was for this John the Baptist ‘in the Rock’ (Hagios Ioannis Pro-
reason that the subject was not addressed at any dromos en te Petra), where the xenon was housed
institution of higher education (→ 12.5. Culture and [34218–221], copying old technical texts on medicine
education), such as the school of Bardas (ca. 850) [39]. While physicians like Gregory Chioniades
or the ‘university’ of Constantine IX Monomachos [17#30814] and George Chrysokokkes [17#31142] were
(1042–1055), which focused on law and philoso- elsewhere resuming study of Islamic Persian texts
phy, cannot be known. It is noteworthy, however, [46], connections were being forged here with
that Late Antique legislation already counted western medical reception.
medics among the professores litterarum (Cod.
Theod. 13,3,1), and teaching these artes brought Bibliography
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of a didaskalos ton iatron (‘teacher of doctors’). In Προλεγόμενα – μετάφραση – κριτική έκδοση του
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final examination was carried out by a proexar- bylis, 2001 [8] M. Choniates, Epistulae, edited by
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P. Gautier, 1972 [12] Kekaumenos, Sovety i rass-
(George Lakapenos, epistle 10 [14]). kazy Kekavmena. Cecaumeni consilia et narrationes,
The → Xenonika biblia (13.4.) attest to the edited by G. G. Litavrin, 1972 [13] J. Kinnamos,
existence of reference works in hospitals, while Epitome rerum ab Ioanne et Alexio Comnenis gesta-
amplificatory additions to such utilitarian litera- rum (CSHB 26), edited by A. Meineke, 1836 [14]
ture [32] may rather indicate further study of the G. Lakapenos / A. Zarides, Epistulae XXXII
theoretical foundations [47]. cum ephemerismis Lacapeni, edited by S. Lindstam,
469 13.2. hospitals

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Teodoro Prodromo II, in: Aevum 21, 1947, 3–25 [16] serrat, Pilgrimage to the Shrine of SS Cyrus and
L. G. Westerink, Trois textes inédits sur saint John at Menouthis in Late Antiquity, in: D. Frank-
Diomède de Nicée, in: AnBoll 84, 1966, 161–228. furter, Pilgrimage and Holy Space in Late Antique
Egypt, 1998, 257–279 [42] C. Schulze, Medizin
Secondary literature und Christentum in Spätantike und frühem Mittel-
[17] PLP [18] A. Alwis, Men in Pain. Masculin- alter. Christliche Ärzte und ihr Wirken, 2005 [43]
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BMGS 36/1, 2012, 1–19 [19] C. Bakirtzis, Pilgrim- the Late Roman and Early Byzantine Empire. A Sys-
age to Thessalonike. The Tomb of St. Demetrios, in: tematic Survey of Subsistence Crises and Epidemics,
DOP 56, 2002, 175–192 [20] B. Baldwin, Beyond 2004 [44] A. M. Talbot, Pilgrimage to Healing
the House Call. Doctors in Early Byzantine History Shrines. The Evidence of Miracle Accounts, in: DOP
and Politics, in: J. Scarborough (ed.), Symposium 56, 2002, 153–173 [45] A. Touwaide, The ‘Letter …
on Byzantine Medicine (DOP 38), 1984, 15–19 [21] to a Cypriot Physician’ Attributed to Johannes Argyro-
R. C. Blockley, Doctors as Diplomats in the Sixth poulos (ca. 1448–1453), in: Medicina nei secoli 11, 1999,
Century A.D., in: Florilegium 2, 1980, 89–100 [22] 585–601 [46] A. Touwaide, Arabic Medicine in
M.-H. Congourdeau, La société byzantine face aux Greek Translation. A Preliminary Report, in: Journal
grandes pandémies, in: É. Patlagean (ed.), Maladie of the International Society for the History of Islamic
et société à Byzance, 1993, 21–41 [23] J. Duffy, Medicine 1, 2002, 45–53 [47] A. Touwaide, Byzan-
Byzantine Medicine in the Sixth and Seventh Cen- tine Hospital Manuals (Iatrosophia) as a Source for the
turies. Aspects of Teaching and Practice, in: J. Scar- Study of Therapeutics, in: B. Powers, The Medieval
borough (ed.), Symposium on Byzantine Medicine Hospital and Medical Practice, 2007, 147–175 [48]
(DOP 38), 1984, 21–27 [24] S. Efthymiadis, Le G. Vikan, Medicine and Magic in Early Byzantium,
monastère de la Source à Constantinople et ses deux in: J. Scarborough (ed.), Symposium on Byzan-
recueils de miracles, in: REB 64/65, 2006–2007, 283– tine Medicine (DOP 38), 1984, 65–86 [49] R. Volk,
309 [25] G. B. Ferngren, Medicine and Health Gesundheitswesen und Wohltätigkeit im Spiegel der
Care in Early Christianity, 2009 [26] V. Grumel, La byzantinischen Klostertypika (MBM 28), 1983 [50]
profession médicale à Byzance à l’époque des Com- R. Volk, Der medizinische Inhalt der Schriften des
nènes, in: REB 7, 1949, 42–46 [27] K. Heinemann, Michael Psellos (MBM 32), 1990 [51] W. Wolska-
Die Ärzteheiligen Kosmas und Damian. Ihre Wun- Conus, Les commentaires de Stéphanos d’Athènes
derheilungen im Lichte alter und neuer Medizin, in: au Prognosticon et aux Aphorismes d’Hippocrate. De
Medizinhistorisches Journal 9, 1974, 255–317 [28] A. Galien à la pratique scolaire alexandrine, in: REB 50,
Hohlweg, Johannes Aktuarios. Leben, Bildung und 1992, 5–86.
Ausbildung. De methodo medendi, in: BZ 76, 1983,
302–321 [29] A. Hohlweg, Medizinischer ‘Enzyk- Ewald Kislinger
lopädismus’ und das Ponema iatrikon des Michael
Psellos, in: BZ 81, 1988, 39–49 [30] A. Hohlweg, 13.2. Hospitals
La formazione culturale e professionale del medico a
Bisanzio, in: Koinoia 13, 1989, 165–188 [31] I. Hut- A. Origins and terminology
ter, Corpus der byzantinischen Miniaturenhand-
B. Standards and ideals
schriften, vol. 2: Oxford, Bodleian Library, part 2,
1978 [32] A. M. Ieraci Bio, Testi medici di uso
strumentale, in: JÖB 32/3, 1982, 33–43 [33] A. Kazh- A. Origins and terminology
dan, The Image of the Medical Doctor in Byzantine The rapid 4th-century rise of Christianity
Literature of the Tenth to Twelfth Centuries, in: J. from persecution to toleration and finally domi-
Scarborough (ed.), Symposium on Byzantine Med- nance as the religion of the Roman Empire gave
icine (DOP 38), 1984, 43–51 [34] V. Kidonopou- Christians the opportunity and the moral obli-
los, Bauten in Konstantinopel, 1204–1328, 1994 [35] gation to implement their principle of char-
E. Kislinger, Η γυναικολογία στην καθημερινή ζωή ity, particularly towards one’s brother in need
του Βυζαντίου, in: C. G. Angelide, Η καθημερινή ζωή (Mt 25:35 f., 40), on a broad basis in their own
στο Βυζάντιο, 1989, 135–145 [36] K.-H. Leven,
Magie, in: K.-H. Leven, Antike Medizin. Ein Lexikon,
facilities. There were no direct predecessors in the
2005, 581–583 [37] L. K. Little, Plague and the End field of caring for and treating the sick; the only
of Antiquity. The Pandemic of 541–750, 2007 [38] purpose of Roman valetudinaria, which received
H. J. Magoulias, The Lives of the Saints as Sources slaves (Columella, De re rustica 11,1,18; 13,3,7) and
of Data for the History of Byzantine Medicine in the (particularly along the limes) wounded soldiers,
Sixth and Seventh Centuries, in: BZ 57, 1964, 127– was to restore them to health (without medi-
150 [39] B. Mondrain, Nicolas Myrepse et une cal intervention) so that they could resume their
collection de manuscrits médicaux dans la première duties [19103–124]. These facilities were also open
moitié du XIVe siècle. A propos d’une miniature célè- only to a specific group, not the entire population.
bre du Parisinus gr. 2243, in: A Garzya / J. Jouanna
The only precedents of any kind for the ecclesiasti-
(eds.), I testi medici greci. Tradizione e ecdotica, 1999,
403–418 [40] B. Mondrain, Jean Argyropoulos cal initiative were the practice of incubation (tem-
professeur à Constantinople et ses auditeurs méde- ple sleep) in or beside pagan temples [8181 f.], (paid)
cins, d’Andronic Éparque à Démetrios Angelos, in: admission to private medical practices (Latin tab-
C. Scholz / G. Makris, Polypleuros nous. Fest- ernae medicae, Greek iatreia) [1538–43] and the Jew-
13.2. hospitals 470

ish tradition of charity towards widows, orphans Komnenos, complete with elderly home, clinic
and the sick (Sir 4:1; 4:10; 7:32 [6]). and xenon with over fifty beds in five depart-
In view of the wide range of Christian obli- ments (including wounds and fractures and inter-
gations towards various needy groups, the first nal medicine), but only one of them for women.
institutions established tended to be hybrids of The statutes (typikon) of the facility [4] reveal a
poorhouses and travellers’ refuges (pauperes et complex organization, with senior consultants
peregrini), homes for the elderly and infirma- and consultants making daily rounds, supported
ries. The terminology reflects this diversity. The by other medics, pharmacists and nurses (cf.
institution founded by Basil at Caesarea, and its → 13.1. The medical profession) [16353–355, 363], and
inmates, was called katagogion ptochon (‘lodging- financed by large revenues from property. How-
place for the poor’), and it also served travellers ever, this was a model hospital and should not be
and the sick (Basil, Epistle 94). The xenodocheion, taken as representative (cf. [15]) simply because
or (Christian) hostel (Modern Greek ‘hotel’), in certain elements of it were also found elsewhere
Pontus, also in Asia Minor [11], was called ptocho- (e.g. the eye department at the xenon of St. Samp-
tropheion (‘poor house’), and it admitted lepers as son, cf. Miracula Artemii 21 [2]).
well as the poor [14261–264]. The ancient Greek term The reality was that there was a gulf between the
xenon (originally a guesthouse) might now mean imperial capital and the provinces. Even regional
either a hostel or an abode for the sick (Sardeis centres like → Thessalonica (8.11.; Eustathios, Cap-
[1vol. 4/2, 8645]). ture of Thessalonica 146 [3]) or Nicomedia [14257])
This formative phase largely ended in the 6th could not compete with the care available in the
century. Henceforth, xenon and nosokomeion capital (which itself was modest in relation to the
(from nosos, ‘illness’, and komein, ‘care’) were the population), let alone the country at large. It can-
clear-cut terms for a hospital or infirmary [16] (cf. not be assumed that every hospital provided ther-
John Kinnamos 190, 11th cent. [5]) with the primary apeutic medical care [9], and the existence of →
task of caring for and treating the sick (who might xenonika biblia (13.4.) did not invariably guarantee
well also be foreign and/or poor). Such institutions the standard described in the books. The fragmen-
were the first of this type to be open to the general tation of the empire in 1204 permanently curtailed
public in the European and Mediterranean world. funding, and institutions in the Late Period were
Leprosoria (cf. → 13.6. Epidemics D.) operated of modest dimensions (e.g. the xenon of Lips,
in isolation because of the recognized danger of founded 1282, with twelve beds and three medics
infection [13]; [16359–361]. There is also evidence of on a rota) [18244–251]; [15190–206]; [17] – unless there
homes for the blind and new mothers, although was funding from a foreign ruler, as when Stefan
they never became established as institutional II Milutin of Serbia, in the 14th century, conceived
types. Originally, the founders and patrons of such the idea of demonstrating his charity and power
institutions tended to be pious private individu- by founding the xenon of the Kral in the capital
als and clerics. Increasingly, however, financing (→ 13.1. The medical profession) [10218–221].
demanded a more secure foundation, which was
provided by the Church and the state (and the Bibliography
requisite legislation on the piae causae, Greek
euage hidrymata: [7]). Sources
[1] CIG [2] The Miracles of St. Artemios, edited by
B. Standards and ideals V. S. Crisafulli and J. W. Nesbitt, 1997 [3] Eusta-
Long-lived institutions like the xenon of St. thios, La espugnazione di Tessalonica, edited by
S. Kyriakides, 1961 [4] P. Gautier, Le typikon
Sampson at Constantinople [1848–53] followed the
du Christ Sauveur Pantocrator, in: REB 32, 1974,
convention of the day in dating their foundation 1–145 [5] J. Kinnamos, Epitome rerum ab Ioanne
back to the Constantinian period (early 4th cent.). et Alexio Comnenis gestarum (CSHB 15), edited by
When the building burned down during the Nika A. Meineke, 1836.
Revolt in 532, Justinian I (527–565) made gener-
ous donations for its reconstruction (Procop. Aed. Secondary literature
1,2,14–16), as he did elsewhere (e.g. at Jerusalem [6] H. Bolkestein, Wohltätigkeit und Armen-
[129]). pflege im vorchristlichen Altertum, 1939 [7] H. R.
The imperial support of charitable institutions Hagemann, Die rechtliche Stellung der christlichen
became a demonstrative act; emperors thereby Wohltätigkeitsanstalten in der östlichen Reichshälfte,
showed concern for their subjects, and it was in: Revue internationale des droits de l’Antiquité 3/3,
1956, 265–283 [8] G. Harig, Zum Problem ‘Kran-
usually connected to the physical edifice of a
kenhaus’ in der Antike, in: Klio 53, 1971, 179–195 [9]
monastery – e.g. the Myrelaion complex at Con- P. Horden, How Medicalised Were Byzantine Hos-
stantinople, supported by Romanos I Lakapenos pitals?, in: Medicina e storia 10, 2005, 45–74 [10] V.
(Theoph. Cont. 404, 431), and the Monastery of Kidonopoulos, Bauten in Konstantinopel, 1204–
Christ Pantokrator (ca. 1136) endowed by John II 1328, 1994 [11] E. Kislinger, Kaiser Julian und die
471 13.3. medical writings

(christlichen) Xenodocheia, in: Byzantios. Festschrift Eunapion, addressed to the Sophist and philiat-
H. Hunger, 1984, 171–184 [12] E. Kislinger, Xenon ros (‘friend of medicine’) Eunapius of Sardeis and
und Xenodocheion. Hospitäler in Byzanz, in: Historia focusing on easily obtainable, even locally for-
Hospitalium 17, 1986–1987, 7–16 [13] E. Kislinger, ageable medicines (hence its secondary title of
Zur Lage der Leproserie des Pantokrator-Typikon,
in: JÖB 42, 1992, 171–175 [14] K. Mentzou-Mei-
Euporista, ‘Easily obtained [remedies]’). Oribasius
mare, Επαρχιακά ευαγή ιδρύματα μέχρι του τέλους established the practice of reproducing quotations
της εικονομαχίας, in: Byzantina 11, 1982, 243–308 [15] from earlier authors in medical works [27].
T. S. Miller, The Birth of the Hospital in the Byz- Aëtius of Amida (first half of the 6th cent.)
antine Empire, 21997 [16] A. Philipsborn, Der followed him, using the same procedure in cre-
Fortschritt in der Entwicklung des byzantinischen ating a 16-volume medical manual (books 1 and
Krankenhauswesens, in: BZ 54, 1961, 338–365 [17] 2 on materia medica, book 5 on prognostics and
D. Stathakopoulos, Stiftungen von Spitälern in diagnostics, then – following Rufus of Ephesus –
spätbyzantinischer Zeit, in: M. Borgolte (ed.), sites of illness from the head down, which became
Stiftungen in Christentum, Judentum und Islam vor
the usual concept for compendia); the work also
der Moderne, 2005, 147–157 [18] R. Volk, Gesund-
heitswesen und Wohltätigkeit im Spiegel der byzan- contains a specific section (book 16) on women’s
tinischen Klostertypika (MBM 28), 1983 [19] J. C. health (indirectly based on Soranus). The same
Wilmans, Der Sanitätsdienst im Römischen Reich. may be said of Paul of Aegina (7th cent.), who
Eine sozialgeschichtliche Studie zum römischen Mil- was still working at Alexandria in the early Ara-
itärsanitätswesen nebst einer Prosopographie des bic period and embodied the transition to Islamic
Sanitätspersonals, 1995. medicine there. Paul’s intentions, however, dif-
fered from those of Oribasius and Aëtius: he pre-
Ewald Kislinger sented a summary (Epitome ) of the state of the
medical arts in seven books [17]. He believed that
13.3. Medical writings physicians should have practical manuals that
they could consult as needed and take with them
A. Introduction wherever they went (cf. already the Euporista of
B. Early Byzantine period Oribasius), like the lawyers of Antiquity with their
C. Middle and Late Byzantine periods law handbooks (Epitome 2,8–16).
D. Anonymous texts and translations Paul shared this practical bent with Alexander
of Tralleis (6th/7th cents.), whose medical manual,
A. Introduction the Therapeutika, was based on his broad clinical
The main purpose of Byzantine medical litera- experience at Rome (Agathias, Historiae 5,6) and
ture was to provide contemporary physicians with attests to his tireless zeal for enriching existing
the requisite specialist information and practical material with new elements [9]. Stephen, a philos-
knowledge. Hippocrates and Galen long remained opher probably from Athens and in all likelihood
the guiding figures, and their works were copied identifiable with Stephen of Alexandria, wrote
in large numbers and exerted a crucial influence commentaries on Hippocratic and Galenic trea-
on Byzantine authors. The medical writings that tises in the late 6th or early 7th centuries [37]. The
survive today vary greatly in content and the level structure of his work echoes that of contemporary
of information they provide [23285–320]; [32]; [19]; lectures at the famous School of Alexandria.
[20]; [26]; [38].
C. Middle and Late Byzantine periods
B. Early Byzantine period The encyclopaedic survey became a rarity in
The early phase of Byzantine medicine the centuries that followed, one exponent being
spawned the medical encyclopaedia, which Theophanes Chrysobalantes (10th cent.) who
proved an ideal vehicle for transmitting and pre- wrote an epitome in the circle of Constantine
serving Ancient Greek knowledge [18]. Oribasius, VII Porphyrogennetos (→ 12.2. Literature E.4.; De
friend and personal physician of Emperor Julian curatione morborum), presenting the findings of
(361–363), wrote the Iatrikai synagogai (Latin Col- ancient and Early Byzantine medical authors [34];
lectiones medicae), a medical encyclopaedia in 70 [12].
books, comprising excerpts from Galen and many One Niketas (his identity cannot be established
other ancient authors. Around a third of the work in any more detail) compiled ancient writings on
survives, dealing with anatomy, pathology, ortho- surgery (and relevant chapters from Oribasius
paedics, urology, dietetics (→ 13.7. Therapies) and and Paul of Aegina) in Codex Laurentianus plu-
pharmacology. teus 74.7 (ca. 900), in which the text (of Apollo-
Oribasius also wrote a compilation in nine nius of Citium and Soranus) is accompanied by
books, the Synopsis pros Eustathion, dedicated to high-quality illustrations [6]. Whether any of this
his son Eustathios, also a physician (it focuses on was put into practice is uncertain, and the same
dietetics and pharmaceuticals, but omits surgery), doubt attaches to the surgical instruments listed
and a shorter medical manual in four books, Pros
13.3. medical writings 472

(→ 13.7. Therapies B.) [7]. The iatrosophist Leo (→ 13.7. Therapies) [24]; [4]. However, Simeon Seth
(9th cent.) mentions at least some such interven- was not afraid to oppose Galen (Antirrhetikos pros
tions [8], but he fails to live up to his promise of Galenon), criticizing a number of his opinions on
giving a medical synopsis (‘survey’) of all ailments the natural faculties [10].
from the head down to the genitals. In pharmacology, Nicholas Myrepsos (late 13th
The compilation for practical use by Paul cent.) wrote a comprehensive work, the Dynam-
Nikaieus (of Nicaea?) dates from somewhere eron (‘Survey of active substances’) listing more
between the 7th century and the 10th. Its 132 chap- than 2,500 recipes in the format of a pharmaco-
ters deal with various ailments in terms of aetiol- poeia. This magnum opus, the Latin version of
ogy, symptoms and treatment [3]. Gynaecology, which long exerted influence in the West, unfor-
surgery and magical practices are absent. tunately remains for the most part unedited
Far more interesting in terms of its content [29]. Among the countless ingredients listed are
is the Therapeutike methodos (6 books, early many specified using Arabic loanwords, including
14th cent., Latin De methodo medendi) by John senna, camphor, ambergris and musk, as well as
Zacharias Aktuarios, dedicated to the Byzan- others whose transliterated names suggest Latin
tine naval commandant and philiatros Alexios origins [25].
Apokaukos [21]. As yet, only the first two books Demetrios Pepagomenos (first half of the 15th
on diagnostics (based on symptoms: pain, fever, cent.) wrote a treatise on gout. Other works on
bleeding, pulse) have been edited, and they the condition [33]; [28] attest to its prevalence
describe individual diseases in the traditional way (→ 13.5. Common illnesses). Besides treatises on
[1]. Two books each are then devoted to therapy the treatment of specific ailments, there are also
and pharmaceuticals/remedies (divided by topical works with a clear didactic function, such as the
versus internal use). For the first time in Byzantine Ponema iatrikon (‘Medical work’, 11th cent.) of
medical literature, this work blends traditional Michael Psellos [22]. Psellos was no medic, but
Greek and Byzantine sources with medical dis- his frequent displays of interest in the subject [36]
coveries (recent at this period) from the Islamic reveal the status of such knowledge among the
world. The pharmacological section in particular educated Byzantine elite after its recovery since
gives a great many preparations based on sugar, the end of the encyclopaedic phase in the 10th
such as syrups, containing ingredients from the century. Active interest in medicine even contin-
east, such as galangal, white turmeric and cubeb. ued in the 14th and 15th centuries, as attested by
Otherwise, the Middle and Late Byzantine peri- the combination of teaching and often specialized
ods saw a proliferation of detailed presentations of writing at the xenon of the Kral in Constantinople
various medical subdisciplines. With the exception (→ 13.4. Xenonika biblia; → 13.2. Hospitals), and by
of John Zacharias, however, they rarely attained the demand for relevant writings with a grow-
the standard of earlier periods, especially in diag- ing orientation towards the Western European,
nostics, in which Theophilos Protospatharios especially Italian manuscript market of the Early
(ca. 9th/10th cents.) wrote works on the pulse, Renaissance [30].
urine and excretions. Later treatises on uroscopy
[16] were written by Nikephoros Blemmydes in the D. Anonymous texts and translations
13th century [15] and, far more comprehensively, Alongside the works of the medical authors
John Zacharias, who offers the only instance of known by name, there was also a substantial pro-
case studies in Byzantine medical literature [11]. duction of anonymous recipe collections, called
The clear distinction between diagnosis, aetiology iatrosophia, dating back at least to the 10th cen-
and prognosis here is noteworthy. tury and continuing until the Fall of Constantino-
Treatises on anatomy are preserved (dating ple (and into the Ottoman period) [24]; [2]; [13].
back as far as the 8th century) under the names Researchers have tended to neglect this genre, and
of Meletios (On the Constitution of Man) and it has yet to be adequately edited. These works
Theophilos. Simeon Seth (latter half of the 11th were written in a simple language that made them
cent.) wrote a compilation (Greek syntagma) suitable for use in daily life.
on nutritional therapy that incorporated a great Iatrosophia sometimes fill entire books, but
quantity of Islamic materia medica. His work some texts are only a few pages long. Some com-
is a well-nigh academic version of the simple pilations are based on earlier authorities, such as
dietetic guides (often attributed to Hierophilos) Galen, Oribasius or Paul of Aegina, as well as on
that were arranged by month, stipulating which the writings of contemporary physicians. Besides
foodstuffs were to be preferred or avoided from instructions for simple interventions (e.g. bleed-
season to season on the basis of the humoral ing), they generally also contain para-scientific
theory of Hippocrates and Galen, which aimed to material, such as magic spells, magical remedies
achieve equilibrium between the bodily humours and biblical references. They thus represent the
473 13.3. medical writings

transitional zone between academic medicine ciples and Practices of Compilation and Abbreviation
and the general therapeutic practices of ordinary in the Medical ‘Encyclopaedias’ of Late Antiquity, in:
people. M. Horster / C. Reitz (eds.), Condensing Texts –
Greek translations of Arabic and Persian works Condensed Texts, 2010, 519–554 [18] A. Garzya et
al. (eds.), Medici bizantini, 2006 [19] A. Garzya /
increasingly began to circulate in the 11th century J. Jouanna (eds.), Storia e ecdotica dei testi medici
[35]. The most important examples are the Epho- greci, 1996 [20] A. Garzya / J. Jouanna (eds.), I
dia tou Apodemountos of Ibn al-Jazzār (10th cent.), testi medici greci. Tradizione e ecdotica, 1999 [21]
a study on urine from the early 11th century that is A. Hohlweg, Johannes Aktuarios. Leben, Bildung
attributed to Ibn Sīnā/Avicenna and survives in a und Ausbildung. De methodo medendi, in: BZ 76,
long and an abridged version, and a short treatise 1983, 302–321 [22] A. Hohlweg, Medizinischer
on smallpox (→ 13.6. Epidemics C.), Peri loimikes ‘Enzyklopädismus’ und das Ponema iatrikon des
(‘On the pestilence’), by ar-Rāzī (Rhazes) [14]. Michael Psellos, in: BZ 81, 1988, 39–49 [23] H.
Hunger, Die hochsprachliche profane Literatur der
Byzantiner, vol. 2, 1978 [24] A. M. Ieraci Bio,
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Iatrosophistes, in: Medicina nei secoli 11/2, 1999, 291– Argyropoulos professeur à Constantinople et ses
322 [9] P. Bouras-Vallianatos, Clinical Experi- auditeurs médecins, d’Andronic Éparque à Démetrios
ence in Late Antiquity. Alexander of Tralles and the Angelos, in: C. Scholz / G. Makris (eds.), Polypleu-
Therapy of Epilepsy, in: Medical History 58/3, 2014, ros nous. Festschrift P. Schreiner, 2000, 223–249 [31]
337–353 [10] P. Bouras-Vallianatos, Galen’s J. Scarborough, Early Byzantine Pharmacology, in:
Reception in Byzantium. Symeon Seth and his Refu- J. Scarborough (ed.), Symposium on Byzantine
tation of Galenic Theories on Human Physiology, in: Medicine (DOP 38), 1984, 213–232 [32] J. Scar-
GRBS 55, 2015, 431–469 [11] P. Bouras-Valliana- borough (ed.), Symposium on Byzantine Medicine
tos, Case Histories in Late Byzantium. Reading the (DOP 38), 1984 [33] G. Schmalzbauer, Med-
Patient in John Zacharias Aktouarios’ On Urines, in: izinisch-Diätetisches über die Podagra aus spätbyzan-
G. Petridou / C. Tumiger (eds.), Homo patiens. tinischer Zeit, in: JÖB 23, 1974, 229–243 [34] J. A. M.
Approaches to the Patient in the Ancient World, 2016, Sonderkamp, Untersuchungen zur Überlieferung
390–409 [12] M. Capone Ciollaro / I. G. Galli der Schriften des Theophanes Chrysobalantes (sog.
Calderini, Aezio Amideno in Teofane Nonno-Criso- Theophanes Nonnos), 1987 [35] A. Touwaide,
balante, in: A. Garzya / J. Jouanna (eds.), I testi Arabic Medicine in Greek Translation. A Preliminary
medici greci. Tradizione e ecdotica, 1999, 29–50 [13] Report, in: Journal of the International Society for
P. A. Clark, A Cretan Healer’s Handbook in the the History of Islamic Medicine 1, 2002, 45–53 [36]
Byzantine Tradition, 2011 [14] M.-H. Congour- R. Volk, Der medizinische Inhalt der Schriften des
deau, Le traducteur grec du traité de Rhazès sur la Michael Psellos (MBM 32), 1990 [37] W. Wolska-
variole, in: A. Garzya / J. Jouanna (eds.), Storia e Conus, Les commentaires de Stéphanos d’Athènes
ecdotica dei testi medici greci, 1996, 99–111 [15] A. au Prognosticon et aux Aphorismes d’Hippocrate. De
Diamandopoulos, The Effect of Medicine, in Par- Galien à la pratique scolaire alexandrine, in: REB 50,
ticular the Ideas about Renal Diseases, on the ‘Well- 1992, 5–86 [38] B. Zipser (ed.), Medical Books in
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(eds.), Material Culture and Well-Being in Byzantium,
400–1453, 2007, 93–99 [16] K. Dimitriadis, Byzan- Petros Bouras-Vallianatos
tinische Uroskopie, 1971 [17] P. van der Eijk, Prin-
13.4. xenonika biblia 474

13.4. Xenonika biblia (erratum for Maurianos?). These remedies are

given under the title dynameron xenonikon dia pei-
A. The texts: transmission and (putative) authors ras (‘List of active substances, made in hospitals,
B. Assessment of content based on experience’), written in a hand different
from that of the copyist. This text is followed by
A. The texts: transmission and a similarly short collection with the even simpler
(putative) authors title xenonika. As far as is known, this hospital-
Was an institution comparable to the modern related material survives in no other manuscript.
hospital and its medical services established in (4) Codex Vind. med. gr. 48 (late 13th cent.)
the Byzantine Empire (as [10] contends)? Answers contains a text attributed in the title to Romanos,
can be sought not only in the documentary and kouboukleisios (‘chamberlain’, an honorific title)
narrative evidence on the Byzantine xenones and and protomenytes (‘senior physician’, ‘senior con-
nosokomeia (→ 13.2. Hospitals) and the presence or sultant’) of the Great Church (i.e. Hagia Sophia)
absence of doctors there, but also in medical texts. and the imperial Myrelaion Hospital at Constanti-
Any claim that Byzantine xenones were centres of nople (→ 13.2. Hospitals B.; his medical rank recalls
medical expertise and training must be scruti- that given in the typikon/statutes of the hospital at
nized in the light of the texts connected to those the Pantokrator Monastery [2 ll. 945, 1182]). Fragments
very institutions, that is, the xenonika biblia (‘Hos- of this text are also preserved in two other manu-
pital Books’ or consilia). Five or six are preserved scripts. The title kouboukleisios disappeared after
(depending on how a text divided between two the 10th century, and the Myrelaion Hospital was
manuscript scribes is counted) [4]; [3]; [6]: re-established by Romanos I Lakapenos (920–944)
(1) ‘Prescriptions and classifications [of fever?] [10113]. No exact dates are obtainable for Romanos
of the great hospitals [megaloi xenones] of this kouboukleisios.
kind, how they assign doctors on the basis of expe- (5) The text attributed to Romanos in fact com-
rience to treat particular patients in hospitals’ is prises only the first part of a longer work. The sec-
the title of a compilation of remedies (parts of ond part is preserved separately in the manuscript
which, along with the title itself, appear in at least Laur. plut. 75,19 under another author’s name, as
four other manuscripts). The collection, which is the Apotherapeutike of one Theophilos. It claims
divided into sixteen very different sections, was that this material comes from ‘hospital books’.
made around the middle of the 11th century and Apotherapeutike is an unusual term, but its mean-
is preserved in a 14th-century manuscript (Codex ing is beyond doubt: ‘list of remedies’ [7]. Both
Vat. gr. 292). The ‘prescriptions and classifications’ parts – Romanos and the supposed ‘Theophilos’ –
are also recorded to varying degrees in three more contain passages reminiscent of sections of Vat.
manuscripts – see below (2), (4), (5) – but without gr. 299 (see above), where the therapies are attrib-
the titular reference to hospitals. uted to the Mangana Hospital.
(2) Codex Vat. gr. 299 (late 13th cent.), an (6) Codex Laur. plut. 7,19 (13th/14th cents.) is
anthology of medical texts, lists five remedies in its primarily a collection of theological writings. Like
final, comprehensive compilation (around 180,000 nine other manuscripts, it also contains a treatise
words) and attributes them to three named doc- entitled (usually in identical words): ‘Therapeu-
tors at the Mangana Hospital in Constantinople, tic treatments by various doctors, according to
which was founded around the mid-11th century the established practices of the xenon’. This short
[8273–283]: Stephen, the archiatros (head physician) compilation (2,750 words) was made around the
and aktouarios (senior consultant); (b) Abram ‘the mid-11th century [9]. No version attains the degree
Saracen’, aktouarios and basilikos archiatros (‘per- of organization implied by the title. It contains
sonal physician to the emperor’) and (c) Theodore, abridged versions of remedies recorded in four
iatros (‘physician’). other manuscripts under the name of one John
Another remedy is attributed to another doctor archiatros [1], in another under the name of Galen,
who, although named, is otherwise unknown, and and in a sixth under both names.
his institution is not given. Six further entries are Overall, then, five or six texts are known from
associated with the Mangara Hospital, but give no 18 manuscripts that make explicit reference to
doctor’s name. They are spread throughout about hospitals in their titles or content. There are also
half of the compilation, but make up only a very two codices (Par. gr. 2315 and 2510) that were cop-
small part of the overall text. Another six passages ied for hospitals, another (Scorialensis Y.III.14)
on the same remedy correspond to sections in the that its scribe George dedicated to a xenon (all
collection Vat. gr. 292 (see above), where they are three 14th cent.), and perhaps three or four oth-
described as originating in the ‘great hospitals’. ers that may have been in the possession of a hos-
(3) Codex Par. gr. 2194 (15th cent.) contains pital in the Late Byzantine period, including two
eight recipes attributed to Michael, aktouarios of prestige manuscripts: the Niketas Codex (ca. 900,
the otherwise unknown hospital of Mauraganos a surgical manual) and the newly rebound Vienna
475 13.5. common illnesses

Dioscurides (early 6th cent.). Some 15th-century Texts Associated with Xenones in the Late Byzantine
Humanist masterpieces based on the collection Period, 2003 [5] L. J. Bliquez, The Surgical Instru-
and study of the writings of Galen may also have mentarium of Leon Iatrosophistes, in: Medicina nei
been made at the xenon of the Kral in Constanti- secoli 11/2, 1999, 291–322 [6] P. Horden, Medieval
Hospital Formularies. Byzantium and Islam Com-
nople, i.e. in the context of a hospital. However, pared, in: B. Zipser (ed.), Medical Books in the Byz-
these were as remote from the immediate clinical antine World, 2003, 145–164 [7] A. M. Ieraci Bio,
needs of patients as they were from the style of Sur une Apotherapeutike attribuée à Théophile, in: A.
the remedy lists presented here [11]. Finally, two Garzya / J. Jouanna (eds.), Storia e ecdotica dei
lists of surgical instruments survive (9th and 11th testi medici greci, 1996, 191–205 [8] P. Lemerle,
cents. respectively) for which a hospital origin is Cinq études sur le XIe siècle byzantin, 1977 [9] G. G.
plausible [5]. Litavrin, Remarques sur le cod. Plut. VII 19 de la
bibliothèque de Lorenzo de’ Medici à Florence, in: É.
B. Assessment of content Patlagean (ed.), Maladie et société à Byzance, 1993,
97–101 [10] T. S. Miller, The Birth of the Hospital
This harvest of textual and manuscript tes-
in the Byzantine Empire, 21997 [11] B. Mondrain,
timony is very modest, particularly measured Jean Argyropoulos professeur à Constantinople et ses
against the estimated 2,000 or more Byzantine auditeurs médecins, d’Andronic Éparque à Démetrios
medical manuscripts that are held in European Angelos, in: C. Scholz / G. Makris (eds.), Polypleu-
libraries [12]; [13]. It does not suggest that hospi- ros nous. Festschrift P. Schreiner, 2000, 223–249 [12]
tals were producing substantial quantities of spe- A. Touwaide, The Corpus of Greek Medical Manu-
cialist medical literature. Moreover, the content of scripts. A Computerised Inventory and Catalogue, in:
the surviving texts associated with hospitals is not W. M. Stevens, Bibliographic Access to Medieval
particularly remarkable. It tends to comprise sim- and Renaissance Manuscripts. A Survey of Comput-
ple remedies in the traditional order, from head to erised Data Bases and Information Services, 1992,
75–92 [13] A. Touwaide, Byzantine Medical Man-
toe (de capite ad calcem), for example: ‘decoction uscripts. Toward a New Catalogue, in: BZ 101, 2008,
against dizziness: boil dill, hyssop and lavender in 199–208.
water and serve it as a beverage; cover pot with
a lid while boiling’; or, ‘for the great decoction of David Bennett †
the xenon: [combine] topped lavender, oregano, Peregrine Horden
pennyroyal, calamint, genuine St. John’s wort …
[13 more ingredients] and fragrant nuts’ (taken 13.5. Common illnesses
from [4appendix IV]).
The Byzantine xenonika give an indistinct A. Introduction
picture compared to the sophisticated recipes B. Diseases and disciplines
created for hospitals in the Islamic world, which
have named authors and a relatively stable trans- A. Introduction
mission history. Author and compiler names are There is no Byzantine treatise specifically
dubious at best, being often pseudonyms, and the devoted to the ‘common illnesses’ of the day,
texts are assembled in a bewilderingly haphazard except → epidemics (13.6.) (→ Medical writings
way and were constantly rearranged [6]. However, (13.3.)). Instead, a plethora of sources, in genres
the very fact that some of the products of these ranging from historiography to hagiography,
processes sought to secure prestige by associating provide insight (although retrospective diagno-
themselves with a hospital in their titles attests to sis sometimes harbours methodological risks). It
the status of hospital institutions in the Byzantine must also be remembered that spectacular symp-
medical world. Hospitals were by no means as cru- toms and impressive signs, such as an epileptic
cial as is sometimes claimed, but they also were seizure or a toe badly distorted by gout, will have
not entirely marginal. The state of research on the helped some ailments to attract more frequent
manuscripts as yet prevents firmer conclusions. and prominent attention in the sources.
Infectious diseases hit premodern societies
Bibliography hard and could not be contained before the intro-
duction of modern antibiotics in the 20th century.
Sources Close cohabitation in heavily populated regions,
[1] John the Physician’s ‘Therapeutics’. A Medical along with poor hygiene, encouraged the spread of
Handbook in Vernacular Greek, edited by B. Zipser, bacteria. Several Early Byzantine historians attest
2009 [2] P. Gautier, Le typikon du Christ Sauveur
Pantocrator, in: REB 32, 1974, 1–145.
to the frequency of gastrointestinal ailments with
symptoms including fever, inflammation, abdomi-
Secondary literature nal pain and diarrhoea [2597–99], identifiable as
[3] D. C. Bennett, Therapeutic Practice in Byz- various forms of dysentery. Historical evidence
antine Hospitals. A Study of the Extant Formular- of this kind is augmented by palaeopathological
ies (2016) [4] D. C. Bennett, Xenonika. Medical studies from Byzantine Crete (7th–12th cents.)
13.5. common illnesses 476

that demonstrate periosteal reactions in bone, a the shrine of Artemius, a saint who was believed
clear sign of infection [668–74]. to have particular curative powers for problems in
the male genital area [2]; [4].
B. Diseases and disciplines (4) Renal and urethral complaints: uroscopy
(1) Byzantine medical literature was particu- [9], taking into account colour, consistency and
larly interested in ophthalmology [23178–186]. Aëtius odour, was one of the few methods (in the absence
of Amida (Tetrabiblon 7,62; first half of the 6th of laboratory diagnostics) for deducing pathologi-
cent.), for instance, gives an exceedingly detailed cal changes from the body itself. Some treatises
description of the removal of a conjunctival pte- give detailed descriptions (e.g. Theophilos Proto-
rygium using a device called a pterygotomon (‘pte- spatharios and John Zacharias Aktuarios; → 13.3.
rygium cutter’), in which great pains were taken Medical writings). However, direct reference to
not to injure the eyelids or corner of the eye. In the ailments of this nature was not frequent (e.g. dys-
Late Byzantine period, Nicholas Myrepsos listed uria in Emperor Michael II, cf. Theoph. cont. 83
some 90 recipes for kollyria (eye remedies), while [1]) [8]. The breaking up of bladder stones was
John Zacharias Aktuarios’ (14th cent.) discussions known (Life of Theophanes 23).
of diagnoses are even more important, for instance (5) Gout can occur in the upper limbs (as chei-
regarding the chalazion (eyelid cyst), for which he ragra), but it is commoner in the lower limbs
offers three possible diagnoses: trachoma (bacte- (podagra), where it typically begins with a red,
rial infection), sycosis (wart) and tylosis (callus; hot, swollen joint at the base of the big toe. In the
Iatrike Epitome 2,445, 28–33). The frequency of eye final stages, it can affect all the limbs of the body,
ailments is also reflected in collections of miracle causing dislocations and difficulty in moving.
cures, e.g. by the saint pairs Cosmas and Damian According to the chroniclers at least, it appears
and Cyrus and John (cf. Miracula Cyri et Iohannis, to have been a particularly common complaint
Early Byzantine) [12]; [15]; [22]; [19129–131, 146–149]. among Byzantine emperors [16]. Alexander of
(2) Epilepsy is among the most frequently dis- Tralleis (Therapeutika 2,565–751) mentions reci-
cussed ailments in medical treatises, but it is also pes for remedies making use of hermodaktylon
often found mentioned in hagiographic and histo- (probably the autumn crocus, Latin Colchicum
riographical texts [18]; [20]. Byzantine physicians autumnale L.), which contains colchicine, a capil-
followed the Galenic tradition in distinguishing lary and mitotic toxin still used to treat gout today.
three forms of epilepsy, triggered (a) in the brain, The condition is attested throughout the Byzan-
(b) in the stomach or heart (kardia) and (c) in the tine millennium and its treatment was reflected in
limbs. Authors give therapeutic recommendations specialist treatises that continued to appear until
for such things as diet and the use of pharmaceu- the early 15th century (Demetrios Pepagomenos,
ticals, both for the acute and the chronic phases John Kaloeidas) [24]; [21].
of the condition (→ 13.3. Medical writings). The (6) Gynaecology: the only discussion of spe-
dramatic behaviour of the sufferer, foaming at the cifically female ailments in Byzantine literature
mouth, was almost always interpreted as demonic dates from the Early Byzantine period (up to
possession. Amulets and conjurations to drive out Paul of Aegina) and deals with inflammations or
demons were widespread in Byzantium and are malformations of the genitalia, tumours of the
even mentioned in the works of medical authors uterus or breast (on surgical interventions [11])
like Alexander of Tralleis (mid-6th cent.) [10]; and pathological changes in relation to menstrua-
[13]; [5]. tion, pregnancy (and abortion [7]) or childbirth.
(3) A few Byzantine medical authors mention In subsequent centuries, these areas increasingly
inguinal hernia, i.e. an intrusion of abdominal cav- passed from the sphere of medicine into the prov-
ity contents into the inguinal canal in the groin. ince of ‘wise women’, whereby popular remedies
Two stages are described: boubonokele, in which and sometimes magical practices largely replaced
the intestines remain in the groin itself, and the expertise of academic medicine [14].
enterokele, where they push into the scrotum (e.g.
Life of Loukas Steireotes jun. 93). Paul of Aegina Bibliography
in the 7th century recommended the use of vari-
ous poultices and cold baths on the first signs Sources
of the condition. His description of two surgical [1] Theophanes Continuatus, edited by I. Bekker,
interventions is very detailed, with the operation 1838 [2] The Miracles of St Artemios, edited by V. S.
Crisafulli and J. W. Nesbitt, 1997 [3] N. Fernández
to remove the herniated peritoneum followed
Marcos, Los Thaumata de Sofronio. Contribución al
by the cauterizing of the groin area. His discus- estudio de la ‘incubatio’ cristiana, 1975 (with edition).
sion continued with further instructions on post-
operative care [17]. Inguinal hernia is also one of Secondary literature
the conditions most frequently mentioned in mir- [4] A. Alwis, Men in Pain. Masculinity, Medicine
acle collections, particularly those associated with and the Miracles of St. Artemios, in: BMGS 36/1, 2012,
477 13.6. epidemics

1–19 [5] P. Bouras-Vallianatos, Clinical Experi- 13.6. Epidemics

ence in Late Antiquity. Alexander of Tralles and the
Therapy of Epilepsy, in: Medical History 58/3, 2014, A. Introduction
337–353 [6] C. Bourbou, Health and Disease in B. Plague
Byzantine Crete (7th–12th Centuries ad), 2010 [7]
C. Smallpox
C. Cupane / E. Kislinger, Bemerkungen zur
Abtreibung in Byzanz, in: JÖB 35, 1985, 21–49 [8] D. Leprosy
A. Diamandopoulos, The Effect of Medicine, in E. Malaria
Particular the Ideas about Renal Diseases, on the
‘Well-Being’ of Byzantine Citiziens, in: M. Grün- A. Introduction
bart et al. (eds.), Material Culture and Well-Being Plague, smallpox and – to a lesser degree
in Byzantium, 400–1453, 2007, 93–99 [9] K. Dimi- and endemically – leprosy and malaria were the
triadis, Byzantinische Uroskopie, 1971 [10] M. main infectious diseases that assailed the inhabit-
Dols, Insanity in Byzantine and Islamic Medicine, ants of the Byzantine Empire. Probably the com-
in: J. Scarborough (ed.), Symposium on Byzantine
monest of all, however, were those affecting the
Medicine (DOP 38), 1984, 135–148 [11] S. Geroula-
nos, Surgery in Byzantium, in: M. Grünbart et al. digestive tract, e.g. typhus and dysentery, because
(eds.), Material Culture and Well-Being in Byzantium they spread in conditions of poor hygiene and
(400–1453), 2007, 129–134 [12] K. Heinemann, are passed on especially through polluted water.
Die Ärzteheiligen Kosmas und Damian. Ihre Wun- Their main symptoms (fever and diarrhoea) are
derheilungen im Lichte alter und neuer Medizin, in: accordingly described with great frequency in the
Medizinhistorisches Journal 9, 1974, 255–317 [13] sources [1897–99].
P. Horden, Responses to Possession and Insanity The inexact terminology of epidemic diseases
in the Earlier Byzantine World, in: Social History of in Byzantine Greek makes it difficult to identify
Medicine 6/2, 1993, 177–194 [14] E. Kislinger, Η specific diseases purely on the evidence of textual
γυναικολογία στην καθημερινή ζωή του Βυζαντίου, in:
C. G. Angelide (ed.), Η καθημερινή ζωή στο Βυζάντιο,
sources. In describing epidemics, the Byzantines
1989, 135–145 [15] J. Lascaratos, Miraculous Oph- either used the classical word loimoi (sg. loimos,
thalmological Therapies in Byzantium, in: Documenta ‘plague’) or the more vernacular term thanatika
Ophthalmologica 81, 1992, 145–152 [16] J. Lascara- (‘deadly’ diseases), which is not recorded in Clas-
tos, ›Arthritis‹ in Byzantium (ad 324–1453). Unknown sical Antiquity. Both words occur throughout the
Information from Non-Medical Literary Sources, in: Byzantine period, and they were largely inter-
Annals of the Rheumatic Diseases 54/12, 1995, 951– changeable. They denoted not only plague, but
957 [17] J. Lascaratos et al., Surgery for Inguinal also other serious epidemic infectious diseases.
Hernia in Byzantine Times (ad 324–1453). First Sci- Sources that include descriptions of symptoms
entific Descriptions, in: World Journal of Surgery 27,
are more helpful for identifying illnesses. Even
2003, 1165–1169 [18] K.-H. Leven, Die ‘unheilige’
Krankheit. Epilepsia, Mondsucht und Besessenheit so, drawing on written sources for retrospective
in Byzanz, in: Würzburger medizinhistorische Mit- diagnoses is controversial, and scientists tend to
teilungen 13, 1995, 17–57 [19] H. J. Magoulias, The counsel against it, since such sources often lack
Lives of the Saints as Sources of Data for the History a precise description of symptoms and take no
of Byzantine Medicine in the Sixth and Seventh Cen- account of the mutation of pathogens, which can
turies, in: BZ 57, 1964, 127–150 [20] G. Makris, Zur alter the clinical course of an infectious disease.
Epilepsie in Byzanz, in: BZ 88, 1995, 363–404 [21] Few infectious diseases have left traces that
A. Mavroudis / S. Kotzabassi, Μια Βυζαντινή allow palaeopathologists to identify them con-
ιατρική επιστολή για τη θεραπεία της ποδάγρας, in: Hell clusively through bone samples. Recent proce-
57, 2007, 271–317 [22] D. Montserrat, Pilgrimage
to the Shrine of SS Cyrus and John at Menouthis in
dures attempting to identify certain epidemics
Late Antiquity, in: D. Frankfurter (ed.), Pilgrim- by extracting DNA from human remains are still
age and Holy Space in Late Antique Egypt, 1998, contentious.
257–279 [23] E. Savage-Smith, Hellenistic and
Byzantine Ophthalmology. Trachoma et sequelae, B. Plague
in: J. Scarborough (ed.), Symposium on Byz-
antine Medicine (DOP 38), 1984, 169–186 [24] G. B.1. Early Medieval Pandemic/Plague of Justinian
Schmalzbauer, Medizinisch-Diätetisches über die B.2. The Black Death
Podagra aus spätbyzantinischer Zeit, in: JÖB 23, 1974,
229–243 [25] D. Stathakopoulos, Famine and
B.1. Early Medieval Pandemic/Plague
Pestilence in the Late Roman and Early Byzantine
Empire. A Systematic Survey of Subsistence Crises of Justinian
and Epidemics, 2004. These conventional names refer to a number
of outbreaks of bubonic plague that began in 541
Petros Bouras-Vallianatos and continued in approximately 18 waves (every
13.6. epidemics 478

twelve years on average) until 750 [18110–154]; [15]. the epidemic. It is believed that the capital lost at
In all probability, the pandemic began in Africa. least around one fifth of its population during the
Information is most plentiful in regard to the first first wave of plague in 542.
wave (541–544 in the Mediterranean and until 549 All the sources discuss in detail the demo-
in Northern Europe and the Yemen) and the last graphic crisis occasioned by the plague, which can
wave (743/44–750). An abundance of sources (e.g. also be confirmed through indirect evidence, e.g.
Procopius, Evagrios Scholastikos, John of Ephesus, the number of shipwrecks raised from the period
Gregory of Tours, Paul the Deacon, Theophanes) (as an indicator of the absolute number of vessels
give numerous reports of the various waves of the and the scale of maritime trade), which declines
illness. Procopius (Procop. Pers. 2,22 f.) gives the by around two thirds between the 6th and 7th
longest account of the symptoms of the disease centuries. There were also labour shortages, lead-
when it first appeared in 542, leaving no doubt ing to increased labour costs, while the availabil-
that it was indeed the plague. Recent attempts ity of high-value land improved. The population
have been made to identify the pathogen in the decline limited military operations, while the dis-
laboratory on the basis of human remains [20110]. ease, which was seen as God’s punishment, made
The Plague of Justinian was primarily a Medi- religious rituals a more important factor in every-
terranean phenomenon. The Byzantine Empire, day life. Although the demographic influence of
the Islamic world and Southwestern Europe were the plague was important, it would be wrong to
worse affected by the waves of the illness than claim that it alone had a transformative effect on
Northern Europe, because the plague spread the history of the era. The plague suddenly disap-
chiefly through commercial and military traffic. peared in 750, and no plausible reason for this has
Sources reporting on person-to-person transmis- yet been advanced.
sion are contradictory. Some texts seem to confirm
that it happened, while others claim that doctors B.2. The Black Death
were unaffected even if they treated sufferers. The plague returned in the 14th century,
The immediate reaction to an outbreak of the affecting the Byzantine Empire in around twelve
plague, both on the part of the authorities and outbreaks between 1347 and the Fall of Constan-
on the part of the ordinary populace, was gener- tinople in 1453 [13]; [9]; [5]. This time, it came
ally to flee the area. Imperial, municipal and reli- from Central Asia. Its spread through Byzantium
gious authorities sought to bury the many victims and later Europe, beginning in the port of Kaffa in
as quickly as possible in mass graves, although the Crimea. All waves of the Black Death spread
few have yet been identified in archaeology. throughout the entirety of the Byzantine territo-
Authorities’ efforts to restore normality are clearly ries, although these were already relatively small
apparent. by this period. It is important to note that the
Most sources declare the plague to be divine overall geographic spread of this pandemic was
punishment for human failings. Both the Christian far more global than the Plague of Justinian. The
and Islamic worlds responded with litanies, fast- Black Death was felt not only in the Mediterranean
ing, prayers and processions. Probably the most world, but also in Northern and Western Europe.
famous procession occurred in Rome in 590 during Most cases described in the sources were bubonic
the pontificate of Gregory I, including a sevenfold plague, although pneumonic plague also occurred.
litany that was advertised as capable of bringing Most of the Byzantine sources on the Black
the epidemic to an end. Although plague sufferers Death are relatively brief. The most important
certainly consulted doctors, they could do little in are the Histories of John Kantakouzenos [11] and
the face of the disease, as they neither understood Nikephoros Gregoras, and the letters of Deme-
its cause nor had any effective means of combat- trios Kydones (all 14th cent.). In general, the epi-
ing its symptoms. The afflicted sought aid in the demic was still regarded as a divine punishment,
transcendental sphere. The cult of St. Sebastian as as it had been in Late Antiquity, and most new
protector against plague, for example, developed sources revisited the motifs of the old. As during
in the course of the 7th century, especially in Italy. the Plague of Justinian, the usual reaction to an
The most important aspect of the pandemic outbreak of the Black Death was the sometimes
was its extraordinarily high mortality rate, which headlong flight out of the area, although some
had a dramatic impact on the political and eco- ecclesiastical authors were critical of this behav-
nomic history of the period. Estimates suggesting iour in their writings [7].
that between 20 and 30 % of the population of the Contemporary Byzantine sources say nothing
entire empire died are often cited by scholars, but in regard to any measures introduced by the state
seem questionable. It is impossible to obtain even or regional authorities to deal with the problems
approximately exact numbers of deaths in Late caused by the pandemic. There is no information,
Antiquity, but it is fair to assume that cities like for instance, on the organization of mass burials or
Constantinople suffered particularly heavily from any other procedure for disposing of the numerous
479 13.6. epidemics

plague corpses. Without doubt the most famous Styliane probably died in 1052, but her death may
measure adopted against the epidemic in the 14th also have been related to another outbreak two
century is first attested in 1377 at Ragusa: all ships years later (Skylitzes, Synopsis historiarum 477; no
entering the port had to anchor for thirty days description of symptoms). The third case was The-
(Latin trentina) before their crews were allowed odore Prodromos, who himself caught the illness
ashore. Venice and Marseille then enacted the around 1140 and recounts his experiences in three
same measure in 1380, raising the waiting period letters (Epistulae 4–6 [1vol. 133, 1249–1258]; [430 f.] and
to forty days, thereby coining the term ‘quaran- perhaps Poem 68 [4508 f.]) [6]. He observes that the
tine’ (quarantina). people called smallpox by the euphemism eulogia
There is evidence of similar measures in the (‘sign of blessing’) [8103–106] and describes the scar-
Byzantine Empire in the 15th century. Ecclesiasti- ring it causes.
cal authorities also reacted to the plague. A num- An Arabic medical treatise was of paramount
ber of prayers of the 14th and 15th centuries call importance to knowledge of the disease in the
for protection against an outbreak and give thanks Middle Ages and early modern period: the book
for the waning of an epidemic. These texts have about smallpox (gudari) and measles (hasba) by
been attributed to Patriarchs Philotheos Kokkinos Abu Bakr Muhammad ibn Zakaria ar-Razi, bet-
(1353/54 and 1364–1376) and Kallistos I of Con- ter known as Rhazes, a physician of the late 9th
stantinople (1350–1353 and 1355–1363), Archbishop and early 10th centuries (→ 13.3. Medical writings).
Gregory Palamas of Thessalonica and Theodore Rhazes gives detailed descriptions of the causes,
Agallianos. Although the exact dates of their com- symptoms, diagnosis, prognosis and therapy for
position and performance are not known, their the two conditions, which he does not always
very existence proves that even high-ranking cler- clearly distinguish. His observations show that
gymen played an active part in maintaining the smallpox and measles were already endemic
morale of their congregations. childhood diseases in the Near and Middle East by
Source material on doctors and their methods the 9th century. Arabic writings on smallpox by al
for treating the Black Death is scanty. All that the Majusi (Haly Abbas) were translated into Latin by
sources reveal is that doctors were called because Constantine Africanus of the circle of the Salerno
their presence was considered important – even School in the 11th century. Constantine also wrote
if useless in most cases. Nothing occurred in the a medical compendium (Viaticum peregrinantis)
Byzantine Empire to compare with the famous that contains a chapter on variola (his translation
secondary effects of the Black Death in the West of gudari), and it was quickly (11th cent.) trans-
(e.g. flagellantism and the persecution of minori- lated into Greek. Rhazes’ work was also translated
ties, often Jews). There is a feeling that, given the into Greek from Syriac, albeit rather later (before
general collapse of their world in this period, the the early 14th cent.), under the title Peri loimikes
Byzantines greeted the Black Death with a degree (‘On the Pestilence’) [8]. The preface stresses the
of resignation. urgency of making the text available, given that
hardly anyone has been spared the effects of this
C. Smallpox disease.
Smallpox is a very old infectious disease [14].
It was probably responsible for the so-called D. Leprosy
‘Antonine Plague’ that hit the Roman Empire Although leprosy, a bacterial infectious dis-
between 165 and 180/89, claiming many lives. The ease, generally only leads to death after a very
sources reveal a number of localized outbreaks, for long period of illness, its symptoms (including
instance in the eastern Mediterranean in 312/13, the disfigurement of the face and the dying off of
and two recurrent outbreaks between 494 and 502 limbs) have evoked strong reactions in all eras.
at Edessa [1891–96]. The key symptoms described There was no single name for it in the Byzan-
in the sources (e.g. petechiae, Miracula Artemii 34 tine world. The most frequent terms in the Greek
[3]) correspond with modern epidemiology. sources include lepra, lobe, elephas, elephantia-
Learned eye witnesses described three cases of sis or even hiera nosos (‘sacred disease’) [10]. A
smallpox in the 11th and 12th centuries. Eudokia, group of 4th-century homilies mentions sufferers
daughter of Constantine VIII, survived the disease, and urges addressees not to exclude their fellow
but her face was permanently disfigured and she Christians from the congregation, but to care for
entered a monastery as the nun Theodora (Zon. them [19]. Specialist charitable institutions were
17,10). Michael Psellos then described the symp- already appearing to do just this in the second
toms in detail in his funeral oration for his 9-year- half of the 4th century, although by admitting the
old daughter Styliane [2vol. 5, 62–87]; [21312–325], who afflicted, they indeed exclude them from society.
died after 31 days of illness. Psellos noted that The most famous leprosorium was the Zotikos in
medical expertise had no answer to the disease, Constantinople. The legendary vita of its founder
which occurred frequently but was seldom fatal. dates the foundation to the reign of Constantine,
13.7. therapies 480

i.e. the early 4th century. It certainly existed by the 1993, 340–354 [15] L. K. Little (ed.), Plague and
6th century, and it was enlarged in the 11th, prob- the End of Antiquity. The Pandemic of 541–750,
ably continuing its operations until the late 12th 2007 [16] T. S. Miller / J. W. Nesbitt, Walking
century [12]; [16]. Corpses. Leprosy in Byzantium and the Medieval
West, 2014 [17] R. Sallares et al., Identification
of a Malaria Epidemic in Antiquity Using Ancient
E. Malaria DNA, in: K. A. Robson Brown (ed.), Archaeologi-
Malaria was endemic across much of the cal Sciences 1999, 2003, 120–125 [18] D. Stathako-
Mediterranean until the 20th century, especially poulos, Famine and Pestilence in the Late Roman
in swampy or low-lying regions (e.g. around and Early Byzantine Empire. A Systematic Survey
Rome, in the Po Valley and much of Greece). The of Subsistence Crises and Epidemics, 2004 [19] D.
Corpus Hippocraticum (4th–3rd cents bc) and Stathakopoulos, Prêcher les émotions incarnées.
Galen (2nd/3rd. cents. ad) already knew of the Évêques, mendiants et leurs publics dans l’Antiquité
disease. It had a high mortality rate, particu- tardive, in: Médiévales 61, 2011, 25–37 [20] D. Sta-
thakopoulos, Death in the Countryside. Some
larly among children, and it could weaken entire
Thoughts on the Effects of Famine and Epidemics, in:
populations that were chronically exposed to Antiquité tardive 20, 2012, 105–114 [21] R. Volk, Der
the pathogen. It is assumed that communities medizinische Inhalt der Schriften des Michael Psellos
exposed to malaria over a long period developed (MBM 32), 1990.
thalassaemia, a form of anaemia that confers
some resistance to malaria. Malaria has recently Dionysios Stathakopoulos
been demonstrated in skeleton finds for the first
time, in an excavation of a 5th-century villa in 13.7. Therapies
Central Italy [17]. Despite – or indeed because of
– its prevalence, cases conclusively identifiable as A. Principles
malaria are rather rare in the sources (conceivably B. Applications
Xene/Maria, second wife of Manuel I; John Kinna-
mos, Epitome 609, 640) [18101–103]. A. Principles
Like ancient medicine, Byzantine medicine
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and thus on the theory of humours [18]; [715–37].
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by K. N. Sathas, 1872–1894 [3] The Miracles of St. bile and black bile – and the body’s innate heat
Artemios, edited by V. S. Crisafulli and J. W. Nesbitt,
1997 [4] Theodore Prodromos, Historische
(Latin calor innatus), which were all related to the
Gedichte (WBS 11), edited by W. Hörandner, 1974. environment and the entire cosmos (explaining
why a good doctor was also expected to be con-
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[5] O. Benedictow, The Black Death, 1346–1353. ments (air, water, earth, fire) were associated with
The Complete History, 2004 [6] P. S. Codel- the qualities of heat, cold, moisture and dryness,
las, The Case of Smallpox of Theodorus Prodromus which informed the four seasons, in turn affecting
(XIIth Cent. a.d.), in: BHM 20, 1946, 207–215 [7] the human organism – especially through food,
M.-H. Congourdeau, La société byzantine face the components of which, being material products
aux grandes pandémies, in: É. Patlagean (ed.), of the world, also had the four qualities in differing
Maladie et société à Byzance, 1993, 21–41 [8] M.-H. proportions (Syntagma of Simeon Seth; cf. → 13.3.
Congourdeau, Le traducteur grec du traité de Medical writings) – and its humours (Hippocrates,
Rhazès sur la variole, in: A. Garzya / J. Jouanna
(eds.), Storia e ecdotica dei testi medici greci, 1996,
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à Constantinople de 1348 à 1466, in: Medicina nei humours were in equilibrium and correctly posi-
secoli 11/2, 1999, 377–390 [10] A. Hohlweg, Zur tioned (which also characterized the ages of life)
Geschichte der Lepra in Byzanz, in: J. H. Wolf within the organism. Disruption of these (dyscra-
(ed.), Aussatz – Lepra – Hansen-Krankheit. Ein Men- sia) manifested itself in illness. A cure demanded
schheitsproblem im Wandel, part 2: Aufsätze, 1986, a holistic approach, recognizing causative factors
69–78 [11] H. Hunger, Thukydides bei Johannes and compensating for imbalances in the sufferer’s
Kantakuzenos. Beobachtungen zur Mimesis, in: JÖB surroundings and organism (‘opposites for oppo-
25, 1976, 181–193 [12] E. Kislinger, Zur Lage der
Leproserie des Pantokrator-Typikon, in: JÖB 42, 1992,
sites’; Latin contraria contrariis). A properly bal-
171–175 [13] K. P. Kostes, Στον καιρό της πανώλης, anced diet was particularly important, and dietary
1995 [14] K.-H. Leven, Zur Kenntnis der Pocken calendars offered monthly programmes [21].
in der arabischen Medizin, im lateinischen Mittelal- This concept, reminiscent of modern alter-
ter und in Byzanz, in: O. Engels / P. Schreiner native medicine, had one critical failing in that
(eds.), Die Begegnung des Ostens mit dem Westen, the role of microbes (bacteria, viruses) was over-
481 13.7. therapies

looked, since they were beyond human perception Topical medicines were mainly administered as
and undetectable, let alone recognizable as caus- salves, often in poultices and compresses (emplas-
ative agents. Blood analysis was non-existent. The tra), impregnated with wax, honey and oil. For
only empirical method for identifying pathogenic internal use, ingredients (of vegetable, animal or
processes was uroscopy [9]. Only the idea of the mineral origin) in pastille form (trochiskoi) were
miasma as a stain or impurity in the surroundings, swallowed or dissolved in liquid (often wine) and
especially in the air (caused by animalia quaedam drunk. Anal suppositories and enemas were also
minuta, quae non possunt oculi consequi, ‘animals administered, and even fumigation (especially of
so minute that they are invisible to the eye’, Varro, the vagina). The composition and active ingre-
Rust. 1,12,2), came close to an understanding of dients of the individual recipes (e.g. camel dung
infectious disease (→ Common illnesses (13.5.) may have an antibiotic effect; cf. Miracula Cyri
[14615 f.]. et Iohannis 18; 23 [2]) still await comprehensive
analysis [20]; [22], which will require researchers
B. Applications to bring to bear broad knowledge of philology,
The Byzantines were therefore powerless in the pharmacology, medicine and chemistry.
face of → epidemics (13.6.). The endemic leprosy,
for instance, was treated by isolating the patient (a Bibliography
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diet left them more prone to disease [1533–36, 105–107]; tio’ cristiana, 1975 (with edition) [3] Theophanes
Confessor, Chronographia, 2 vols., edited by C. de
[16133–135]. Monasteries also offered free meals for Boor, 1883–1885.
those in need [24].
When a person became ill, therapeutic mea- Secondary literature
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ics, purgatives and laxatives, holistic medicine ici di Niceta. Firenze, Biblioteca medicea laurenziana,
and (magical) placebos (bordering on the miracle Plut. 74.7. Tradizione medica classica a Bisanzio,
cult) comprised firstly the topical or internal (usu- 2010 [5] L. J. Bliquez, Two Lists of Greek Surgi-
ally oral) administration of pharmaceuticals, and cal Instruments and the State of Surgery in Byzantine
secondly surgical interventions (including cuta- Times, in: J. Scarborough (ed.), Symposium on
neous cauterization, probably to stimulate the Byzantine Medicine (DOP 38), 1984, 187–204 [6]
immune system). Surgery rarely ventured into the L. J. Bliquez, The Surgical Instrumentarium of
Leon Iatrosophistes, in: Medicina nei secoli 11/2, 1999,
interior of the body (although bladder stones were
291–322 [7] P. Carrick, Medical Ethics in Antiq-
removed via catheters, cf. Vita of Theophanes [3]), uity. Philosophical Perspectives on Abortion and
which is understandable given the limited or non- Euthanasia, 1985 [8] C. Cupane / E. Kislinger,
existent scope for bleeding control, blood transfu- Bemerkungen zur Abtreibung in Byzanz, in: JÖB 35,
sion and disinfection. 1985, 21–49 [9] K. Dimitriadis, Byzantinische
Surgery became far rarer after the Early Byz- Uroskopie, 1971 [10] S. Geroulanos, Surgery in
antine period – in which the anargyroi (→ 13.1. Byzantium, in: M. Grünbart et al. (eds.), Material
Medical profession), for all their distance from Culture and Well-Being in Byzantium (400–1453),
their secular colleagues, certainly reached for 2007, 129–134 [11] A. Hohlweg, Johannes Aktu-
the scalpel. The only exception was phlebotomy arios. Leben, Bildung und Ausbildung. De methodo
medendi, in: BZ 76, 1983, 302–321 [12] E. Kislinger,
(bloodletting), which often made a diseased body Der kranke Justin II. und die ärztliche Haftung bei
even weaker. Lists of medical instruments [5]; [10] Operationen in Byzanz, in: JÖB 36, 1986, 39–44 [13]
and the various interventions enumerated by Leo E. Kislinger, Zur Lage der Leproserie des Pantokra-
Iatrosophistes (→ 13.3. Medical writings) [6] may tor-Typikon, in: JÖB 42, 1992, 171–175 [14] K.-H.
merely reflect obsolete knowledge [4] rather than Leven, Miasma, in: K.-H. Leven (ed.), Antike Med-
contemporary realities. An operation to separate izin. Ein Lexikon, 2005, 615–616 [15] P. Magda-
conjoined twins, frequently cited as evidence to lino, Medieval Constantinople, in: P. Magdalino,
the contrary (Theoph. Cont. 463 [1]), was an act Studies on the History and Topography of Byzantine
of desperation after one twin died, and it failed Constantinople, 2007, I, 1–111 [16] H. J. Magoulias,
The Lives of the Saints as Sources of Data for the His-
[19]. The custom that the patient handed the scal-
tory of Byzantine Medicine in the Sixth and Seventh
pel to the surgeon before the operation, which is Centuries, in: BZ 57, 1964, 127–150 [17] T. S. Miller
regularly attested, betrays a lack of confidence, as / J. W. Nesbitt, Walking Corpses. Leprosy in Byzan-
it was clearly intended to forestall liability claims tium and the Medieval West, 2014 [18] I. W. Mül-
[12]. Abortions had no surgical component [8]. ler, Humoralmedizin. Physiologische, pathologische
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und therapeutische Grundlagen der galenistischen macology, in: J. Scarborough (ed.), Symposium on
Heilkunst, 1993 [19] G. E. Pentogalos / J. G. Las- Byzantine Medicine (DOP 38), 1984, 213–232 [23] J.
caratos, A Surgical Operation Performed on Sia- Scarborough (ed.), Symposium on Byzantine Med-
mese Twins during the Tenth Century in Byzantium, icine (DOP 38), 1984 [24] R. Volk, Gesundheitswe-
in: BHM 58, 1984, 99–102 [20] J. M. Riddle, Quid sen und Wohltätigkeit im Spiegel der byzantinischen
pro quo. Studies in the History of Drugs, 1992 [21] Klostertypika (MBM 28), 1983.
R. Romano, Il calendario dietetico di Ierofilo, in:
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14. Music
14.1. Liturgical music and the traditions of Only two hymns have come down from the 2nd
liturgical song century: Phos hilaron (‘O Gladsome Light’) for Ves-
14.2. Sticherarion pers and Doxa en hypsistois theoi (‘Glory to God
14.3. Heirmologion in the Highest’) for Matins [14146–156]. Free hymnal
14.4. Psaltikon and Asmatikon texts, called troparia, began to flow more abun-
14.5. Akolouthia dantly into the offices in the 4th century, and they
14.6. Melodes and composers were inserted between the verses of the psalms. A
14.7. Choral and solo chant number of liturgical spheres of influence can be
14.8. Notation recognized. For the Early Byzantine period these
14.9. Music theory were Syria and Palaestina.
14.10. Musical instruments
14.11. Ensembles B.2. Syria, in particular Antioch and
Edessa
14.1. Liturgical music and the traditions The earliest known exponent of Syriac Christian
of liturgical song hymnography is Ephrem the Syrian, who worked
for most of his life at Edessa in the 4th century. His
A. Music hymns in Syriac were from the outset intended for
B. Liturgical song liturgical use [6]. They comprise verses of identical
formal structure, called madrashé, featuring the
A. Music same number of syllables in couplets (the ‘metre
‘Byzantine music’ is the term used to describe of Ephrem’). This form later heavily influenced
the music that developed in the ecclesiastical and the kontakia of Romanos the Melodist (6th cent.).
secular spheres in the later Roman, then Byzan- Ephrem also used individual hymns as polemics in
tine Empire during the period from the elevation the theological confrontation with the Arians (on
of Constantinople to imperial capital in 330 to Arianism cf. → 7.1. Doctrinal history B.1.).
its conquest by the Ottomans in 1453 and there- Severus of Antioch also exerted great influence
after to the 17th/18th centuries. The substrate for on liturgical song in the late 5th/early 6th century.
this art form was the Greek language and culture, Born in Egypt, he became patriarch of Antioch in
along with the languages and cultures of the other the early 6th century and wrote religious hymns
peoples belonging to the Byzantine ecclesiastical and secular songs to bring the people closer to the
oecumene. Sacred music is richly documented, Church. Codex GB-Lbl Add. 17134 (now in Lon-
beginning in the 10th century, in manuscripts of don), which contains 295 hymns, was probably
musical liturgy (→ 14.2. Sticherarion; → 14.3. Heir- copied in the late 7th century. Some of the songs
mologion; → 14.4. Psaltikon and asmatikon), but have indications of mode. Most of Severus’ surviv-
most secular vocal and instrumental music was ing hymns are in Syriac translation.
transmitted orally. Church music was always
purely vocal, with no instrumental accompani- B.3. Palaestina, including Jerusalem
ment. The choir of singers was understood as a and the Sabas Monastery
reflection of the archetypal choir of angels, an One important source for the → liturgy (7.2.) in
idea expressed in a particular way through the Palaestina is the travel report of the Spanish nun
song of the Cherubikon during the celebration of Egeria [4]. She was in the Holy Land between 381
the Eucharist. and 384, and her account tells of the services at
the various stations of worship at the Holy Places.
B. Liturgical song She describes an antiphonal chant performed by
two alternating choirs, with short poetic strophes
B.1. Introduction inserted between the verses of the psalms.
B.2. Syria, in particular Antioch and Edessa Another source of interest is the Armenian Lec-
B.3. Palaestina, including Jerusalem and the tionary – a liturgical book that the Armenian com-
Sabas Monastery munity at Jerusalem translated into their language
B.4. Constantinople: Cathedral rite for use in the early 5th century [3]. It, however,
B.5. Constantinople: monastic tradition attests only to responsorial psalmody.
B.6. Mount Athos The Georgian Lectionary gives important evi-
dence of the development of Greek hymnody in
B.1. Introduction Palaestina. It records, in the Georgian language,
Until the 4th century, liturgical song was pri- the liturgy of community worship in the city of
marily made up of the psalms and biblical odes. Jerusalem from the 5th to the 8th century. Poetic
14.1. liturgical music and the traditions of liturgical song 484

hymns replaced psalmodic refrains, and there are of a continuous psalmody was formative for the
many instances of antiphonal chant. It reveals a orthros (Matins) and hesperinos (Vespers).
broad spectrum of alternating choral song [8]. Only a few non-biblical chants entered the
Patriarch Sophronios of Jerusalem (634–638) offices, the most important type being the konta-
worked as a hymnographer in the first half of the kion, which developed out of the madrashé under
7th century. The stichera idiomela of the Christmas the influence of Antioch. Its leading exponent
cycle are his handiwork [14357–361]. was Romanos Melodos (Romanos ‘the Melode’ or
Three great melodists were prominent in ‘Melodist’). Romanos came from Syria and wrote
Palaestina between the second half of the 7th a great many hymns for all festival days of the
century and the middle of the 8th: Andrew, later Church year in the first half of the 6th century.
bishop of Crete, who subsequently lived in the What was originally a syllabic melody evolved by
Monastery of the Holy Sepulchre in Jerusalem, the 10th century into a richly embellished, melis-
and John of Damascus and Kosmas of Maiuma matic chant.
(or Jerusalem), both of whom worked at the Sabas Leo VI (886–912) made an important contribu-
Monastery in Jerusalem. The canon, an Ortho- tion to the Oktoechos cycle and the eleven Gospels
dox form of hymn based on the biblical canticles, of the Resurrection with his eleven heothina anas-
reached their zenith in Palaestina under their tasima, morning hymns in free, rhythmical prose.
influence. John, an eminent theologian, was also They were later augmented by the eleven exapos-
responsible for the stichera anastasima in the teilaria anastasima (in pentadecasyllables) by his
eight modes (echoi) of Byzantine ecclesiastical son Constantine VII (913–959). The latter’s Book of
music (→ 14.2. Sticherarion; → 14.9. Music theory). Ceremonies frequently documents the close asso-
These are resurrection hymns that were sung on ciation between imperial and patriarchal ceremo-
Saturday evenings and Sunday mornings. They are nial [5].
part of the Oktoechos, which constitutes a cycle of
liturgical songs in the eight modes for a period of B.5. Constantinople: monastic
eight weeks [1vol. 2, 87–102]. Theoretical writings of the tradition
Late Byzantine period also call John the inventor The Arab invasion of Palaestina posed a grave
of cheironomy, the system of hand gestures allow- threat to the Church there. Many monks moved to
ing a chorus director to illustrate the melodic line Constantinople in the 8th century, particularly to
of a hymn to the singers [1238–46], but the claim is the Stoudios Monastery, which would play a vital
dubious. role during the Eikonomachia (cf. → 7.1. Doctrinal
The monasteries in Palaestina were subject history C.) given the monks’ stubborn insistence
to the powerful influence of the urban liturgy of on icon veneration. This monastery had a major
Jerusalem, but monastic communities far from cit- influence on the development of the musical lit-
ies, for instance in the Egyptian desert, were not. urgy after the mid-8th century. The adoption of
Initially, they rejected song altogether. The 150 canons and stichera from the Palaestinian tradi-
psalms of the Psalter (see below, B.4.) were their tion greatly expanded the monastic musical rep-
authoritative liturgical book [14172–174]. ertoire for the liturgy. The Stoudios Monastery
adopted the Liturgy of the Hours from the Sabas
B.4. Constantinople: Cathedral rite Monastery in Palaestina in 799. It also took on
The patriarchal church of Constantinople was parts of the ‘sung offices’ of the Great Church
initially influenced by the liturgy of Antioch. A dis- (i.e. Hagia Sophia) [2]. The great abbot Theodore
tinct rite began to develop in the late 5th century Stoudites helped the kontakion to a resurgence in
to take account of the presence of the patriarch the late 8th and early 9th centuries and also wrote
and emperor during the offices. The building of many canons and the anabathmoi, chants for the
the new Hagia Sophia in the reign of → Justinian Oktoechos. His brother Joseph wrote the stich-
(2.3.; 527–565) then accommodated this imperial era prosomoia for Lent. Another monk from the
rite in unique ways. The asmatike akolouthia, or Stoudios Monastery, Joseph Hymnographos (‘the
‘sung office’, developed for daily Matins and Ves- hymn-writer’), further enriched the canon reper-
pers and the Sunday Eucharist [1164–128]. Justinian toire in the 9th century.
took a keen interest in the development of the While the Constantinopolitan monasteries
liturgy at Hagia Sophia, personally composing were creating a rich hymnological repertoire, the
the troparion that begins ho monogenes hyios (‘the rite of Hagia Sophia remained relatively unal-
only begotten son’) [14178]. tered. Not until the 9th or 10th centuries did the
The Psalter served as the basis for a diverse kontakia and some hymns from the liturgy poten-
hymnology and was of great significance to the tially evolve into the melismatic chants that are
offices. In the cathedral rite, it was divided into 74 documented in the → asmatika/psaltika (14.4.) of
or 76 psalm antiphons, augmented with 15 biblical the 13th and 14th centuries. The Latin conquest
odes from the Old and New Testaments. This cycle of Constantinople in 1204 led to the adoption of
the monastic rite at Hagia Sophia as the Liturgy
485 14.2. sticherarion

of the Hours. From now on, a ‘mixed’ rite applied Μουσικολογίας), 1975–1993 [14] E. Wellesz, A His-
at the secular and monastic centres alike. tory of Byzantine Music and Hymnography, 21961.
The Hagia Sophia asmatike akolouthia from
Constantinople survived in an updated form at Gerda Wolfram
Thessalonica in the 15th century. Simeon became
archbishop of Thessalonica in 1416 and introduced 14.2. Sticherarion
the ‘sung offices’ to the Hagia Sophia in his metro-
politan see [11204–223]. A. Definition and content
B. History
B.6. Mount Athos
The monasteries of Mount Athos were a great A. Definition and content
influence on musical development, particularly in The sticherarion is a hymnal containing the
the Late Byzantine period. The style of kalopho- music for the stichera that were sung together
nia, which prevailed in liturgical chant over the with the regular psalms at Matins and Vespers.
course of the second half of the 13th century, was The name sticheron derives from the insertion of
to a large extent influenced by the melodes of the these chants between the last four, six or eight
sacred mountain. The reformer of the books of psalm verses, or stichoi, and the ensuing doxology.
musical liturgy, the melode John Koukouzelis, was The purpose was to link the offices with the par-
a monk of the Great Lavra on the mountain. He ticular saint’s festival. Originally, stichera belonged
wrote many important liturgical chants, and a rich to the genre of short, single-strophe hymns called
store of musical manuscripts attests to the creative troparia, making them part of the oldest reper-
powers of the Athos monks [13]. toire of Byzantine music. Some may date back to
Late Byzantine and post-Byzantine liturgical the 7th and 8th centuries. A sticherarion does not
manuscripts frequently indicate the origin of indi- follow the sequence of the individual offices, but
vidual chants, e.g. Hagioreitikon, Thessalonikaion, rather the calendar of the Church Year. The hym-
Hagiopolitikon and Hagiosophitikon. These were nals thus give hymns for each festival in succes-
intended as indications of a particular local style. sion, arranged under the festival headings usually
Maps and plans: Maps 9–10; Plans 1–2 by mode.
The overall structure of a sticherarion was in
Bibliography three parts, reflecting the structure of the Ortho-
dox liturgical year, and it contained around 1,400
Sources chants in total. During the 12th century, various
[1] The Hymns of the Octoechus, 2 vols. (MMB Tran-
scripta 3, 5), edited by H. J. W. Tillyard, 1940–1949 [2] collections developed out of the three parts of
Le typicon de la Grande Église. Ms. Saint-Croix n° the sticherarion: (1) the twelve-volume ‘book of
40, 2 vols. (OCA 165–166), edited by J. Mateos, 1962– months’ or menaion for the fixed festivals of the
1963 [3] Le codex arménien Jérusalem 121, 2 vols. Church Year, running from September 1 to August
(PO 35/1, 36/2), edited by A. Renoux, 1969–1971 [4] 31; (2) chants for the movable observances, com-
Itinerario de la virgen Egeria (381–384)/Peregrinatio prising the triodion for the ten weeks of Lent run-
Aetheriae, edited by A. Arce, 1980 [5] Constan- ning up to Easter, and the pentekostarion for the
tin Porphyrogennetos, Le livre des cérémonies, period between Easter and Pentecost, and (3) the
2 vols., edited by A. Vogt, 1967 [6] Ephrem the oktoechos – cycles of three chants per echos for
Syrian, Lobgesang aus der Wüste (Sophia 7), edited
by E. Beck, 1967 [7] Symeon of Thessalonica,
eight Sunday offices and the Saturday evening.
Περὶ τῆς θείας προσευχῆς, in: Symeon of Thessa-
lonica, Opera omnia (PG 155), 1866, 536–670. B. History
The sticherarion may already have begun
Secondary literature emerging in the 8th century. Several hundred
[8] P. Jeffery, Jerusalem and Rome (and Constan- survive from before 1500, but the earliest date
tinople). The Musical Heritage of Two Great Cities in from the 10th/11th centuries. These are written in
the Formation of the Medieval Chant Traditions, in: paleobyzantine adiastematic Chartres and Cois-
L. Dobszay et al. (eds.), International Musicological lin → notation (14.8.), i.e. using a repertoire of
Society, Study Group Cantus Planus (Papers Read at neume-like symbols that neither indicate abso-
the Fourth Meeting, Pécs 1990), 1992, 163–174 [9] S. lute pitch nor reliably reflect relative pitch, and
Kujumdžieva, Ранните осмогласници, 2013 [10]
H. Leeb, Die Gesänge im Gemeindegottesdienst von
they do not yet reproduce the full repertoire, as
Jerusalem (vom 5. bis 8. Jahrhundert), 1970 [11] A. L. the later manuscripts in Middle Byzantine nota-
Lingas, Sunday Matins in the Byzantine Cathedral tion would, because many chants no longer in use
Rite. Music and Liturgy, 1996 [12] N. K. Moran, (the so-called apokrypha) had by then been dis-
Singers in Late Byzantine and Slavonic Painting, carded. These reductions gave rise to the Standard
1986 [13] G. T. Stathēs, Τὰ Χειρόγραφα Βυζαντινῆς
Μουσικῆς. Ἅγιον Ὄρος, 3 vols. (Ἵδρυμα Βυζαντινῆς
14.3. heirmologion 486

Abridged Version (SAV) of the sticheraria, contain- O. Strunk, Essays on Music in the Byzantine World,
ing a total of 750 sticheraria idiomela for the fixed 1977, 191–201) [8] C. Troelsgård, What Kind of
festivals of the Church Year. In terms of sequence Chant Books Were the Byzantine Sticheraria?, in: L.
and melodies, this repertoire then remained fairly Dobszay (ed.), International Musicological Society,
Study Group Cantus Planus (Papers Read at the 9th
stable until the 15th century [985–138]. Meeting of the IMS Study Group, Esztergom/Visegrád
Beginning around the 13th century, the hymns 1998), 2001, 563–574 [9] N.-M. Wanek, Sticheraria
of the sticherarion were revised in the freer kaloph- in spät- und postbyzantinischer Zeit. Untersuchungen
onic style, which permitted greater vocal elabora- anhand der Stichera für August, 2013.
tion, e.g. abundant ornamentation and sequences.
These stichera were collected in the Sticherarion Nina-Maria Wanek
kalophonikon, which brought together melodies
by the most important composers, and which 14.3. Heirmologion
from the mid-15th century came to be known as
the Mathematarion. Finally, the chants from these A. Definition, content and structure
collections arranged by genre were rearranged B. History
to reflect the actual sequence of the office con-
cerned, beginning in the 14th century. The stichera A. Definition, content and structure
underwent further reduction in the course of this Alongside the → sticherarion (14.2.), the heir-
process. mologion was one of the most important hymnal
Only a few post-Byzantine (15th/16th-cent.) book types in Byzantine → liturgical music (14.1.).
sticheraria survive. This is partly because a short- It is attested as early as the 10th/11th centuries
age of paper meant that only the chants that were and contained the heirmoi (‘links’), i.e. the initial
indispensable to liturgical practice were written strophes of the odes of the canon that gave the
down, excluding those that were used so often melody. The structure of the heirmologion was
that any singer would know them by heart. Finally, built on the eight modes (echoi) used in Byzantine
during the 16th and 17th centuries, the large and church music, but did not follow the placement of
unwieldy sticheraria evolved into specific manu- the canons in the sequence of the liturgical year.
script types that arranged chants according to It comprised the canons to the eight or nine bibli-
their liturgical use [9185–238]. There were probably cal odes for the twelve months of the fixed Church
both stylistic and practical reasons for the emer- Year, the Paschal and Pentecostal cycle and the
gence of these specific genres. Containing differ- octoechal (i.e. eight-mode) resurrection hymns.
ent songs according to liturgical sequence rather The canons were originally linked with the
than by genre, these new collections provided canons of the nine odes (biblical canticles) con-
manuals that were practical and, especially, easily tained in the office of Matins. Heirmoi were listed
manageable for singers in daily liturgical use. for each echos in → akolouthiai (14.5.) (‘series’,
‘sequences’) of eight or nine odes. The second ode
Bibliography was only sung during Lent, so the standard was for
eight. Each ode comprises three or four strophes
Sources of similar structure, sung to the same melody.
[1] Sticherarium. Codex Vindobonensis Theol. Graec. The heirmologion does not contain the complete
181 (MMB. Serie principale 1), edited by C. Høeg et canons, but only the first strophe of the ode, the
al., 1935 [2] Die Hymnen des Sticherarium für Sep- heirmos. The heirmoi are consequently also seen as
tember (MMB. Transcripta 1), edited by E. Wellesz,
1936 [3] The Hymns of the Sticherarium for Novem-
models for the following strophes of the ode, the
ber (MMB. Transcripta 2), edited by H. J. W. Tillyard, troparia, i.e. the troparia take their melodic and
1938 [4] Sticherarium antiquum Vindobonense. metrical form from the heirmoi. The heirmologion
Codex theol. gr. 136, Bibliothecae Nationalis Austria- was intended for the exclusive use of a psaltes. It
cae (MMB. Serie principale 10), 2 vols., edited by G. may also have been used more as an exercise and
Wolfram, 1987. teaching book for the learning the model strophes
by heart than in actual liturgical practice.
Secondary literature In terms of structure, two versions of the
[5] S. V. Lazarević, Sticherarion. An Early Byzan- heirmologion exist. (1) ‘Canon order’ (KaO): the
tine Hymn Collection with Music, in: BSl 29, 1968, heirmoi follow the sequence of the canons. One
290–318 [6] J. Raasted, Koukouzeles’ Revision of heirmos is listed for each ode of the canon, fol-
the Sticherarion and Sinai gr. 1230, in: J. Szendrei /
D. Hiley (eds.), Laborare fratres in unum. Festschrift
lowed by the next canon. The sequence also takes
L. Dobszay, 1995, 261–277 [7] O. Strunk, Melody account of the eight modes. (2) The ‘order of the
Construction in Byzantine Chant, in: G. Ostro- odes’ (OdO): the heirmologion is also divided into
gorski (ed.), Actes du XIIe congrès international eight parts according to the eight modes. For each
d’études byzantines, 1963, 365–373 (reprinted in: mode, however, all heirmoi are given in order,
487 14.4. psaltikon and asmatikon

regardless of the particular canon with which they The Contents of Some Early Heirmologia, in: CIMAGL
were originally associated. Each mode is therefore 8, 1972, 35–47 [8] M. Velimirović, The Byzantine
further subdivided into eight or nine sections, Heirmos and Heirmologion, in: W. Arlt et al. (eds.),
containing all heirmoi for the ode concerned. In Gattungen der Musik in Einzeldarstellungen. Gedenk-
schrift L. Schrade, 1973, 192–244.
contrast to canon order, the canon is therefore not
shown in its entirety. Nina-Maria Wanek

B. History
Some 40 heirmologia are preserved from 14.4. Psaltikon and Asmatikon
between the 10th and 15th centuries. This modest
total may reflect the fact that heirmologia, which The psaltikon was the soloist’s song book. It
as model books were used for learning basic mel- included a repertoire of chant types that origi-
odies, were used more heavily than → sticheraria nated in the cathedral chant of 10th-century
(14.2.), for instance, and wore out more quickly. Constantinople (→  14.1. Liturgical music). The
Because they were sung every week, they were most important part of this musical liturgy book
also more susceptible to change than melodies comprised the kontakia, and it also included
that were only used once a year. Another reason allelouiaria, hypakoai and prokeimena. Only a few
behind the small number of surviving heirmologia manuscripts survive, most of them from Southern
is believed to be that a manuscript had essentially Italy (e.g. [1]). Some manuscripts include both the
outlived its usefulness once the model strophes soloist’s psaltikon and the asmatikon for the spe-
had been learned by heart, and when one was cially trained small choir.
copied, the order and content of the heirmoi could The psaltikon style is found in manuscripts dat-
also be changed. ing from the late 12th to the 15th century. A dis-
The oldest heirmologia date from the 10th–12th tinction can be made between a short and a long
centuries, follow the canon order and are in Char- style [7]. In general, it was a highly melismatic
tres or Coislin → notation (14.8.). These codices singing style for the solo singer, rich in stereotypi-
contain a variable number of canons per echos, cal melodic phrases that could be elongated or
averaging around 40. A total of around 300–350 abbreviated. Long vocalises, interpolated intona-
canons are contained in these manuscripts, put- tion formulae and word repetitions are particu-
ting the total number of surviving heirmoi at larly typical of the style of the kontakia, which
between 2,500 and 3,200. The number of canons were shortened, very probably in the 10th century,
and heirmoi were steadily reduced through to the to the introductory prooimion and the first stro-
15th century, until only around 100–120 canons, phe, called the oikos. The only example preserved
and 800–1,000 heirmoi, remained for the entire in its entirety (24 strophes) is the Akathistos Hym-
collection. nos [2]. Besides the poetic texts of the kontakia,
the alleluiaria and prokeimena, which served to
Bibliography frame biblical readings, were dominated by psalm
verses. The hypakoai were hymns sung at Matins
Sources on Sundays and holy days, and probably origi-
[1] Hirmologium cryptense (MMB. Serie principale 3), nated in the Jerusalem order of service. They are
edited by L. Tardo, 1951. preserved in different styles in both the psaltikon
and the asmatikon.
Secondary literature The repertoires of the psaltikon and asmatikon
[2] R. von Busch, Untersuchungen zum byz-
antinischen Heirmologion des Echos Deuteros,
were closely related. Both reflect the ‘sung’ office,
1971 [3] S. Harris, The ‘Kanon’ and the Heirmolo- the cathedral rite of Constantinople. They are
gion, in: Music and Letters 85, 2004, 175–197 [4] S. complementary genres, each with its own content,
Martani, Die Heirmologia des 14. Jahrhunderts. Eine function and style. Whereas the kontakia were sung
melodische Sprache zwischen Tradition und Neuent- by a psaltes, its refrains were performed by a small,
wicklung, in: G. Wolfram (ed.), Tradition and Inno- specialist choir (→ 14.7. Choral and solo song). In
vation in Late- and Postbyzantine Liturgical Chant, the allelouaria, the psaltes first intoned the Alle-
2008, 13–35 [5] I. Papathanasiou, An ‘Abridged’ luia, then continued with a psalm verse that the
Analysis of Heirmologion and Sticherarion Melodies choir then took up and sang to its end. The soloist
of the Fourth Authentic Mode, 1996 (www.igl.ku.dk/ and choir performed the prokeimena in a similar
MMB/papers/papathan.html) [6] J. Raasted,
Observations on the Manuscript Tradition of Byzan-
way [6]. Only the koinonika, or congregational
tine Music I: A List of Heirmos Call-Numbers, Based chants, belonged to the repertoire of the asma-
on Eustratiades’s Edition of the Heirmologion, in: tikon alone. Here too, psalm verses determined the
CIMAGL 1, 1969, 1–12 [7] J. Raasted, Observations text [4]. So-called asmatic syllables, such as ne, na,
on the Manuscript Tradition of Byzantine Music II: ch and ou supported long melismatic phrases sans
14.5. akolouthia 488

paroles, while double-gamma rises are commonly the monasteries had already initiated a process
found in the melodies of the psaltikon. of change that led to a freer, melismatic composi-
The chants of the asmatikon differ in their for- tional style. The key figure of the new movement
mal repertoire from those of the psaltikon, and came from Mount Athos, and the Megiste Laura
they are simpler in structure. In both, virtually monastery: John Koukouzelis. It was under his
all melodies can be reduced to independent stan- influence that the liturgical books and their hym-
dard formulae that occur in variable combinations nology and psalmody were reorganized at the turn
within the repertoire. Most are associated with of the 14th century. The dominant musical idiom
specific degrees, e.g. the final and transposition of kalophonia, a richly ornamented chant, which
to the upper fourth and lower fifth within a series quickly became established around 1300, found its
of modes. These two books of musical liturgy may way into the new taxis kai akolouthia (‘order and
only have been used for the greatest festivals at sequence’), i.e. the order of the sung liturgy of the
the monastic centres, e.g. for the performance hours. Although the preservation of the musical
of the great troparia at the Christmas and Epiph- tradition was an important criterion for melodes/
any vigils. composers, they were now creating new forms of
The preservation of cathedral chant from 10th- expression on the basis of the old chants. The old-
century Constantinople is visible in the palaeo- est known codex of the taxis kai akolouthia is GR-
Slavic manuscripts of the 12th and 13th centuries EBE 2458 (Athens) dating from 1336.
known as kondakaria. While the texts are trans- The taxis kai akolouthia intended for the solo-
lated into Old Church Slavonic, the manuscripts ist almost always begins with a papadike, a short
preserve a notational style related to Chartres introduction to the theory of Byzantine ecclesi-
→ notation (14.8.), with two rows arranged verti- astical chant addressed primarily to the singer.
cally. The lower row contains interval signs, and The ensuing vocal exercise by John Koukouzeles
the upper the so-called ‘great signs’ indicating (mega ison) teaches the 60 or so ‘great signs’
melodic formulae [3]; [5]. indicating melodic figures, annotated with their
names (→ 14.8. Notation). The taxis for the first
Bibliography time records communal songs. These are the
regular chants of the office of Vespers, the psalms
Sources and regular chants of the office of Matins and the
[1] Contacarium Ashburnhamense. Codex Bibl. Lau- chants from the liturgies of Chrysostom, Basil and
rentianae Ashburnhamensis 64 (MMB. Serie princi- the Presanctified Gifts (i.e. of the Communion),
pale 4), edited by C. Høeg, 1956 [2] The Akathistos e.g. the trisagia and cherubika. This also included
Hymn (MMB. Transcripta 9), edited by E. Wellesz, the eight psalm tones, consisting of intonations,
1957 [3] Contacarium Palaeoslavicum Mosquense
(MMB. Serie principale 6), edited by A. Bugge, 1960.
recitation tones and cadences. This form of psalm-
ody probably dated back to the 8th century. There
Secondary literature seems to have been an effort to adopt chants that
[4] D. E. Conomos, The Late Byzantine and Slavonic had previously been transmitted only orally into
Communion Cycle. Liturgy and Music, 1985 [5] C. the taxis by means of kalophonic adaptations and
Floros, Die Entzifferung der Kondakarien-Notation, new compositions. The taxis also contains some
in: Musik des Ostens 3, 1965, 7–71 (Fortsetzung in: ‘asmatic’, i.e. melismatic chants of the cathedral
Musik des Ostens 4, 1967, 12–44) [6] G. Hintze, tradition.
Das byzantinische Prokeimena-Repertoire (Ham- The highly melismatic kratemata represented
burger Beiträge zur Musikwissenschaft 9), 1973 [7] a new form of chant now recorded in writing [6].
C. Thodberg, Der byzantinische Alleluiarionzyklus These were autonomous, wordless compositions
(MMB. Subsidia 8), 1966.
that crystallized the apophatic character of the
Gerda Wolfram Prayer of Quiet in the spirit of Hesychasm [6]. They
provided a musical interlude that offered the vir-
tuoso singer considerable scope for vocal improvi-
14.5. Akolouthia sation. They were usually introduced with a psalm
verse as prologos. In addition to these freestand-
The year 1204, when Constantinople was ing kratemata, parenthetical teretismata [344] were
sacked and taken over by the Latins, marked introduced into all forms of chant, in the form of
perhaps the final nail in the coffin of cathedral long passages of meaningless sylolables, e.g. te-re-
chant, which now (if not before) began to fall out rem, to-to-to. Texts were also varied, reversed and
of use. The rite of the Patriarchal Church, which deconstructed in all kinds of different ways, with
had been constantly evolving since the end of the the accompaniment of melismatic sequences,
Iconoclasm in 843 (cf. → 7.1. Doctrinal history C.), ending with meaningless syllables alone [2546–553].
was no longer tenable. By the time the emperor Beginning in the 14th century, music manu-
and clergy returned to Constantinople in 1261, scripts include the chant known as isokratema.
489 14.6. melodes and composers

This involved one or more singers holding the ison was sung standing up during Lent. Worthy of
and the fourth or fifth above it. It moved up or mention alongside Romanos is Andrew of Crete
down when the melos of the chant transitioned to (7th/8th cents.), who wrote a great many hymns
another fourth or fifth. The manuscripts thus con- and homilies and developed the new form of
tain instructions like bastaktai to ison, ‘the bastak- canon (→ 14.3. Heirmologion). Andrew’s work was
tai [are to sing] the ison’, i.e. these singers sustain an important influence on his contemporary John
the fundamental note [436]. of Damascus, to whom are attributed numerous
The repertoire of the taxis kai akolouthia theological treatises and works of spiritual poetry.
changed constantly after 1400. New compositions John was also, among other things, said to have
were regularly added and old chants eliminated. composed some of the canons of the Oktoechos
Even so, these song books preserved their charac- (eight-mode system). Andrew of Crete also influ-
ter even after the Fall of Constantinople in 1453. enced John’s stepbrother, Kosmas of Maiuma/
Akolouthia were still being copied in the 18th and Jerusalem (ca. late 8th cent.), who was particularly
early 19th centuries, long after they ceased to be renowned for his canons for the great festival days
used in the liturgy. of the Church Year [9198–245].
Finally, the designation of ‘melode’ occurred
Bibliography in conjunction with the far-reaching reforms that
[1] G. G. Anastasiu, Τὰ Κρατήματα στὴν Ψαλτικὴ began around the middle of the 14th century, per-
Τέχνη (Ἵδρυμα Βυζαντινῆς Μουσικολογίας, Μελέται taining to both the organization of chant books
12), 2005 [2] Α.G. Chaldaiakēs, Ὁ Πολυέλεος and the musical genres themselves.
στὴν Βυζαντινὴ καὶ Μεταβυζαντινὴ Μελοποιία (Ἵδρυμα The most influential melodes of the last century
Βυζαντινῆς Μουσικολογίας, Μελέται 5), 2003 [3]
D. E. Conomos, Byzantine Trisagia and Cherou-
of Byzantine history included John Koukouzelis
bika of the Fourteenth and Fifteenth Centuries, (ca. 1280–1375), who was not only a composer, but
1974 [4] G. T. Stathēs, Οἱ Αναγραμματισμοὶ καὶ also a singer, scribe, teacher and theorist, and who
τὰ Μαθήματα τῆς Βυζαντινῆς Μελοποιίας (Ἵδρυμα is venerated as a saint in the Orthodox Church.
Βυζαντινῆς Μουσικολογίας, Μελέται 3), 1979 [5] E. V. As a reformer of ecclesiastical chant, he ushered
Williams, John Koukouzeles’ Reform of Byzantine in the new style known as kalophonia (i.e. melis-
Chanting for Great Vespers in the Fourteenth Cen- matic ‘beautiful song’), and with it, a new era in
tury, 1968 [6] G. Wolfram, Die spätbyzantinische Byzantine music. John Glykys (late 13th/early 14th
Gesangsform der Kratemata, in: L. Dobszay (ed.), cents.) is also notable as one of the first composers
International Musicological Society, Study Group
to write works in the kalophonic style and didactic
Cantus Planus (Papers Read at the 9th Meeting of the
IMS Study Group, Lillafüred 2004), 2006, 115–122. songs. Manuel Chrysaphes (active ca. 1440–1463)
also wrote in the new style, becoming one of the
Gerda Wolfram most impressive, renowned and productive com-
posers, singers, scribes and theorists, whose works
invariably display great quality and originality [8].
14.6. Melodes and composers Hardly any female Byzantine composers are
known. All the manuscript record has to offer is
Most of the known composers of Byzantine many works by a composer called Kassia (early
chant lived after 1300 or so. In contrast to the 9th cent.), a hymn by a daughter of John Kla-
West, there are few indications of the identities das and songs from the 13th century by a certain
of melodes (from the Greek meloidos) before this Koubouklisena, who was also said to have directed
date. Most remained deliberately anonymous a female choir [4].
because the focus of hymnody was the glorifica- Byzantine music did not end with the Fall of
tion of God, not of the self. Byzantine music was Constantinople in 1453. Composers of the Otto-
also dominated by the reworking of traditional for- man era focused mainly on revising the → stiche-
mulae and melodies. New and original works were rarion (14.2.) and → heirmologion (14.3.) in the
not required. Chants were consequently revised kalophonic style, producing exegeseis (i.e. writ-
again and again, without disrupting the structures ing out) of melismata, which had hitherto been
of tradition or imposing a personal style. recorded in the shorthand of melodic formulae,
The few hymnographers of the Early Byzantine and in general pursuing greater precision in musi-
period to be known by name include the poet, cal → notation (14.8.). In the late 18th and early 19th
melode and singer Romanos Melodos (5th/6th centuries, composers took a key role in the reform
cents.), to whom legend attributes over 1,000 of church music that had become necessary since,
hymns (kontakia), although only about sixty have with the passage of time since its productive era,
so far been proved authentic. Romanos is cred- the complex structure of Byzantine music made it
ited with the famous Akathistos Hymnos [2] – the increasingly difficult to understand and correctly
‘Akathist Hymn’ (‘unseated hymn’) to Mary that interpret.
14.7. choral and solo chant 490

Bibliography the soloist, called the domestikos of the ambo (pro-

topsaltes since the 12th cent.), who sang the solo
Sources songs and directed the choir with the cheironomia.
[1] Romanos Melodos, Die Hymnen, 2 vols., Under him were two choirs (psaltai) of twelve,
edited by J. Koder, 2005–2006 [2] E. Wellesz, The including one choir leader (domestikos, originally
Akathistos Hymn (MMB. Transcripta 9), 1957. primikerios) each.
The two choirs changed sides weekly. Depend-
Secondary literature ing on their function, singers occupied places on
[3] L. A. Angelopoulos, The ‘Exegesis’ of Chour- or below the ambo, the elevated platform in front
mouzios Hartofylax on Certain Compositions by
Ioannis Koukouzelis, in: C. Troelsgård (ed.),
of the iconostasis. The ambo stood on eight pillars
Byzantine Chant. Tradition and Reform (Acts of a and could be ascended by staircases on the east-
Meeting, Athens 1993), 1997, 109–121 [4] G. Chal- ern and western sides [726–32]. Besides the choirs
daeakes, The ‘Woman Figure’ in Byzantine Melo- and their leaders, the kanonarches also played an
poeia, in: N.-M. Wanek (ed.), Psaltike. Neue Studien important part in the course of the liturgy. He
zur Byzantinischen Musik. Festschrift G. Wolfram, indicated the mode of the chant, then read out the
2011, 65–100 [5] N. K. Moran, Singers in Late Byz- texts of the stichera (→ 14.2. Sticherarion), the can-
antine and Slavonic Painting, 1986 [6] C. Patrine- ons and kontakia verse by verse, whereupon the
lis, Protopsaltae, Lampadarii, and Domestikoi of psaltai would sing that verse [5]. The domestikoi
the Great Church during the Post-Byzantine Period
performed the intonations, and the singers alone
(1453–1821), in: M. Velimirović (ed.), Studies in
Eastern Chant, vol. 3, 1973, 141–170 [7] D. Toulia- sang the psalm verses, without prior recitation by
tos-Banker, Women Composers of Medieval Byz- the kanonarches.
antine Chant, in: College Music Society Symposium Choirs were limited to 24 voices in the monas-
24/1, 1984, 62–80 [8] M. Velimirović, Byzantine teries of Constantinople too [4678]. Each comprised
Composers in Ms. Athens 2406, in: J. Westrup (ed.), two choirs of twelve, each led by a domestikos [715–
Essays Presented to Egon Wellesz, 1966, 7–18 [9] E. 50]. Here, choirs swapped sides annually, at Easter.
Wellesz, A History of Byzantine Music and Hym- The congregation of the Stoudios Monastery also
nography, 1949 [10] E. V. Williams, John Kouk- included boys, whose participation in the offices
ouzeles’ Reform of the Byzantine Chanting for Great required antiphonal singing an octave apart.
Vespers in the Fourteenth Century, 1969.
As the chants at Hagia Sophia evolved into a
Nina-Maria Wanek melismatic repertoire after 900, a soloist and spe-
cialist small choir came to the fore (→ 14.4. Psal-
tikon and asmatikon). The kontakia by now were
14.7. Choral and solo chant
no longer recited verse by verse by the kanonar-
ches, but sung by the soloist, with the small choir
The term antiphonia emerged in the Syrian
of psaltai rounding off each strophe with a refrain.
liturgical sphere of influence centred on Antioch
The prokeimena and allelouiaria were performed
in the 4th century, with two meanings: unison
in the same way. Only the heirmoi (→ 14.3. Heir-
singing by male and female voices an octave apart,
mologion) of the canons and the stichera remained
and two choirs singing in alternation.
the exclusive preserve of the choir [8460–473].
There are also early indications of how chants
Much reconstruction of vocal practice is pos-
were performed in the liturgical tradition of
sible on the basis of the manuscripts of the taxis
Palaestina. In the responsorial psalmody of the
kai → akolouthia (14.5.) of the 14th/15th centuries.
Armenian Lectionary, for instance [2374 f.], the
This was where the term bastaktai first appeared,
psalm stichology is performed by a psaltes, where-
referring to the singers of the ison [8500–503]. The
upon the people (ho laos) respond with a refrain
leader of the left choir was called the lampadarios
(akroteleution or hypopsalma), mostly consisting
in the Late Byzantine period. The solo parts in
of the last words of the psalm stichos (→ 14.2. Stich-
the psalmody, e.g. the kratemata, were sung by a
erarion). ‘People’ in the earliest phase probably
monophonares, also called kalophonares [8174–178].
meant the entire congregation. In monasteries it
Another very frequent term for the choral singing
meant the monastic congregation.
is ho laos apo chorou (‘the people from the choir’).
Greater variety entered the performance of
Indications that parts of a chant should be taken
chant when short hymns in free rhythmical prose
by the other choir are often given as allagma.
began to be inserted between the psalm verses [6].
A choir to the right and another to the left alter-
Bibliography
nated rendition of the entire psalm, while soloists
sang single-strophe hymns between the verses. Sources
Justinian I stipulated that there should be sing- [1] Le typicon de la Grande Église. Ms. Sainte-Croix
ers at Hagia Sophia and its associated churches in n° 40, 2 vols. (OCA 165–166), edited by J. Mateos,
535 (Nov. 3 par 1). The highest position was that of 1962–1963 [2] Le codex arménien de Jérusalem
491 14.8. notation

121, vol. 1 (PO 35/1), edited by A. Renoux, 1969 the earliest stages of the notation is of the rising
[3] Le typicon du monastère du Saint-Sauveur à Mes- or falling of the melody within a group of neumes.
sine. Codex Messinensis GR 115 a.d. 1131, edited by The main job of the notation may have been to
M. Arranz, 1969. indicate the relationship between text and mel-
ody, including a number of traditional melodic
Secondary literature formulae. They served, in other words, as mne-
[4] A. A. Dmitrievskij, Opisanie liturgičeskich
rukopisej chranjaščichsja v bibliotekach pravo-
monic devices. The singer had to be conversant
slavnago vostoka, vol. 1, 1895 [5] C. Hannick, The with the musical language, its aesthetic, its genres
Performance of the Kanon in Thessaloniki in the 14th and its formulae. Syllables without meaning were
Century, in: D. E. Conomos (ed.), Studies in East- not assigned neumes in the archaic notational
ern Chant, vol. 5, 1990, 137–152 [6] H. Leeb, Die phase.
Gesänge im Gemeindegottesdienst von Jerusalem Six stages of development can be identified in
(vom 5. bis 8. Jahrhundert), 1970 [7] N. K. Moran, Coislin notation, four in Chartres [2305–326]. Both
Singers in Late Byzantine and Slavonic Painting (Byz- systems have rather a large range of symbols in
antina Neerlandica 9), 1986 [8] E. Spyraku, Οἱ common, but Chartres at a higher stage of devel-
χοροὶ ψαλτῶν κατὰ τὴν βυζαντινὴ παράδοση (Ἵδρυμα
opment has considerably more stenographic
Βυζαντινῆς Μουσικολογίας, Μελέται 14), 2008.
symbols, expressing melodic formulate of differ-
Gerda Wolfram ent lengths. The note profile of Coislin notation
remained simpler, limited to fundamental sym-
bols and a few great signs, but the interval value of
14.8. Notation the individual neumes grew progressively clearer.
The final two stages of Coislin notation [2341–343]
A. Ekphonetic notation for instance gradually introduced diastematic pre-
B. Palaeo-Byzantine notation cision to individual symbols. The final phase of
C. Middle Byzantine notation Chartres notation, meanwhile, reached its zenith
in the mid-11th century, after which it became
A. Ekphonetic notation extinct and vanished altogether from the liturgi-
Byzantine notation had its origins in the dia- cal books [2343–346]. This may have been because
critic prosodic symbols of the Late Antique gram- the resolution of so many stenographic formulae
marians. It was from these that the ekphonetic made diastematic precision impossible.
notation system first evolved for the lectio solem- The Slavs adopted an early stage of Coislin
nis of biblical pericopes [6]. This system was based notation from the Byzantines through the sticher-
on mnemonic formulae that were placed at the arion and heirmologion, adapting their Old Church
beginning and end of a phrase (above or below) Slavonic texts to the original Greek melodies. The
to structure the text [826]. Pairs of symbols thus demands of the language produced from this the
frame each colon of text to indicate intonations Slavonic sematic notation, the symbols of which
and cadences. The classical system of ekphonetic (semadia) gave only a vague indication of the
notation deduced from the manuscript record course of the melody well into the 15th century
between the 8th and 15th centuries comprised fif- [4].
teen such pairs [7]. This notation fell out of use in
the 15th century, but oral transmission continued. C. Middle Byzantine notation
Byzantine musical notation was fundamentally
B. Palaeo-Byzantine notation reformed around the middle of the 12th century.
The oldest surviving musical liturgy books The interval values of the individual symbols
containing notation date from the early 10th cen- were fixed and the relation of one interval to the
tury: the → sticherarion (14.2.) and → heirmologion preceding one, when ascending or descending,
(14.3.), chant books for the large choir. They dis- was stipulated [830–33]. The analytical writing-out
play two distinct notational systems, called Char- of the stenographic symbols turned the original
tres and Coislin notation [2], both of which were great signs into great hypostases, also called chei-
exclusively used in these genres, and which are ronomic signs, to which the interval signs were
known as palaeo-Byzantine [827–30]. Chartres nota- added [843–59]. However, the great hypostases were
tion may have arisen in the sphere of influence increasingly omitted (cf. fig. 1).
of Constantinople, and Coislin in the monastic a a a a a G E F G a a. The signature on a is
sphere of Palaestina, where the Sabas Monastery repeated. The initial signatures of the follow-
near Jerusalem was the major influence. ing songs appear to the right, also indicating the
Both notations are at the adiastematic stage beginning in first mode on a. This page contains
in which the interval value of the symbols is not three stichera anastasima, followed by one stiche-
clearly discernible. The only indication given in ron anatolikon.
14.9. music theory 492

popular in the meta-Byzantine period, especially

the 17th and 18th centuries: the interpretation or
elaboration of the Byzantine melodic formulae.
Although the graphic form of the great hypos-
tases in particular became stylized over the cen-
turies, Middle Byzantine notation remained
essentially current until the 1814 reforms of the
‘three teachers’ (Chrysanthos of Madytos, Chur-
muzios Chartophylax and Gregory Protopsaltes).

Bibliography

Sources
[1] Sticherarium Ambrosianum, vol. 1 (MMB. Serie
principale 11/1), edited by L. Perria und J. Raasted, 1992.

Secondary literature
[2] C. Floros, Universale Neumenkunde, vol. 1,
1970 [3] C. Floros, Einführung in die Neumen-
kunde, 1980 [4] J. von Gardner / E. Koschmie-
der, Ein handschriftliches Lehrbuch der altrussischen
Neumenschrift, vol. 2: Kommentar zum Zeichensys-
tem, 1966 [5] M. Haas, Byzantinische und slavische
Notationen (Palaeographie der Musik 1,2), 1973 [6]
C. Høeg, La notation ekphonétique (MMB. Sub-
sidia 1,2), 1935 [7] S. Martani, Das ekphonetische
Notationssystem in den datierten Evangeliarien des
10. Jahrhunderts, in: G. Wolfram (ed.), Palaeobyz-
Fig. 1: Beginning of the stichera anastasima by John of antine Notations, vol. 3 (Eastern Christian Studies
Damascus, in the first mode, in Middle Byzantine nota- 4), 2004, 27–47 [8] C. Troelsgård, Byzantine
tion (from Codex Bibliothecae Ambrosianae A 139 sup., Neumes. A New Introduction to the Middle Byzantine
fol. 272 v, 1341; in: [1]). The page shows the characteristic Musical Notation (MMB. Subsidia 9), 2011.
notation of the sticheraria as practised between the
second half of the 12th century and the mid-14th. Only Gerda Wolfram
a few great signs are added to the interval signs to indi-
cate a certain way of performing the piece. At the begin- 14.9. Music theory
ning of the first sticheron, tas hesperinis hemon euchas,
the signature of the first mode is seen, which begins on Two parallel traditions dominated Byzantine
a in the upper fifth. The note signs appear above the music theory: one purely theoretical, derived
text lines. The first sticheron begins with five ison signs from the musical theory of Classical Antiquity [3],
indicating the repetition of the note. The melody of
the first section of text thus runs a a a a a G E F G a a.
and one focusing on the theoretical foundations
The signature on a is repeated. The initial signatures of of ecclesiastical musical practice [4]. The former
the following songs appear to the right, also indicating was taught as part of the quadrivium – the four
the beginning in first mode on a. This page contains mathematical disciplines of the artes liberales –
three stichera anastasima, followed by one sticheron while the latter for the most part was utilized by
anatolikon. → melodes (14.6.), choir directors, singing teach-
ers and singers (→ 14.7. Choral and solo chant)
as a foundation for instruction in church music.
This trend would then be reversed in the latter The authors of theoretical works on ecclesiastical
half of the 13th century. The notation now began chant frequently refer to grammatical and musi-
to be enriched with great hypostases frequently cal treatises of Antiquity, but no comprehensive
written in red ink. Signs from song books of the effort was made to use ancient authors to establish
melismatic genre like the → asmatikon/psaltikon a theoretical foundation of church music. Instead,
(14.4.) may also have been adopted, but there also individual terms and definitions were cited to
seems to be a link with the new style of chant explain particular points [4].
known as kalophonia [885–90]. The late notation All Byzantine chant melodies were based on
often gives one the impression that the interval the eight church modes (echoi) in the system
sign provides only the framework within which known as the oktoechos. It consisted of the four
the melodic formula can unfold. This may rep- main modes (echoi kyrioi, the ‘authentic’ modes)
resent the birth of the exegeseis that became so and the four secondary modes (echoi plagioi, the
493 14.10. musical instruments

‘derived’ plagal modes). The theorists also defined examples and diagrams [2]; [71–57]. Many differ-
four intermediate modes (echoi mesoi) on the ent versions evolved over the centuries, so that
third between the authentic and the plagal modes. the papadike bears witness to the development of
The system whereby a melody was assigned to a Byzantine notation.
particular echos in the oktoechos seems to have Besides the papadike, some theoretical writings
become mandatory at a very early date. There are on ecclesiastical chant are separate works, while
already instances in the 6th century (e.g. the papy- others are contained in compilations dealing with
rus Vind. G. 41 261) [7] in which troparia texts were the musical theory of a range of periods.
recorded in the second and third plagal echoi (i.e.
the sixth and seventh modes). Bibliography
Assignment to a specific echos was indicated by
signatures (martyriai) that preceded the chants. Sources
The signatures of the authentic modes were the [1] MMB. Corpus scriptorum de re musica, vols. 1–5,
letters alpha, beta, gamma and delta; those of 1985–1998.
the plagal modes were the two initial letters of
plagios followed by the same letters. Each signa- Secondary literature
ture indicates a very specific intonation (echema) [2] M. Alexandru / C. Troelsgård, The Devel-
that begins the chant [763 f.] The intonations were opment of a Didactic Tradition. The Elements of the
Papadike, in: G. Wolfram / C. Troelsgård (eds.),
generally sung by a lead singer, the domestikos, Tradition and Innovation in Late- and Postbyzantine
setting the initial note of the hymn. Meaningless Liturgical Chant, vol. 2 (Eastern Christian Studies
syllables were attached to these echemata. Besides 17), 2013, 1–58 [3] C. Hannick, Die Lehrschriften
the main signatures, there were also intermediate der klassisch-byzantinischen Musik, in: H. Hunger
signatures indicating either a change of mode, a (ed.), Die hochsprachliche profane Literatur der Byz-
semitone step, a tonal peculiarity in the echos or a antiner, vol. 2, 1978, 183–195 [4] C. Hannick, Die
change of singer [5]. Lehrschriften zur byzantinischen Kirchenmusik, in:
Apart from mode shifts (parallagai), which H. Hunger (ed.), Die hochsprachliche profane Lit-
could be signalled by means of martyriai, minor eratur der Byzantiner, vol. 2, 1978, 196–218 [5] J.
Raasted, Intonation Formulas and Modal Signatures
modulations into different echoi (apo melous)
in Byzantine Musical Manuscripts (MMB. Subsidia
could also occur within a melodic section. This 7), 1966 [6] J. Raasted (ed.), The Hagiopolites. A
was indicated with the phthora, a stylized phi, Byzantine Treatise on Musical Theory (CIMAGL 45),
the effect of which was to bring the characteristic 1983 [7] C. Troelsgård, Byzantine Neumes. A
melodic forms of another echos temporarily into New Introduction to the Middle Byzantine Musical
the melos of the current chant. The phthora nenane Notation (MMB. Subsidia 9), 2011 [8] I. Zannos,
and phthora nana are already found in the stich- Ichos und Makam. Vergleichende Untersuchungen
era (→ 14.2. Sticherarion) of the 10th/11th centuries zum Tonsystem der griechisch-orthodoxen Kirchen-
in palaeo-Byzantine → notation (14.8.). Nenane musik und der türkischen Kunstmusik, 1994.
was related to the second plagal mode, nana to
Gerda Wolfram
the fourth plagal or third authentic mode. Both,
however, could also function as the initial signa-
tures of chants. Even in the earliest manuscripts,
characteristic melodic patterns of the nenane in 14.10. Musical instruments
combination with the second plagal echos already
suggest chromatic changes within the melos. Chro- A. Introduction and terminology
matic peculiarities in certain melodic patterns are B. Aerophones
particularly likely in the case of the second echos C. Chordophones
and its plagios [8111–117]. D. Idiophones
Chants were assigned to one of the eight modes
not on the basis of a particular scale structure, A. Introduction and terminology
but rather primarily by the repertoire of melodic ‘The inventory of Byzantine musical instru-
formulae that might appear in a single echos and ments combined the traditions of the high cultures
genre or be expressed in several modes and differ- of the ancient Mediterranean with instrument
ent genres in a range of acoustic spaces. types imported from the Near East and Inner Asia’
The papadike offers a simple introduction to [2126]. The instruments used in the Early Byzan-
the theory of Byzantine church music. Many cop- tine period were virtually identical to those of the
ies are preserved, and it was the key tool in the Roman Imperial period [15]. Ecclesiastical authors
teaching of Byzantine chant, the psaltike techne. mention many musical instruments they regarded
It explains the symbols of musical notation and as pagan [9]. However, much changed in the lives
presents the system of eight echoi using musical of musicians as Christianity rose to become the
14.10. musical instruments 494

state religion. The decline of the ancient theatre and organs and probably draws in part on Byzan-
and the decreasing demand for musicians in con- tine traditions.
nection with pagan cults, traditions and festivals Various musical instruments were used by the
in Late Antiquity led many musicians to take to Byzantine military (→ 6. War and warfare). Wind
the road as ‘itinerant players’ [2129]. instruments were to the fore (cf. fig. 2), both dur-
Connecting names with musical instruments ing battle and in everyday army life. Military prac-
in both the eastern and western Mediterranean is tices derived from Roman Antiquity. The main
often difficult. ‘A register of all the ... instruments instruments used in the Byzantine period were
mentioned would yield an impressive list of some natural horns (ox horn, ivory, conch; cf. [11248–250])
thirty or forty names’ [2127]. Many musical instru- and metal horns with conical tubes. Cylindrical
ments were still known by their ancient names trumpets existed but were a rarity in Byzantium
(e.g. aulos for the reed instrument; trigonon, sam- [11245, 254–258]. The decoration of one such trumpet
byke or pektis for various types of harp; psalterion, found in Italy recalls Byzantine art [6no. 132], but the
tympanon, kymbalon), while others were called by hunting scenes suggest that it was a ‘hunting horn’
Ancient Greek names despite no longer being the used as a signal instrument.
same instrument (e.g. lyra for a string instrument,
kithara often for the short or long-necked lute, syr- C. Chordophones
inx for the flute, etc.). Instruments often had mul- Lyres of the ancient type were still appearing
tiple names, while some names were used to refer in illustrations of the 5th century, but they dis-
to multiple instruments. Instrument categories appeared almost entirely from everyday musical
are often not precisely defined and terminology is life in the 6th century, although they continued
ambiguous [1133, 65, 163]; [8]. to appear in the pictorial canon, especially in the
context of mythical and biblical scenes. Several
B. Aerophones spatulate, flat-bodied lutes are preserved, dating
Panpipes disappeared from the Byzantine pic- from the 3rd to the 8th century, coming mostly
torial canon after the 5th century. The transverse from Egypt [7]. Illustrations prove that they were
flute was played instead in the Middle Byzantine also used in Constantinople. Round-bodied, pear-
period [1162], often in an ensemble with bowed and shaped lutes began becoming widespread in Byz-
plucked string instruments, cymbals and drums antium in the 12th century [1156–59, 63]; [14204]. A
(→ 14.11. Ensembles). The ancient aulos, a double- stringed instrument is preserved from Middle Byz-
reeded instrument with two playing pipes that was antine Corinth [1]. It was made from a single block
still in regular use in Early Byzantine music, later of wood, and probably had two or three strings. It
went out of fashion. Illustrations of reed instru- has not been conclusively established whether this
ments being played alone are also increasingly unique find was a plucked or bowed instrument.
frequent in the 5th century. There seems to have There is no evidence of bowed instruments
been a tradition in which two musicians together in ancient sources. It is assumed that the use of
played one of the playing pipes each [4no. 32]. The the bow arose in the 10th century, when the first
earliest conclusive illustration of bagpipes dates illustrations of bowed instruments appear. Recent
from the 11th century [1153], but the instrument is research suggests that the pear-shaped lyra and
generally believed to be older. It is often impos- the violin-shaped bowed instrument of Byzantium
sible to tell whether surviving (often bone) wind were much closer in form to the medieval western
instruments with fingerholes [14205] were flutes or rebec and vielle than the Arabic rabab, which was
reed instruments. formerly believed to be the ancestor of Western
Over 130 sources on organs survive from European bowed instruments [1259–64].
between the 3rd century bc and the 7th century The harp was not popular. Although it had
ad [138]. One Byzantine peculiarity was playing been as widespread in Ancient Greece and Rome
two organs at once, a practice for instance of the as in the Near East, Egypt and Israel [15], it was
circus factions into which much of the popula- regarded as an Oriental instrument, and only
tion of Constantinople was organized. The organ really came into use in the east of the empire in
was particularly important in Byzantine court cer- the 13th century. Bow-shaped variants were pre-
emonial (cf. → 11.3. Art, fig. 9) [1039, 180], and it was ferred. Psalteries, on the other hand (see fig. 2),
very important in cultural transfer, as an ‘official are frequently found in Middle Byzantine illustra-
gift’ and in diplomacy. Constantine V is known to tions, appearing in two variants. The rectangular
have given an organ to King Pepin the Short of the or trapezoidal form had diagonal ‘bridges’ dividing
Franks in 757 [11376]. In Western Europe, Theophi- the pairs of strings into two parts. The triangular
lus Presbyter wrote a Latin book on the arts and form was very similar to the Western European
crafts between 1100 and 1120 (Schedula diversarum rote. Both types first appear in illustrations in the
artium) that explains the construction of cymbals 11th century, but were probably in use earlier [11].
495 14.10. musical instruments

Fig. 2: Entry of Nikephoros II Phokas through the Golden Gate of Constantinople (963), received by the applauding
populace with musicians (Codex Matritensis Gr. Vitr. 26–2, fol. 145 r, mid-12th century; detail). The musicians here
are playing three long, bell-shaped salpinges (trumpets), a tympanon (drum, its membrane beaten with wooden
sticks held in each hand) and a psalterion (‘psaltery’, a triangular harp, right). This illustration, from a manuscript of
the chronicle of John Skylitzes (latter half of the 11th cent.) shows a typical welcome ceremony for the emperor. The
description of the event in the chronicle mentions trumpets and cymbals, but not drums or psalteries, which were
presumably added when the illustrated version of the codex was made, probably on Sicily. Illustrations of this kind
usually do not show details of instrument construction in detail.

D. Idiophones castanets in Antiquity, and similar handle clap-

In ad 392, the edict of Theodosius banning non- pers were used in medieval Western Europe as
Christian cults also forbade the use of bells, which alarms, e.g. announcing lepers.
were considered pagan and believed to have magi- Drums (see fig. 2) were used at → festivals
cal effects. However, finds of bells in early Chris- (3.10.) and entertainments and in the military. It is
tian graves in Egypt show that they were still used. very likely that the Byzantines adopted their mili-
One of the earliest pieces of evidence of their use tary use from the Arabs in the 7th or 8th centuries.
in ecclesiastical contexts may be a 6th-century let- Drums varied greatly in form, size and number of
ter written by the deacon Ferrandus of Carthage, membranes [11185 f., 250–260].
announcing that a bell had been sent to the abbot
of a monastery near Naples [3]. It is rare for larger Bibliography
bells to be preserved [4171 f.]. [1] F. Anoyanakis, Ein byzantinisches Musikinstru-
Cymbals, mostly made of metal, have been ment, in: Acta musicologica 37, 1965, 158–165 [2] W.
found throughout the territory of the Roman Bachmann, Das byzantinische Musikinstrumentar-
Empire, where they played a role in cultic activi- ium, in: J. Kavka (ed.), Anfänge der slavischen Musik,
1966, 125–138 [3] M. Betz, Glocke 2.C., in: H. Beck
ties. They continued to exist almost unchanged in
et al. (eds.), Reallexikon der Germanischen Altertum-
Byzantium [5197], and they were played in pairs. skunde 12, 21998, 211–214 [4] R. Cormack / M.
Cymbals of all sizes were also extremely popular Vasilakē (eds.), Byzantium, 2008 [5] G. R. David-
in the Middle and Late Byzantine periods [11250 f.], son, Corinth, vol. 12: The Minor Objects, 1952 [6]
both for military and popular music. Clappers akin A. Effenberger (ed.), Das Museum für Spätantike
to the modern handle castanets have been found und Byzantinische Kunst. Staatliche Museen zu Ber-
in Egypt [14205]. Dancers played various kinds of lin, 1992 [7] R. Eichmann, Koptische Lauten. Eine
14.11. ensembles 496

musikarchäologische Untersuchung von sieben Lang- Acclamations became established as a rit-

halslauten des 3.–9. Jahrhunderts n. Chr. aus Ägypten ual form of communication in the Late Roman
(DAI, Abteilung Kairo, Sonderschrift 27), 1994 [8] E. period. Until the Middle Byzantine period, the
Hickmann, Musica instrumentalis. Studien zur Klas- politically influential circus factions used accla-
sifikation des Musikinstrumentariums im Mittelalter,
1971 [9] H. Hüschen, Frühchristliche Hausmusik,
mations as a form of popular expression, but at a
in: K. G. Fellerer (ed.), Geschichte der katholischen later date, acclamations became increasingly styl-
Kirchenmusik, 1972, 43–50 [10] N. Maliaras, Die ized as a component of court culture. Eulogies,
Orgel im byzantinischen Hofzeremoniell des 9. und affirmations, demands and denunciations were
10. Jahrhunderts. Eine Quellenuntersuchung (MBM performed as acclamations. There was generally
33), 1991 [11] N. Maliaras, Βυζαντινά μουσικά όργανα a single caller or singer (kraktes, literally ‘bawler’)
(Eλληνικές Μουσικολογικές Εκδόσεις 6), 2007 [12] N. leading a responsorial chorus (→ 14.7. Choral
Maliaras, Τα βυζαντινά αχλαδόσχημα τοξωτά και η and solo chant), a format probably modelled on
καταγωγή του δυτικοευρωπαϊκού ρέμπεκ, in: Ελληνική church ritual. The question of whether words were
μουσική και Ευρώπη. Διαδρομές στον Δυτικοευρωπαϊκό
sung or spoken is under discussion. Acclamations
πολιτισμό (Eλληνικές Μουσικολογικές Εκδόσεις 14), 2012,
48–70 [13] M. Markovits, Die Orgel im Alter- were certainly performed in chorus and rhythm, to
tum, 2003 [14] D. Papanikola-Mpakirtze (ed.), at least a spoken melody, and they must therefore
Everyday Life in Byzantium (exhibition catalogue), be regarded as an important musical tradition. In
2002 [15] F. Zaminer / L. Zanoncelli, Musical many cases, they were accompanied on the organ.
instruments V.–VI., in: BNP 9, 2006, 354–363.
C. Court ensembles
Susanne Rühling One Byzantine peculiarity was the frequent
Nikolaos Maliaras use of organs, not least by the circus factions
during the chariot races in the Hippodrome, and
14.11. Ensembles especially in the course of court ceremonial at
the imperial palace [4]. Harun ibn-Yahya (prob-
A. Introduction ably late 10th cent.), for instance, describes organ
B. Popular ensembles music accompanied by 20 cymbalists during a
C. Court ensembles Christmas festival at the Constantinople court
D. Church ensembles [2317]. There was also musical accompaniment
at many banquets (often in the manner of the
A. Introduction abovementioned mimes), featuring, for example,
The ensemble forms of the Early Byzantine the lute, transverse flute, clapper and harp [4fig. 12].
period were virtually identical to those of the The profane equivalents to sacred chant
Roman Imperial period. The progress of Christi- included the phone (a court song), the apelatikos
anity in Late Antiquity deprived many musicians (a form of court acclamation) and the choreutikon
of their permanent jobs at theatres or temples, (a choral dance song). The Book of Ceremonies of
compelling them to travel. Even so, some new Constantine VII (compiled 10th cent.) preserves
instruments emerged during the Middle Byzantine many song texts that are in metrical rhythm, mak-
period, especially bowed and percussion instru- ing it highly likely that they were performed as
ments (→ 14.10. Musical instruments). music. However, no notation survives. These tra-
ditions continued in later periods, as the account
B. Popular ensembles of the coronation of Manuel II in 1391, for instance,
Mimes, pantomimes, acrobats, dancers and shows [2317]. However, the organ eventually fell
musicians regularly performed at the Hippodrome from favour, and musical accompaniment was
and other public places where large gatherings for instead provided mostly by trumpets, recorders,
major festivals were common (→ 3.10. Festivals, cel- shawms and drums.
ebrations and rituals). The makeup of instrumen- Military music generally involved various com-
tal ensembles was not fixed, and evidence shows binations of wind and percussion instruments, e.g.
that combinations of instruments changed. String horns and kettledrums. Large drums and cymbals
instruments (bowed and plucked), wind instru- began to appear in the military ensemble in the
ments and percussion were played, sometimes all 8th century, very probably under Arab influence
together, sometimes in a particular arrangement. [5185]. Some illustrations show soloists playing
There were string ensembles, for instance, includ- brass instruments.
ing a bowed instrument and a psaltery. Music
often accompanied entertainers’ performances. D. Church ensembles
Instruments were probably played in the Musical instruments were regarded as a vice in
domestic sphere, but virtually nothing is known the sacred sphere. Ensemble music in church con-
of this, and it was probably limited to the higher texts was therefore exclusively vocal and a cap-
social echelons. pella. There were solo singers, cantors and choirs,
497 14.11. ensembles

sometimes singing in an alternating antiphony. ischen Musik, 1966, 125–138 [2] F. Dölger, Zur
The congregation joined in the singing of some Ausführung weltlicher Musik am byzantinischen
church hymns. Kaiserhof, in: F. Dölger, Paraspora. 30 Aufsätze zur
One exception to the rule of excluding musi- Geschichte, Kultur und Sprache des byzantinischen
Reiches, 1961, 306–318 [3] J. Handschin, Das Zer-
cal instruments from liturgical contexts is found emonienwerk Kaiser Konstantins und die sangbare
in the pictorial representation of legends. In min- Dichtung, 1942 [4] N. Maliaras, Die Orgel im
iatures, King David is usually shown as an instru- byzantinischen Hofzeremoniell des 9. und 10. Jahr-
mental soloist, playing the psaltery or harp, or hunderts. Eine Quellenuntersuchung (MBM 33), 1991
occasionally a bowed instrument. Such pictures [5] N. Maliaras, Βυζαντινά μουσικά όργανα, 2000
[1fig. 5] give important information about the range [6] H.-U. Wiemer, Akklamationen im spätrömischen
of instruments extant in various periods of Byzan- Reich. Zur Typologie und Funktion eines Kommu-
tine musical history. nikationsrituals, in: Archiv für Kulturgeschichte 86,
2004, 27–73.
Bibliography
Nikolaos Maliaras
[1] W. Bachmann, Das byzantinische Musikinstru-
Susanne Rühling
mentarium, in: J. Kavka (ed.), Anfänge der slav-
15. The Byzantines and the outside world
15.1. The Byzantine worldview (→ 2.1. The Byzantine view of the state). In view of
15.2. The West the empire’s long and extremely volatile history,
15.3. The Balkans and the Northeast however, it is difficult to pin down true Byzantine
15.4. The Caucasus identity, not least because identity is a multifac-
15.5. The East: the Turks eted concept, the supporting pillars of which at
15.6. The South this period were the cultural values of language,
15.7. Minorities in the empire religion, cultural tradition and ethnicity.

15.1. The Byzantine worldview B.2. Language

The Romans viewed Greek as a cultural lan-
A. Introduction guage and recognized it as an administrative lan-
B. ‘What is a Byzantine?’ – the identity of ‘homo guage in the eastern provinces of the empire by
byzantinus’ the reign of Augustus [22]. Greek even managed
C. Borders and peripheries to expand its influence during the Roman Impe-
D. Indicators of individual and group integration rial period as the medium of the expanding Chris-
within the empire tian Church and the instrument of Romanization
E. Principal forms of diplomacy in the East. The growing weakness of the western
half of the empire led to the emergence of ‘Grae-
A. Introduction cocentrism’ [27300] in the 5th century. When Greek
The ideology of the political and intellectual finally replaced Latin as the administrative lan-
→ elites (1.4.) of the Byzantine Empire continued guage of Byzantium in the early 7th century, this
the Roman tradition of authoritarianism: the changed little in the multilingual configuration of
viewed their empire in terms of an aspiration to the empire, which encompassed not only Greek-
dominate or, if possible, to rule over the civilized speaking population groups, but also (depending
world itself (i.e. by now essentially Christendom) on geographical and political conditions) Arab,
[44]. The geographical ‘world’ in which this claim Syrian, Armenian, Georgian, Bulgarian, Serbian
to universal authority applied was the oecumene and other Slavic groups. Members of any of these
(oikoumene), which equated roughly to the Medi- groups could aspire to advancement even to the
terranean macroregion [2618–21, 25–31]. The gulf highest of office.
between these ideological pretensions to power The common → language (12.1.) of the empire
and the reality of what territories were actually was a high Greek based on Hellenistic koine, and
under Byzantine political control was particularly it had to be learned – not only by non-Greek
glaring during the so-called ‘Dark Ages’ (7th–9th speakers, but also by Greek, with its wide range of
cents.). The Byzantines undertook flexible and radically different dialects [18]. The state language
dynamic solutions to correct the discrepancy. therefore represented a unifying bond for the dif-
According to T. C. Lounghis, a concept of ‘limited ferent ethnic groups that did not impinge upon
oecumene’ was implicitly established by the 10th their respective ethnic identities.
century [31], whereby it included only the eastern Authors of the Middle Byzantine period drew a
Mediterranean, but not the Arab territories. At the distinction between a view the empire from out-
same time, the parts of Europe now under Caro- side, defining as Byzantine all → subjects (1.4.) of
lingian and Ottonian rule were largely (mentally) the emperor who worked in the interests of the
abandoned and seen increasingly as a foreign empire, and a domestic view of Byzantine soci-
political space. ety that excluded from the category of Rhomaioi
those of divergent cultural backgrounds who did
B. ‘What is a Byzantine?’ – the not understand Greek [28]. Only from the latter
identity of ‘homo byzantinus’ perspective could one distinguish two groups of
B.1. Introduction imperial subjects: Rhomaioi and allogenoi/alloge-
B.2. Language neis/allophyloi (‘others’; most recently [33]). It has
B.3. Paideia and Christianity been emphasized in the case of the South Slavs of
B.4. Ethnicity Greece that their linguistic Hellenization in the
7th–9th centuries opened the door to their com-
B.1. Introduction plete assimilation into Byzantine culture [20115 f.].
The Byzantines called and viewed themselves The steady Hellenization of Sicily under Byzantine
as Rhomaioi (‘Romans’). Their empire, as far as rule also facilitated its integration into the over-
they were concerned, was the Roman Empire arching Byzantine world [25].
499 15.1. the byzantine worldview

B.3. Paideia and Christianity B.4. Ethnicity

According to Byzantine authors, Byzantine Following on from Ancient Roman ideas, the
identity consisted in a ‘Roman’ acculturation, Byzantines did not define their society in eth-
that is, the acquisition of the classical education nic terms (on the terminology cf. also [28]; [9]).
of Antiquity (Greek paideia; cf. also → 12.5. Cul- Roman identity was defined in terms of a unified
ture and education) and the adoption of the way culture, and ethnic origins were irrelevant. Byzan-
of life of the Byzantine elite. Another important tium was thus not so much a multi-ethnic empire
identifying feature that emerged in Late Antiquity as a ‘transethnic’ Roman state [27304]. Many ethnic
was affiliation with one of the churches of the and some religious minorities lived within its bor-
empire, which were no longer in communion with ders, and their integration was a goal in the con-
one another as a result of Christological conflicts. text of creating a cohesive social organism (cf. also
These divisions, however, correlated in part with [2382–99]). Accordingly, political separatism was an
linguistic boundaries and contributed to a cul- exceedingly rare phenomenon prior to the 12th
tural regionalization of the empire in Late Antiq- century [43182]. It must be noted, however, that
uity (miaphysites in Egypt and Syria; Maronites in the word ethnos is used in many different ways in
Lebanon; Montanists in Phrygia). Byzantine literature, and interpretations based on
The Chalcedonian Imperial Church was mean- it will invariably be contradictory [41].
while able to play a unifying role between other- Ethnic groups constitute their identity by estab-
wise very remote cultural groups, becoming (in lishing cultural boundaries with other groups, and
the word of Gilbert Dagron) a savonnette à ethnies permanent political boundaries greatly intensify
(an ‘emulsifier of ethnicities’) [15]. For instance, this process as a result of the conflicts of interest
the gradual integration of the South Slavic popu- they bring. Tendencies toward cultural separation
lation in the territory of what is now Greece can thus often developed only after political separa-
be read from the gradual restoration during the tion, as in the case of Venice or the Melkites, who
Macedonian period of bishoprics that had died first acquired a cultural profile after the Arab con-
out in the 8th century [20123]. Finally, the increas- quest of the Near East and then entered the Byz-
ingly clear separation of the Byzantine from the antine sphere of influence again after the phase
Roman Church, the centre of which was in impe- of reconquest, becoming Byzantinized primarily
rial territory until the 8th century, contributed to in the sphere of the liturgy and law. Conversely,
the formation of a distinct religious identity. After the formerly Byzantine population in the domains
early quarrels like the Acacian Schism (484–519), established by the Seljuks were Turkized (John
it was particularly the filioque controversy, which Kinnamos, Epitome 22,16 f. [2]; Niketas Choniates,
first escalated in the conflicts centred on Photios Historia 37,85–93 [1]; [43201 f.]). To the Byzantines,
(→ 7.1. Doctrinal history D.), that created a perma- Greeks living in the Seljuk Empire were citizens of
nent antipathy, which then intensified as a result another state, and in a time of conflict, they would
of the Fourth Crusade (1202–1204) and ultimately also treat them as such. Merchants from Iconium,
unsuccessful efforts towards a church union both Greeks and Turks, were incarcerated and
(councils of 1274 and 1438/39; survey in [10]). deprived of all their assets during a contretemps in
A society that was largely Christian in mind- the early 13th century (Niketas Choniates, Historia
set posed particular challenges for Jews in the 493,83–85; 494,86–88 [1]).
Byzantine Empire. The asymmetrical relationship Ethnic differences also hardened after splits
between the two religions made full the full inte- in the confessional or linguistic spheres (Copts,
gration of the Jews into Byzantine society all but Syrian miaphysites, Armenians, Southern Italian
impossible, particularly when the Byzantine elite Lombards). It follows that the ethnic component
sought to reduce Judaism to its religious compo- played a secondary and subordinate role in the
nents. Despite these difficulties, however, Jews establishment of identity compared to the other
were generally accommodated in the empire [21]. factors discussed above, and ethnicity did not
The rise of Islam in the early 7th century become more important until the Middle Byz-
quickly led to theological controversy, and the new antine period. No doubt, ethnic differences were
religion was added to the canon of Christian her- employed in polemics against individuals and
esies (e.g. John of Damascus, Niketas Byzantios). groups to defame them as outsiders, but anyone
Despite many and varied connections between attacked in this way could defend themselves by
Christians and Islamic lands and individuals over displaying their own Greek cultural literacy, their
the centuries that followed, Christianity contin- paideia (see above, B.3.) [2394].
ued to reject Islam as a religion. On the whole, It was not until the 13th century, in the course
however, the ‘Christian factor’ steadily waned in of the conflict with the Latins and the temporary
importance compared to linguistic and cultural loss of their ideological lodestar, → Constantinople
components of Byzantine identity between Late (8.10.), that the Byzantines’ view of themselves
Antiquity and the Late Byzantine period [28]. began to shift radically (most recently [33]). Some
15.1. the byzantine worldview 500

members of the Byzantine elite now began to bius, Cassius Dio), which were often wholly obso-
reclaim the word Gr(a)eci, which was widely used lete and generally related only to the territories
in the West – usually to discredit the Byzantines’ the people in question inhabited. For example, the
claim to universal authority – and use it in a posi- Byzantines called the Serbs Triballoi, the Turkmen
tive sense (graikos – although originally a Greek Seljuks Persai, the Kievan Rus’ (Tauro-)Skythai and
word – had become almost extinct in Byzantium the English Bretannoi. These archaisms are often
in the 9th century, but then began to re-emerge misinterpreted as evidence of irrational conserva-
in the Palaiologan period to denote an identity tism on the part of a people who had not come to
informed by the Orthodox rite). Byzantine intel- terms with their own time, but Byzantine authors
lectuals of the late period also referred back with in fact deployed these terms deliberately as stylis-
increasing frequency to the Hellenic tradition and tic evidence of paideia (‘cultural education’). Most
sometimes called themselves Hellenes – Laonikos Byzantine scholars were perfectly well aware that
Chalkokondyles in his Apodeixeis Historion [3] these names were ill-fitted to current circum-
even does so in deliberate opposition to the word stances, and they often accordingly shifted from
Rhomaioi, which he relates to Rome and the West ethnonym to ethnonym within their own works
[2967–69]. Even so, Hellenic and Rhomaic elements (e.g. Anna Komnene, Alexiad 10,8,1 and 13,6,3 in
continued to coexist in concepts of identity until regard to the use of ‘barbarian’ place names).
the latter was largely abandoned in the 18th and Different authors had different views of what
19th centuries in response to Philhellenism. constituted ‘foreignness’, and different elements of
Overall, the abundance of divergent and amal- their perception of alterity emerge in their works.
gamating emblems of identity in various popula- Foreignness was often defined in terms of the dif-
tion groups meant that cultural identities in the ference in degree of civilization and hence the
Early and Middle Byzantine periods tended to absence of paideia – which, as discussed above,
be hybrid. The lives of these groups played out was a particularly important factor for these gener-
between at least two distinct, but generally not ally erudite authors in defining their own identity
mutually exclusive cultural poles [1315 f.]. The capa- within Byzantine society. Other criteria included
bility of Byzantine culture to absorb and integrate religion (e.g. heresy, ‘paganism’ – ta ethne) and –
the most diverse of groups within its borders is particularly in relation to peoples that had joined
remarkable [37]. The Middle Byzantine period the oecumene at a late date – language. It was the
was characterized by large-scale resettlements of latter that had formed the original backdrop to the
major population groups within the empire, with ancient concept of barbarism, which also func-
the ultimate aim of enhancing cohesion across the tioned for the Byzantines as a focus of concepts
entire organism [17] – an aim that was evidently of alterity with civilizatory connotations [29].
achieved in Hellas and the Peloponnese [20117]. The stereotypes associated with this had already
Although there is no evidence at any period to become clear in the characterization of the Avars
suggest that the Byzantine Empire enforced Hel- and their ruler in the Historiai of Theophylact
lenization, let alone conducted a deliberate policy Simocatta [7], and they are a constant undercur-
of assimilation aimed at particular populations or rent in the history of relations between the Byz-
regions (on Southern Italy: [40207–209]), these popu- antines and the steppe peoples (on the example
lation movements led to rapid changes in admin- of the Pecheneg cf. [32]).
istration and ecclesiastical structure.
D. Indicators of individual and
C. Borders and peripheries group integration within the empire
The heartlands of the Byzantine Empire com- Because relations between cultural entities are
prised Asia Minor, the → Balkans (15.3.) and the constructed by agents of cultural influence, it is
Aegean islands, and for much of its thousand-year essential to understand them, whether they are
history it also included parts of Italy, the south- groups or significant individuals. Various mea-
ern Caucasus (→ 15.4. The Caucasus) and the Near sures of integration into Byzantine society (or
East. However, the cultural aura of the empire ‘Byzantinization’) are available, but assessing their
extended far beyond this, while its vigorous politi- respective worth must be done case by case.
cal relations abroad were conditioned both by the The sources reveal in particular marriages
traditional ‘Roman’ claim to supremacy within the between various cultural agents, complete in some
oecumene and by the practical demands of engag- cases with conversion to the Imperial Church and
ing with shifting constellations of neighbouring changes of name. These symbolized integration
peoples and powers. into the empire, and over time they generally also
In a practice that seems incomprehensible effected it. Loyalty to the emperor can also be an
today, the Byzantines described peoples and pow- indicator of integration into the empire, especially
ers by the names and definitions established by where the empire was in conflict with the agent’s
ancient authors (e.g. Herodotus, Thucydides, Poly- natio (‘country of origin’). This becomes particu-
501 15.1. the byzantine worldview

larly clear in sources of the 6th century [19], but is Although some emperors were already con-
also a useful measure in the Late Byzantine period. ducting marital diplomacy with Turkic and Kha-
Members of the Turkic military elite like the megas zar rulers in the 7th and 8th centuries, it was rare
domestikos John Axouch, Tatikios or Prosouchos, before the 11th century. Many such projects with
for example, were fully accepted because they the Franks never came to fruition [42757–771]. The
proved themselves loyal to the emperor [12]. How- Late Byzantine Palaiologoi, on the other hand,
ever, there was always the danger that their back- were tightly woven into a network of marital ties
ground could be used against them if a conspiracy with Latin, Orthodox, Turkic and Mongol dynas-
occurred – as in the case of Alexios Axouch, a ties [38].
general of Manuel I Komnenos (1143–1180; Niketas Another axiom of foreign policy, and one that
Choniates, Historia 143,65–144,88 [1]). was sometimes stated explicitly (Const. Porph.
Scholars also discuss the choice of ‘typically’ DAI), was the principle of neutralizing militarily
Greek forenames for children as a possible indica- threatening neighbours by making alliances with
tion of integration or even assimilation. The gene- other, often ‘barbarian’ powers on their farther
alogical record suggests that integration usually frontier [3646–50]. This often occurred in conjunc-
took place in the second migrant generation [14]. tion with military action, e.g. when Leo VI encour-
Even so, consciousness of origins remained and aged the Magyar to attack the Bulgars in 894
surfaced in the discussion of particular individu- (Simeon Logothetes, Chronicon, cap. 133,17 [6]), or
als like John Axouch Komnenos, son of the above- when Nikephoros II Phokas (963–969) egged on
mentioned general Alexios and hence a grandson the grand prince of the Kievan Rus’, Sviatoslav I
of the Turkish megas domestikos John Axouch and Igorevič, to make war on Bulgaria (Leo the Dea-
the co-emperor Alexios Komnenos. con, Historia 5,1 [4]).
In his account of the failed usurpation of 1201, Byzantine foreign policy turned to ad hoc
in which he participated, Nicholas Mesarites con- embassies to achieve its goals (cf. e.g. [30]),
stantly makes indirect reference to his own Turkic because it had no permanent representation in
background, even though he was a third-gener- other countries. Foreign contacts in general inten-
ation Byzantine and a member of the imperial sified greatly in the late phase of Byzantine diplo-
house of Komnenos [5]; [11]. As can be seen from macy, in what became effectively a struggle for
this and similar cases, one consequence of these survival in the face of the Ottoman threat ([34129–
processes of acculturation was the construction by 131]; on emperors’ personal visits to foreign courts

the elites of Constantinople (especially after 1000) cf. most recently [16]).
of the identity of a mixobarbaros (‘half-barbarian’), Maps: Maps 1–10, Maps 14–19
whom they treated with contempt and accused of
disloyalty [8]. Bibliography
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offered various analyses of the principles of Byz- edited by A. Meineke, 1836 [3] Laonikos Chalko-
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sis Historiae libri decem, edited by C. B. Hase, 1828
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concessions to the Italian maritime republics in antine au XIe siècle, in: TM 6, 1976, 99–124 [9] H.
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while the processes whereby treaties were made Constantinople and Rome. A Survey of the Relations
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(Swansea 1998), 2000, 267–292 [20] J. Herrin, Visions of Community in the Post-Roman World, 2012,
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in Byzantium. The Transformations of Greek Iden- tung im höfischen Zeremoniell, 1938.
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2007 [24] A. P. Kazhdan, The Notion of Byzan- Neslihan Asutay-Effenberger
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Kislinger, Regionalgeschichte als Quellenproblem. Max Ritter
Die Chronik von Monembasia und das sizilianische
Demenna, 2001 [26] J. Koder, Die räumlichen
Vorstellungen der Byzantiner von der Ökumene 15.2. The West
(4. bis 12. Jahrhundert), in: Anzeiger der Philos.-
Histor. Klasse der Österreichischen Akademie der A. 5th–8th centuries
Wissenschaften 137/2, 2002, 15–34 [27] J. Koder,
B. Byzantium and the Carolingians
Griechische Identitäten im Mittelalter. Aspekte einer
Entwicklung, in: A. Avramea et al. (eds.), Byzan- C. Relations in the 10th and 11th centuries
tium. State and Society, 2003, 297–319 [28] A. E. D. Byzantium and the Crusades
Laiou, The Foreigner and the Stranger in 12th Cen- E. Contacts in the Late Byzantine period
tury Byzantium, in: M. T. Fögen (ed.), Fremde der (13th–15th centuries)
Gesellschaft. Historische und sozialwissenschaftliche
Untersuchungen zur Differenzierung von Normalität A. 5th–8th centuries
und Fremdheit, 1991, 71–97 [29] K. Lechner, Hel- Even after the collapse of the Western Roman
lenen und Barbaren im Weltbild der Byzantiner, imperial succession, relations between Constanti-
1954 [30] T. C. Lounghis, Les ambassades byzan-
nople and the Latin West – as far as the Byzantines
tines en Occident, depuis la fondation des États bar-
bares jusqu’aux Croisades (407–1096), 1980 [31] T. C. were concerned – amounted to relations within
Lounghis, Die byzantinische Ideologie der ‘begren- the empire. This applied not only to the papacy,
zten Ökumene’ und die römische Frage im ausgehen- which in its capacity as the supreme ecclesiastical
den 10. Jahrhundert, in: BSl 56, 1995, 49–67 [32] E. authority kept sometimes very close contacts with
Malamut, L’image byzantine des Petchénègues, in: the imperial court in the course of the theologi-
BZ 88, 1995, 105–147 [33] C. Malatras, The Mak- cal controversies of the 5th and early 6th centu-
ing of an Ethnic Group. The ‘Romaioi’ in 12th–13th ries [9135–172]; [27], but also to the ‘barbarian’ regna
503 15.2. the west

[3541–81] established on imperial soil. The Ostro- occasioned a fundamental recalibration of Byz-
gothic King Theoderic, for example, was commis- antine foreign relations, firstly in response to the
sioned to conquer Italy as the patricius of Emperor disappearance of the zone of direct Byzantine
Zeno in 488, and even after establishing his king- rule in Central Italy, and secondly in consequence
dom there, he maintained regular ambassadorial of the alliance that now emerged between the
contact with the Byzantine imperial court. In 525, papacy and the Carolingians. The intervention of
he even used the pope as his ambassador, thereby King Pepin the Short (751–768) in Italy in support
initiating a series of papal residences at Constanti- of the pope brought the Franks to the forefront of
nople that lasted until the early 8th century. Byzantine attention. As it turned out, however,
Diplomatic contacts in the reign of → Justin- Pepin was also interested in good relations with
ian I (2.3.; 527–565) served primarily to comple- the emperor, and – like his son Charlemagne – he
ment and legitimize the emperor’s expansionist nurtured contacts with Constantinople, including
policy towards the Vandals in North Africa and the hatching plans for a marital alliance between the
Ostrogoths in Italy [31149–165], which brought much dynasties [35143–155]; [40188–190, 250–260].
of the western Mediterranean back under Byzan-
tine rule. Evidence of contact between Byzantium B. Byzantium and the Carolingians
and the Visigoths is very sparse [14]. By contrast, The Frankish annexation of the Lombard king-
Constantinople had a wide variety of contacts dom in 774 created a new constellation of proxim-
with the Merovingian Kingdom of the Franks in ity between the Franks and Byzantium. Byzantine
the 6th century, beginning with an illustrious lega- possessions in Italy were now reduced to the dou-
tion sent to Clovis in 508 [38]. Diplomatic efforts kata of Calabria and Otranto, which belonged to
between the 530s and 550s, and again after 580, the thema of Sicily. A number of port cities, includ-
focused on the Austrasian portion of the kingdom, ing Naples, Amalfi and Venice also theoretically
which Byzantium was seeking to win as an ally in recognized Byzantine sovereignty. Neighbouring
its war against the Ostrogoths and Lombards in them, the Lombard Duchy of Benevento, which
Italy [1718–25, 31–47]. at first deliberately sought to position itself on the
After embassies were sent between Herakleios Byzantine side, successfully asserted its indepen-
and Dagobert in the 630s, however, there is no dence in the face of Charlemagne’s expansionist
evidence of further political contact between Byz- push [183–17]. Southern Italy, along with Venetia
antium and the Franks until the mid-8th century and Istria, thus became one of the most important
[1652–56]. The Lombards were initially regarded zones of contact and potential conflict between
as enemies of the empire, and Phokas (602/10) Byzantium and the Franks.
was the first emperor to conclude a peace with These political manoeuvres also played out
them [12158–161]. Even after this, however, contact in the ecclesiastical sphere. The rulings of the
between them and Constantinople remained spo- Seventh Ecumenical Council of Nicaea (787) on
radic, even though their respective interests in the restoration of the icon cult were thrown out
Italy were closely aligned. Undoubtedly, Constan- in the so-called Libri Carolini, a comprehensive
tinople’s most important western contact in the theological treatise, and by a synod held at Frank-
7th and early 8th centuries was the papacy, which furt in 794 [1334–39]. When Charlemagne was then
maintained a more or less permanent representa- crowned Emperor of the Romans by Pope Leo
tion (the apokrisirioi) on the Bosporus [21]. This III on Christmas Day 800 [48], the Franks also
was the case even during periods of bitter con- embarked on an ideological collision course with
flict, such as in the incumbencies of Popes Martin Byzantium. Although Charlemagne derived no ter-
I (649–653) and Gregory II (715–731), as the Eiko- ritorial claims from his imperial crown, military
nomachia waned and fiscal and soon jurisdictional conflict soon broke out over Venetia, Istria and
rivalries reared their heads. Nonetheless, the fact Dalmatia. Byzantium defended its control over
that almost all popes of the late 7th and early 8th these regions in 812, but found itself compelled
centuries were of Greek or Syrian origins may to recognize Charlemagne as emperor, albeit
be taken as evidence of Rome’s deep integration only in his Frankish domains and without refer-
within the empire. ence to Rome [1391–97]. The Byzantine emperors
Mediated by the papacy, the influence of Byz- henceforth added precisely such a reference to
antium stretched even as far as the British Isles, their own title (basileus ton Romaion, ‘king of the
where Theodore of Tarsus was consecrated arch- Romans’). However, this ‘two-emperors problem’
bishop of Canterbury in 668. There is no evidence, subsequently only ever become acute when other
however, of direct political relations between Byz- specific political disputes arose (cf. [34]).
antium and the Anglo-Saxon or Irish kingdoms of Indeed, the Muslim threat to Southern Italy,
the Early Middle Ages. Finally, quite apart from beginning when they established themselves on
the aforementioned conflicts with the papacy, the Sicily in 827 and intensifying when they proceeded
Lombards’ advance through Italy (751 Ravenna) to establish emirates on the Italian mainland, also
15.2. the west 504

offered scope for cooperation between the Byzan- tive crisis in relations [863–116]. In any case, these
tines and the Franks [2937–47]; [25]. As the Western ecclesiastical fault lines had a limited influence on
Empire declined, it was ultimately the Byzantines political realities. Constantinople and Rome relied
who benefited from the expulsion of the Muslims, on one another frequently in Italy, firstly when
and Bari became the centre of Byzantine South- facing the Muslim threat to Italy from Sicily, then
ern Italy in 876 [1818–44]. The waning of the Arab later against the Normans, who began settling in
threat on the eastern frontier as a result of the col- the region (initially as mercenaries) in the mid-
lapse of the Abbasid Caliphate and the addition of 11th century before going on to found their own
the now Christianized Bulgars to the empire gave dominions [23].
Constantinople new opportunities for an active The loss of much of Asia Minor in the latter
Italian policy. Further expansion and administra- half of the 11th century magnified the importance
tive reforms (892: foundation of the thema of Lan- of Byzantium’s Balkan provinces, and hence also
gobardia) strengthened the Byzantine presence in of its relations with the West. The almost simul-
the region [22]; [1845–50]. taneous loss of Southern Italy to the Normans
weighed all the more heavily (1071: fall of Bari, the
C. Relations in the 10th and 11th last Byzantine foothold in Italy), not least because
centuries it could now serve them as a springboard for
Byzantine dominance in Southern Italy was Norman military expeditions into the → Balkans
challenged again as the Holy Roman Empire (15.3.). Faced with his own naval weakness, Alexios
revived under Otto I (962–973), which inspired I Komnenos (1081–1118) tried to woo the great mar-
both claims to Italian domains and new contro- itime power of Venice, formally part of the empire
versy over the imperial title. The account given but by now de facto independent, as an ally against
by Liutprand of Cremona, Otto’s ambassador, of the Normans by granting it far-reaching privileges
his mission to Nikephoros II Phokas (963–969) (Chrysobull 1082 [2no. 1081]; [338–16]; → 2.5. Alexios I.
in Constantinople gives vivid insights in this con- Komnenos D.) [4259–63].
text (Liutprand, Relatio [4]). John I Tzimiskes
(969–976) succeeded in defusing the conflict in D. Byzantium and the Crusades
972 when he arranged for his niece Theophano The Crusades permanently altered the param-
to marry Otto’s son and heir, the future Otto II eters of relations between Byzantium and the
(973–983) [16]. A number of objects, including West. The Latin world now began to expand into
pieces of → ivory (10.14.) work, attest to the cultural the eastern Mediterranean. En route to the Holy
influence exerted in the West by Byzantium at this Land, the participants in the First Crusade (1095–
period [40163–174]. 1099) passed through the Byzantine Empire, lead-
The rivalry between the western and eastern ing to many serious conflicts [3233–63]. It was only
empires in Southern Italy flared up repeatedly, but now that religious and general cultural differences
there were also long phases of cooperation and came to wider attention. While Byzantium saw the
exchange. Negotiations were held in pursuit of fur- Crusades primarily as a threat, many Crusaders
ther marital alliances, but came to nothing. Rival- felt betrayed by the Byzantines. Even in the course
ling Constantinople in the ecclesiastical sphere, of the planning of the Second Crusade, Crusader
the papacy in Rome increasingly began to assert voices were already raised demanding the con-
itself as a force with its own agenda. Its relations quest of → Constantinople (8.10.) [24157–163]. Mean-
with the patriarchate of Constantinople oscillated while, the establishment of the Crusader states
between the warmth of church communion and during the First Crusade presented Byzantium
the chill of estrangement in times of conflict, e.g. with new challenges, because these princedoms
under Patriarch Photios (858–867 and 878–886) had very close relations with the kingdoms of the
[15] or the Schism of the Two Sergii around 1010 West (France and the Normans). The establish-
[836–45]. Differences arose from the doctrinal ques- ment of a Latin church hierarchy in the Crusader
tion of the origin of the Holy Spirit (filioque con- princedoms meanwhile intensified the conflict in
troversy; → 7.1. Doctrinal history D.) and then after the ecclesiastical sphere, as the Greek Orthodox
1000 from matters of ritual (e.g. the use of leav- hierarchy was subordinated to the Latin [45].
ened or unleavened bread in the Eucharist) and The emperors of the 12th century approached
the extent of the papal claim to primacy. this new situation in different ways. Alexios I and
The patriarchs of Constantinople recognized John II (1118–1143) tended towards confrontation,
Rome’s honorific primacy within the Church as a while Manuel I 1143–1180) preferred to use peace-
whole, but ruled out any papal claim to jurisdic- ful means to bring the Crusaders into his orbit
tional supremacy. In this situation, even the quar- [34209–211]. Under Manuel, the Byzantine claims in
rel of 1054 (the supposed ‘Great Western Schism’) Italy, which had never been abandoned, returned
did not mark a definitive break between Ortho- to the focus of attention. Alexios I had already
doxy and Catholicism, but only a specific, situa- offered to receive the imperial crown from the city
505 15.2. the west

of Rome [34]. Initially, the Byzantines pursued a Following the recapture of Constantinople
policy of alliance against the Normans with the in 1261, Michael VIII Palaiologos (1259–1282)
German ‘Kings of the Romans’ and Holy Roman launched a determined diplomatic courtship of
Emperors. Manuel married Bertha of Sulzbach, a the papacy to thwart Charles of Anjou’s plans to
niece of Conrad III. However, relations deterio- restore the Latin Empire. A constant of Late Byz-
rated disastrously in the reign of Frederick I Bar- antine policy towards the West now came to the
barossa. Manuel I now began a policy of shifting fore: the tireless effort to achieve a church union,
alliances with the other powers of Italy (Kings which first peaked at the Second Council of Lyon
of the Romans/Holy Roman Emperors; Normans; in 1274 [47]; [46], in exchange for Latin support
papacy; Venice and other northern city-states). His for the key Byzantine strategic priorities as the
costly attempts to revive Byzantine rule in Italy empire fought for its very survival. Those priorities
ultimately failed [30]; [50]; [28]. focused on countering aggression emanating from
The era of the Komnenoi in general, and the Southern Italy in the late 13th century, but shifted
reign of Manuel I in particular, was dominated by to a joint effort to hold back the advancing Otto-
the growing importance of Western customs and mans in the 14th century. The new, wider horizons
advisors at the imperial court (Niketas Choniates, of Late Byzantine diplomacy encompassed steady
Chronike diegesis [3204 f.]). The maritime republics diplomatic traffic with the Catalan merchant com-
of Venice, Genoa and Pisa were also in the ascen- pany, mercenary forces and the Aragonese crown
dant [10]; [44]. Lacking an adequate navy, the [1]; [37].
Byzantine emperors found themselves constantly Another focal area was the Italian maritime
relying on the Italians, whom they attempted to republics, especially Genoa and Venice. As allies
play against one another (→ 6.4. The navy B.). Ital- of Michael VIII, the Genoese at first enjoyed a
ian merchants, enjoying privileges that exempted privileged position on the Bosporus, and they
them from duties, dominated commerce [33] and were even granted administrative control of
made themselves distinctly unpopular with the Galata/Pera as an autonomous Genoese city
Byzantine populace in the process, with such con- (→ 8.10. Constantinople D.) [6]. New treaties also
sequences as the pogrom against the Pisans and regulated relations with Venice in Michael’s reign,
Genoese in Constantinople in 1182 [1141–43]. The the first in a series of more than twenty, mostly
emperors vacillated in their policy towards Ven- valid for terms of five years, that continued until
ice. Ultimately, however, Byzantium was already the Fall of Constantinople and laid the foundation
far too reliant on the maritime strength of the for the powerful Venetian commercial presence
Italian republics to escape their influence entirely. in the capital [42190–389]. The competing interests of
Contemporaries already recognized the lack of an the two maritime powers in the eastern Mediter-
effective navy as a grave weakness (Niketas Choni- ranean and Black Sea handed a key strategic role
ates, Chronike diegesis [355 f.]). to Byzantium even in its new, territorially reduced
As the Byzantine imperial government disin- state, but they also led to outbreaks of hostilities
tegrated after the death of Manuel I in 1180, the in the straits (e.g. 1352) and led the Italians to take
dangers of this dependence on the West became sides in Byzantine dynastic disputes.
all too clear [11]. Kinship relations, dynastic rival- Relations with the Roman Curia, meanwhile,
ries and disregarded privileges created a toxic which were always focused on the problem of
mix that ultimately induced the Fourth Crusade church union, while not breaking down, made
(1202–1204), initially bound for Egypt, to change little or no progress in the 14th century, because
course for Constantinople. The city was taken and the popes at Avignon continued to insist on the
sacked by the Crusaders and Venetians in 1204 [5]; unilateral reductio Graecorum, i.e. the return of
[32157–175]. the Greeks to the faith and their obedience to the
‘universal’ Roman Church [41]. It was only under
E. Contacts in the Late Byzantine pressure from the Council of Konstanz (1414–1418)
period (13th–15th centuries) that the Curia accepted the principle of working
The Greek states across Epirus and Asia Minor towards church union by means of open discus-
that emerged from the turmoil of the Fourth Cru- sion at an ecumenical council. Following a flurry
sade nurtured close contacts mostly in the limited of diplomatic activity, that council took place at
sphere of ‘Romania’ (i.e. the ‘Roman’ territories of Ferrara and Florence in 1438/39 [26]. Despite the
Byzantium). Notably, however, embassies were proclamation of church union at the council, the
also sent between John III Vatatzes (1222–1254) experience of their encounters there made Byz-
of Nicaea and the Hohenstaufen Holy Roman antine opponents of the union (centred around
Emperor Frederick II [39], culminating in a mar- Markos Eugenikos) all the more determined in
riage treaty and ultimately helping to intensify their opposition, and they worked to exacerbate
contacts between Byzantium and the Aragonese mistrust and prejudice on both sides in their suc-
crown [36]. cessful fight. Late Byzantine emperors had already
15.2. the west 506

travelled personally to the West on several occa- tenreich und Ostrom (475–615), in: MIÖG 104, 1996,
sions before John VIII went to the Union Council, 13–25 [15] F. Dvornik, The Photian Schism. His-
among them John V to Rome and Venice in 1369 tory and Legend, 1948 [16] O. Engels, Theophanu
[19138–234] and Manuel II to France, England and – die westliche Kaiserin aus dem Osten, in: O.
Engels / P. Schreiner (eds.), Die Begegnung des
elsewhere between 1399 and 1403 (→ 2.6. Manuel II Westens mit dem Osten, 1993, 13–36 [17] E. Ewig,
Palaiologos B.) [7165–199]. Like the many embassies Die Merowinger und das Imperium, 1983 [18] V.
sent out in the late 14th and early 15th centuries, von Falkenstein, Untersuchungen über die byzan-
the purpose of these personal diplomatic missions tinische Herrschaft in Süditalien vom 9. bis ins 11. Jah-
was primarily to secure military assistance against rhundert, 1967 [19] O. Halecki, Un empereur de
the Ottomans, but they proved fruitless. Byzance à Rome. Vingt ans de travail pour l’union des
On the whole, Byzantine contacts with the Églises et pour la défense de l’Empire d’Orient, 1355–
Latin world intensified and diversified greatly dur- 1375, 1930 [20] J. Harris, Greek Emigres in the
ing the last centuries of the empire’s history, and West 1400–1520, 1995 [21] J. Herrin, Constantino-
ple, Rome and the Franks in the Seventh and Eighth
political, military, religious and commercial inter-
Centuries, in: J. Shepard / S. Franklin (eds.), Byz-
ests became increasingly interwoven (cf. [43]). antine Diplomacy, 1992, 91–107 [22] R. Hiestand,
Late Byzantium was no longer an imperial force, Byzanz und das Regnum Italicum im 10. Jahrhundert,
but it found ways to benefit from its strategic loca- 1964 [23] H. Hoffmann, Die Anfänge der Norman-
tion and the traditional prestige of its emperor. nen in Süditalien, in: Quellen und Forschungen aus
Constantinople was the destination of many west- italienischen Archiven und Bibliotheken 49, 1969,
ern travellers, including Humanist scholars (Gua- 95–144 [24] S. Kindlimann, Die Eroberung von
rino, Filelfo), who from the late 14th century on Konstantinopel als politische Forderung des West-
were urgently engaged in the reception of Greek ens im Hochmittelalter, 1969 [25] E. Kislinger,
erudition, inspired not least by the teaching of the Erster und zweiter Sieger. Zum byzantinisch-karo-
lingischen Bündnis bezüglich Bari 870–871, in: ZRVI
Byzantine intellectual Manuel Chrysoloras at Flor- 50, 2013, 245–258 [26] S. Kolditz, Johannes VIII.
ence [49]. Many Greek emigrés [20] were able to Palaiologos und das Konzil von Ferrara-Florenz
take advantage of the personal networks created (1438/39), 2 vols., 2013–2014 [27] J.-M. Kötter,
in this way in Italy and other Latin countries fol- Zwischen Kaisern und Aposteln. Das Akakianische
lowing the Fall of Constantinople in 1453. Schisma (484–519) als kirchlicher Ordnungskonflikt
Maps: Maps 2–4, Maps 6–10, Map 14, Map 16; der Spätantike, 2013 [28] O. Kresten, Der ‘Anre-
BNP Suppl. 3, 233, 234, 235, 236, 237, 249, 251 destreit’ zwischen Manuel I. Komnenos und Friedrich
I. Barbarossa nach der Schlacht von Myriokepha-
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Johannes XI. Bekkos als Verteidiger der Kirchenu- such as the Bulgars, Magyar, Croats and Serbs.
nion von Lyon (1274), 2005 [47] B. Roberg, Die Questions of ethnogenesis remain controversial
Union zwischen der griechischen und der latein-
to this day, however, particularly in regard to the
ischen Kirche auf dem II. Konzil von Lyon (1274),
1964 [48] R. Schieffer, Der Weg zur Kaiserkrö- Albanians and Romanians. Although Byzantine
nung 800, in: Zsch. des Aachener Geschichtsvereins authors were often well informed about the tribes
104–105, 2002–2003, 11–23 [49] L. Thorn-Wick- and peoples Byzantium was dealing with in the
ert, Manuel Chrysoloras (ca. 1350–1415), 2006 [50] Balkans and Eastern Europe, their texts were writ-
H. Vollrath, Konrad III. und Byzanz, in: Archiv für ten with many different intentions in mind and
Kommunalwissenschaften 59, 1977, 259–320. are complex. The picture they present is therefore
often distorted, particularly given that they tend to
Sebastian Kolditz use anachronistic names borrowed from classical
Martin Vučetić sources to describe contemporary conditions [44];
[21]; [38]; [39]; [53]; [11]; [45]; [52]; [18].
15.3. The Balkans and the Northeast
A.2. The northeast
A. Regions, populations and territories Many of the Ancient Greek cities founded
B. Relations with neighbouring states and on the Crimea survive today. Byzantium ruled
territories the southern and eastern parts of the peninsula,
C. Chronological history including the cities of Cherson and Bosporus/
Kerč, from the 4th to the 13th centuries – with
A. Regions, populations and periodic interruptions by Goths, Huns, Bulgars
territories and Khazars. Cherson and Bosporus both fulfilled
important functions in the Byzantines’ web of
A.1. Southeastern Europe: the Balkans relationships with their neighbours. It was here
A.2. The northeast that they obtained information about the complex
political and commercial interests and traditions
A.1. Southeastern Europe: the of the steppe peoples, i.e. the Turkic-speaking
Balkans horse peoples: the Huns, Old Turks/Kök Türük,
The Balkans became part of the Roman Empire Avars, (Proto-)Bulgars, Hungarians/Magyar, Kha-
towards the end of the 1st century ad. The Late zars, Pechenegs, Uzes/Oghuz and Cumans. The
Antique administrative units of Southeastern Khazar Khaganate, centred on Itil between the
Europe, the names of which survive to this day in 7th century and ca. 965, played a key role [2]; [14];
the names of provinces or regions, included Pan- [23]; [17].
nonia, Dalmatia and Illyria in the northwestern The Pontic steppe belt, the gateway to South-
Balkans, Macedonia and Thrace in the north and eastern and Eastern Central Europe, exerted a
east, and Epirus, Thessaly and the Peloponnese in powerful force of attraction on the steppe peoples
Greece. Southeastern Europe in the 4th and 5th until the Late Middle Ages. The appearance of
centuries was predominantly Greek to the south new tribal groups, e.g. from Central Asia, altered
and Latin to the north of the Jireček Line. This living conditions in the entire region as far as the
line, proposed by the historian Konstantin Jireček, northern Balkans. Some groups, like the Khazars,
ran approximately from Shkodër/Albania by way remained in the steppes, but others moved on
of Skopje to Nesebăr/Bulgaria and is marked by into Eastern Central Europe (Huns, Avars, Magyar,
the linguistic boundary between Latin and Greek Mongols), and they took other tribal groups with
inscriptions in Late Antiquity and the Early Byz- them (Goths, Slavs, Alans). Others again attempted
antine period [4526]; [21136]). Byzantine rule in the to settle in imperial territory south of the Danube
Balkans fluctuated in extent and intensity, but (Bulgars, Slavs, Antes, Pechenegs, Uzes, Cumans)
lasted for several centuries in some form, and its [31]; [19]; [57]; [47]; [39]; [52].
15.3. the balkans and the northeast 508

B. Relations with neighbouring The Varangians (soon called the Rus’) discovered
states and territories (in 837) and plied the river route to → Constanti-
nople (8.10.) from the Baltic through Lake Ladoga
B.1. Politics and along the Rivers Volchov and Dnieper. After
B.2. Economics and commerce establishing political control of the eastern Slavic
B.3. Church lands between Novgorod and Kiev, they then, in
907, initiated trading relations with the Byzantines
B.1. Politics regulated by treaty. The importance of this trade is
The role of Byzantium’s neighbours to the north emphasized by the outbreak of the war between
and northeast and in the Balkans should not be Byzantium and the Bulgars in 894, probably trig-
underestimated. Although contact and relations gered by Byzantium’s diversion of the Bulgar-
between them and the empire differed in form, ian trade from Constantinople to → Thessalonica
the underlying common factor for many centuries (8.11.) and by increased duties imposed on Bulgar
was the Byzantine desire to restore the boundar- traders [2173 ff.]; [178–86]; [1271 ff.]; [25vol. 2, 726]; [48Art. 4].
ies of the Roman Empire. This was to be done by
force is necessary, but Constantinople usually pur- B.3. Church
sued diplomatic routes to achieve its ends: paying Tribal groups along the northern shore of the
tribute (gold coin), giving precious gifts or bestow- Black Sea and in the northern Caucasus were
ing titles on high-ranking functionaries, whether repeatedly on the receiving end of Byzantine mis-
Christian or not. Peace treaties and alliances were sionary efforts (Crimean Goths: 4th and 6th cents.;
also cemented by dynastic marriages [170–99]; [47]; Huns and Bulgars: 6th/7th cents.; Khazars: 9th
[54]; [46]. cent.; Rus’ and Alans: 10th cent.), especially after
The emperors granted recognition and legiti- the Rus’ assault on Constantinople in 860. Con-
macy to other rulers and ‘their’ dominions, stantinople hoped to Christianize the pagan elites
especially those of Orthodox faith, by means of and their populations and establish ecclesiastical
agreements, in a similar way to the popes. Even structures in order to subjugate them to the patri-
where the orientation of the local church was arch of Constantinople and, ideally, the emperor.
towards Rome, as in Dalmatia, the loose exercise Because of the unusual settlement conditions of
of Byzantine suzerainty through archontes sent the steppes, with frequent migration, however,
from Constantinople or local representatives was these efforts generally failed, with the singular
not out of the question. Byzantium maintained exception of the Rus’, and particularly in the case
its claims of authority as far as the Danube-Drava of the Khazars, who chose Judaism instead [15];
frontier until the 12th century, but direct rule was [3511–23]; [50]; [22].
only sporadically possible in the Early Middle The arrival of the Slavs and Avars largely eradi-
Ages and the 11th and 12th centuries (see below, cated Christianity from the interior, and even
C.2.). Otherwise, Byzantium sought to enforce from some coastal cities, in the 6th/7th centuries.
its authority in indirect ways [34]; [54]; [53]; [4]; Only when Byzantium recaptured the mainland
[48Art. 1, 8 f.]. in the 8th/9th centuries did Christianization com-
The prestige of the Byzantine Empire led mence (or resume) in the Balkans, now in com-
Orthodox neighbour states in particular to seek to petition with Rome. The Bulgars and Serbs were
emulate the Byzantine model of monarchical gov- duly baptized in the latter half of the 9th century.
ernment, sometimes acknowledging the emperor’s The brothers Constantine (monastic name: Kyril-
supremacy, but sometimes seeking equal status los/Cyril) and Methodios, called the ‘Apostles to
with him or aspiring to take his place. This ten- the Slavs’, used a new script (Glagolitic) to create
dency began in Bulgaria in the reign of Simeon a missionary and liturgical language (Old Church
(893–927) and again under the Asen Dynasty Slavonic) for instructing the faithful in the realms
(after 1185), and in Serbia under Stefan I Nemanjić of the Moravian prince Rastislav, who in 862 had
(1196–1228) and Stefan Uroš IV Dušan (1331–1355). asked Emperor Michael III for help in this area.
It also took hold in Russia after 988, especially Methodios continued the work after Cyril’s death,
after 1328, when the Metropolis of Kiev transferred but was often hampered in his work by the East-
to Moscow [34]; [47]; [48]. ern Frankish clergy, who saw their influence in
Moravia under threat.
B.2. Economics and commerce After Methodios’ death, his and Cyril’s follow-
The interest of Byzantium’s northeastern neigh- ers were expelled from Moravia, but they were
bours in Byzantine luxury goods and products taken in by Knyaz/Tsar Boris I/Michael of Bul-
from the East enabled the empire to acquire skins, garia, who had converted in 865, to conduct a
wax, foodstuffs and slaves by trading in them. mission in his domains. At first, in 870, the church
Exchange with forest and steppe peoples took there was assigned to the patriarchate of Constan-
place near to fortified locations and/or in frontier tinople, but in 927 Romanos I made the archbish-
regions (→ 9.8. Commercial travel) [25vol. 2 and 3]. opric of Bulgaria a separate patriarchate. → Basil II
509 15.3. the balkans and the northeast

(2.4.) then deprived it of this title in 1018, while the Huns. They included the (Proto-)Bulgars and
creating the autocephalous Byzantine ‘Bulgarian related tribes (Kutrigurs, Utigurs and Sabirs) [31];
Archbishopric’ of Ohrid. The Orthodox Bulgar- [27]; [56]; [44]; [57].
ian Patriarchate was not restored until under the The appearance of the Avars (558) in the
Asen Dynasty in 1235, after a short-lived union northeast, and the emergence of their state in
with Rome (1204–1233). Its seat was at Tărnovo Pannonia, caused new migrations, with serious
and it lasted until 1393. The Serbian Church, which consequences for the Balkans. The failure of the
had belonged to the Archbishopric of Ohrid since Avar-Persian Siege of Constantinople (626) her-
1020, became an autocephalous archbishopric in alded the decline of the Avars. The Slavs and
1219, under Archbishop Sava and with the help Antes in the northeast, who had generally been
of Emperor Theodore I Laskaris of Nicaea. Under subject to them, now pushed down into the Bal-
Tsar Stefan IV Dušan, it then became a patriarch- kans and settled there. Although the extent of the
ate in 1346 (dissolved soon after 1453) [15]; [36]; ‘Slavic Settlement’ of the Balkans is currently a
[45]; [50]; [57]; [55]; [6]. subject of discussion (downplaying its scale [8];
Of all the centres of Byzantine monasticism in [9]), Byzantium largely lost control of the region
Southeastern Europe and Russia, Mount Athos, in the 7th century, because the Slavs established
showered with privileges by the emperors (and many autonomous districts (the sklaviniai). Only
still an autonomous territory today), acquired a in coastal regions could Byzantine structures sur-
unique status in the 10th century as a cradle and vive, thanks to functioning maritime links [44];
stronghold of Orthodoxy, with its twenty major [20]; [21]; [37]; [38]; [39]; [19]. Some of the ‘Great
monasteries, especially the ‘national monasteries’ Bulgars’ who had eluded the Khazars by entering
founded and supported by rulers of the Georgians the Byzantine Empire via the lower reaches of
(Iberon/Iviron Monastery), Serbs (Chilandariou), the Danube also settled and asserted themselves
Bulgars (Zographou), Romanians (Hagiou Pau- against Byzantium. A treaty signed with Constan-
lou) and Russian (Panteleimonos). There is ample tinople in 680/81 is regarded as the date of the
evidence of the cultural aura of Athos, reaching foundation of Bulgaria, which absorbed several
far beyond the borders of the Byzantine Empire Slavic groups as it expanded southwards and west-
(→ 7.5. Monasticism and monastic institutions wards [57].
F.3.; cf. also → 8.8. Monastic settlement forms) The Byzantines managed to bring much of the
[34202–362]; [32]. southeastern Balkans back under their control
beginning in the late 7th century, thanks to politi-
C. Chronological history cal and military action combined with Christian
instruction in the context of missionary activity
C.1. From the migration of the Visigoths to the (and to resettlements) [10]; [1232–250]; [5]; [49]. The
settlement of the Magyar reconquest associated with the Christianization of
C.2. Byzantine supremacy in the Balkans and its the Slavs reached its high-water mark in the lat-
decline (10th–12th centuries) ter half of the 9th century. Bulgaria under Tsar
C.3. Relations with northern neighbours, Boris/Michael was also brought into the politi-
1204–1453 cal and cultural sphere of the Byzantines around
870 (see above, B.3.). Tsar Simeon I increased the
C.1. From the migration of the intensity of Christianization, for instance through
Visigoths to the settlement of the his expansion of the capital Preslav [36]; [50]; [51].
Magyar Since losing the northern Balkans, virtually the
The Visigoths, along with other tribes from the Byzantines’ only point of contact with the steppe-
northeast, sought refuge in the Byzantine Empire dwelling groups was the Crimea. During their con-
from the advancing Huns in 376, and most of flict with the Bulgars in 894, they used it to incite
them did not move on to the west under Alaric the Magyar groups in the steppes to attack the Bul-
until around 400. The Huns went on to devas- gars. The Bulgars responded by asking the Pech-
tate swathes of Byzantine territory, in collabora- enegs to drive the Magyars out of their homelands,
tion with Alan and Goth groups, until the death which in turn led to the Hungarian settlement of
of Attila in 453. After the collapse of the kingdom the Great Pannonian Plain [43]; [39]; [52vol. 1].
of the Huns, a Pannonian Ostrogothic kingdom
emerged. The Ostrogoths’ relations with Byzan- C.2. Byzantine supremacy
tium were good at first, but in 473 they ravaged in the Balkans and its decline
Illyricum and went on to threaten Constantino- (10th–12th centuries)
ple itself (488), until King Theoderic decided to Even after the Christianization of the Bulgars,
change course and make for Italy instead. Byzan- they repeatedly came into conflict with Byzan-
tium came into contact with several Turkic groups tium, especially in the reign of Tsar Simeon. How-
in the late 5th century that were living in the ever, the peace concluded in 927 with Tsar Petăr
steppes following the collapse of the kingdom of I held until 969, ushering in a phase of cultural
15.3. the balkans and the northeast 510

exchange with Byzantium. The Serbian prince- to the Adriatic, but also attracted the suspicion
doms of Raška and Diokleia/Zeta also came ever of Venice and the Byzantines. Serbia also came
more strongly into the focus of Byzantine atten- increasingly under Hungarian influence, and the
tion in the 10th century [610–33]. border country between Belgrade and Braničevo
Meanwhile, in 966, Byzantium embarked on a saw many clashes between Byzantine and Hungar-
policy of involving the Rus’ in pursuit of its impe- ian forces. Byzantium therefore kept a close eye
rial ambitions in Bulgaria. However, when the Rus’ on Hungary. There were frequent alliances and
moved against Thrace after taking Preslav in 969, dynastic marriages, especially in the 12th century.
Constantinople was in danger. John I Tzimiskes The relationship between the two crowns was par-
responded with a campaign that compelled the ticularly close in the reigns of Manuel I Komnenos
Rus’ to withdraw (Treaty of Dristra 971), before (1143–1180) and King Béla III, who probably had
taking Preslav, capturing Tsar Boris II and dis- the Byzantine enamel plaques with ruler portraits
playing him in a triumph at Constantinople, and (the corona graeca, sent to Géza I around 1075)
occupying eastern Bulgaria. However, Tsar Samuel incorporated into the Crown of St. Stephen, and in
soon restored the Bulgar Empire in the west, in the the Late Byzantine period, especially in the reigns
region around Prespa/Ohrid. His wars with Basil of John V (1341–1391) and John VIII (1425–1448)
II of Byzantium led to the capitulation of Bulgaria [28]; [54]; [40]; [4].
in 1018 and its incorporation into the Byzantine Byzantium increasingly lost control of much of
Empire. The Bulgar Empire would be resurrected the Balkans after the death of Manuel I in 1180. The
in 1185 by the Asen Dynasty, with its capital now Asen uprising lead to the foundation of the Second
at Tărnovo [54]; [3]; [41]; [47]; [48]. Bulgar Empire in 1185/86, and Serbia asserted its
The Christianization of the Rus’ began in 988, independence under the Nemanjić Dynasty. Byz-
when Grand Prince Vladimir of Kiev linked the antium was still trying to regain control of these
military aid requested by Basil II with his own situations together with the Hungarians in 1192
marriage to Basil’s sister Anna. Byzantium agreed (summit meeting at Belgrade), but the altered
to the plan, provided that Vladimir accepted bap- political situation after 1204 led to the foundation
tism first. Vladimir agreed, setting the scene for of the Kingdom of Serbia in 1217 [54]; [6]; [42].
the Byzantine Orthodox Christianization of the
Kievan Rus’, whose bishoprics were assigned to C.3. Relations with northern
the Kiev metropolis of the patriarchate of Con- neighbours, 1204–1453
stantinople, which extended as far as Novgorod. The fragmentation of the Byzantine Empire
The metropolitans henceforth dispatched from after 1204 (emergence of the Byzantine exile states
the Bosporus to Kiev became important agents of of Nicaea and Epirus) strengthened the hands of
Byzantine culture [34]; [35]; [12]; [50]. Bulgaria and Serbia. The defeat of Theodore Dou-
The middle and lower reaches of the Danube kas of Epirus at the hands of Tsar Ivan Asen II in
again marked the northern border of the empire 1230 gave Bulgaria the lead until 1241, when Mon-
between 1020 and 1190 or so, and the Byzantines gol attacks weakened Bulgaria and Hungary and
on it found themselves successively confronted enabled Nicaea to recover some ground. Nicaea
by the Pechenegs, Uzes and Cumans. There were then regained Constantinople in 1261. The first
repeated and massive invasions of the empire, phase of the Palaiologan period, while Byzantium
especially between 1045 and 1049. Large areas fell was embroiled in civil wars that also involved its
under Pecheneg control for some four decades rivals Bulgaria and Serbia, saw Serbia under Stefan
(until 1091). The incomplete incorporation of the IV Dušan rise to a position of regional dominance
Pechenegs into the empire caused the situation to in the Balkans, but this was soon lost after Stefan’s
escalate in late 1091 and again in 1122, as the army death in 1355. None of the three powers had any
ground down the Pechenegs on each occasion in real answer to the accelerating Ottoman expan-
a war of attrition. The survivors were integrated sion (→ 15.5. The east) [33]; [3]; [6]; [47].
into mounted units of that same Byzantine army After the Serbian defeats on the Maritsa (1371)
[52vol. 1]; [26]; [29]. and in the ‘Blackbird Fields’ (Kosovo, 1389), the
Byzantium had many dealings in the 11th and Ottomans rapidly brought almost the entire east-
12th centuries with the Kingdom of Hungary, ern and central Balkans under their control. The
which had been Christianized around 1000, but failure of the crusades at Nikopolis (1396, under
where the dominant influence was Latin. Hun- Sigismund, then King of Hungary) and Varna
gary thereafter became a regional power with a (1443/44, under Władysław III of Poland/Hungary)
role alongside Byzantium in shaping the history marked the prelude to the Fall of Constantinople
of Southeastern Europe, as it repeatedly sought in 1453 [33]; [24]; [30]; [13].
to establish control over regions south of the Maps: Maps 2–10, Map 14, Maps 17–18; BNP
middle Danube. The king of Hungary also ruled Suppl. 3, 233, 234, 235, 236, 237, 241, 251
over Croatia after 1102, which won him access
 Baiuvarii
511
of
g d om s
k
K i ne F r a n
th
Slavs
3
1 Ravenna rs
Av a 45º
2 11
Perugia
10

A
12

dr
Spoletum

i
Rome
ea

at
4

i
9 c ck S
Bla
12 Beneventum
Se
Naples 7
a
5
6 Constantinople

40º

Carthage
8

12

The western neighbours of

the Eastern Roman Empire 35º
ca. 600
approximate boundary of
the Eastern Roman Empire

regions under Lombard control

Mediterranean Sea

regions partly occupied

by Slavs and Avars
1 Exarchate of Ravenna 6 Calabria
2 Kingdom 7 Doukaton of Beneventum 30º
of the Lombards 8 Bruttium
3 Liguria 9 Doukaton of Rome
4 Doukaton of Spoletum 10 Perugia
5 Doukaton of Naples 11 Pentapolis
0 100 200 300 400 500 km
12 Exarchate of Carthage
20º 25º 30º 35º
15.3. the balkans and the northeast

Map 14: The western neighbours of the Eastern Roman Empire, ca. 600
15.3. the balkans and the northeast 512

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den Steppenvölkern, insbesondere Pečenegen und (eds.), Geschichte Südosteuropas vom frühen Mit-
Kumanen, in: M. Salamon et al. (eds.), Rome, telalter bis zur Gegenwart, 2011, 24–65 [46] P. Sch-
Constantinople and Newly-Converted Europe, vol. 1, reiner, Byzanz 565–1453, 42011 [47] J. Shepard
2012, 319–332 [23] A. P. Kralidis, Οι Χάζαροι και (ed.), The Cambridge History of the Byzantine Empire
το Βυζάντιο. Ιστορική και θρησκειολογική προσέγγιση, c. 500–1492, 2008 [48] J. Shepard, Emergent Elites
2003 [24] K. Kreiser, Der Osmanische Staat 1300– and Byzantium in the Balkans and East-Central
513 15.4. the caucasus

Europe, 2011 [49] J. Shepard, Slavs and Bulgars, in: relations between the two states on a new footing.
J. Shepard, Emergent Elites and Byzantium in the Even so, Theodosius I was prepared in 387 to agree
Balkans and East-Central Europe, 2011, no. II, 228– to a partition of Armenia for the sake of peace with
248 [50] J. Shepard, Spreading the Word. Byzan- the Sassanids, putting most of the country in the
tine Missions, in: J. Shepard, Emergent Elites and
Byzantium in the Balkans and East-Central Europe,
hands of the Persians, who for a time attempted
2011, no. I, 1–17 [51] J. Shepard, Symeon of Bulgaria to compel them to accept Zoroastrianism by force.
– Peacemaker, in: J. Shepard, Emergent Elites and Local princes were soon deposed in both parts of
Byzantium in the Balkans and East-Central Europe, the country [10].
2011, no. III, 1–53 [52] V. Spinei, The Great Migra- Nevertheless, the Christian Roman Empire
tions in the East and South East of Europe from the remained a model for Armenian culture and
Ninth to the Thirteenth Century, 2 vols., 22006 [53] literature. When Mesrob Maštocʿ invented an
L. Steindorff, Kroatien. Vom Mittelalter bis zur alphabet for the Armenian language in the early
Gegenwart, 22007 [54] P. Stephenson, Byzan- 5th century, intensive work began to translate
tium’s Balkan Frontier. A Political Study of the North-
literature, mostly from Greek, and this in turn
ern Balkans, 900–1204, 2000 [55] P. Stephenson,
The Legend of Basil the Bulgar-Slayer, 2003 [56] H. had a linguistic influence on Armenian literature
Wolfram, Die Goten. Von den Anfängen bis zur (‘Hellenizing School’). Educational institutions in
Mitte des 6. Jahrhunderts, 31990 [57] D. Ziemann, the Byzantine Empire now regularly accepted stu-
Vom Wandervolk zur Großmacht. Die Entstehung dents from Armenia [2]. Ecclesiastical relations
Bulgariens im frühen Mittelalter, 7.–9. Jahrhundert, were also close. The senior Armenian bishop was
2007. ordained at Caesarea in Cappadocia until the end
of the 4th century. The Council of Chalcedon in
Günter Prinzing 451, however, heralded a dogmatic disagreement
Kostadin Sokolov between the Byzantine and Armenian Churches
that intensified into a schism in the late 6th cen-
15.4. The Caucasus tury, when the Byzantines attempted to coerce
the Armenians to recognize the Chalcedonian
A. Armenians doctrine (→ 7.6. Relations with other churches B.)
B. Georgians [495–115]; [9].
A. Armenians A.2. Armenia between Byzantium and
A.1. Byzantium and Armenia prior to the Arab the Islamic world
conquest (7th century) Scope for Byzantine influence narrowed in the
A.2. Armenia between Byzantium and the Islamic mid-7th century, when the Arabs took control of
world Armenia. There were several aristocratic uprisings
against their attempts to impose a stricter regime,
A.1. Byzantium and Armenia prior to but these were suppressed with much bloodshed.
the Arab conquest (7th century) It was only when the central authority of the
Rome and Persia started vying for control of the Caliphate began to wane in the middle of the 9th
strategically important Armenian highlands in the century that certain princes succeeded in achiev-
1st century bc. Either side, by controlling them, ing autonomy, especially the Bagratuni/Bagratid
could advance into the heartland of the other. This family, whom the caliph recognized as the Arme-
intermediate position equally provided the terri- nian royal family in 885. The Byzantine Empire,
tory with its commercial role. Armenia also had now expanding eastwards once more, also began
some goods of its own to offer, such as → textiles seeking political and ecclesiastical accommoda-
(10.16.), livestock, horses, → timber (10.17.) and met- tions with the Armenians. However, the return of
als, including → gold and silver (10.10.). Its ‘human rivalries between princedoms enabled Byzantium
potential’ was also in demand: the culture of its to incorporate most of these territories between
warrior nobility produced a series of high-ranking 966 and 1064, and the noble elites were resettled
generals in Byzantine service (some of whom even and compensated with lands in the interior of Asia
ascended the imperial throne; → 15.7. Minorities in Minor [3]; [4187–198].
the empire B.). Armenia was also a valuable source This policy caused unrest both in the new
of recruits, and soldiers and members of the gen- settlement areas and in Armenia itself. Following
eral population alike found their way across its the collapse of Byzantine authority in the east as
borders as migrants, refugees or abductees. At the a result of its defeat by the Seljuks at Manzikert in
same time, the political fragmentation of Armenia 1071, the nucleus of a new Armenian state arose
caused by the strong position of its aristocracy in Cilicia (11th–14th cents.), and its relations with
constantly offered the great powers ways of exer- Byzantium would be just as volatile as before. The
cising influence [12]; [463–94]. same double edge in attitudes to the Byzantine
The Christianization of the Roman Empire and Empire is also noticeable in Armenian histori-
the Armenian kingdom in the 4th century put ography, which oscillates between admiration of
15.4. the caucasus 514

its powerful Christian neighbour and condemna- although they held imperial titles such as kouro-
tion of Byzantine errors of belief and oppression. palates or sebastos and were thus vassals, tended
Despite close relations, depictions of Armenians in merely to pay lip service to the relationship with
Byzantine texts are also distinctly ambivalent [9]. Byzantium, and often found themselves at odds
with the empire. Political wrangling intensified
B. Georgians under David III kouropalates (961–1000). David
The history of Georgian civilization is long, had stood alongside → Basil II (2.4.) during the
and thanks to the country’s pivotal geographical revolt of Bardas Skleros, but thereafter embarked
position at the meeting place of Asia and Europe, on a project to expand the territory of Tao-Klarjeti.
it has been informed by the twofold influence of The quarrel flared up again under his successors,
east and west. As an important component of the but was soon resolved, and a pact was signed with
Christian East, Georgia played a crucial role in the Byzantium. King Bagrat III (978/1008–1014) then
unfolding of Byzantine and Near Eastern history. completed the reunification of Georgia, which
Christianization came early, at the beginning of became a centralized monarchy.
the 4th century, marking a watershed in the evo- The Seljuk invasions then tightened the Geor-
lution of political and spiritual life, and making gian-Byzantine embrace, but relations deteriorated
Georgia a natural ally of the Byzantine Empire. markedly after the calamitous Battle of Manzikert
King Vakhtang I Gorgasali (452–502?) fostered (1071), which deprived Byzantium of its hegemonic
this pro-Byzantine tendency with the primary goal status in Anatolia and left the Georgians to fight
(which he achieved) of freeing Georgia from the the Seljuks alone. David IV ‘the Builder’ (1089–
hegemony of Sassanid Persia, devoting particular 1125), however, succeeded in freeing Georgia – and
energy to intensifying political and diplomatic even Shirvan and northern Armenia, including
links with Constantinople [7]. During the 5th the city of Ani – from Seljuk rule, which propelled
century, Byzantium, which Georgian sources call Georgia itself to a position of political dominance
saberznet’i (‘Greece’), elada (‘Hellas’), dasavlet’i in Transcaucasia. David then renounced the Byz-
(‘The Occident’) or samep’o (‘The Empire’), became antine title of kouropalates entirely.
increasingly favoured as a destination for travel Despite political troubles, all the Georgian
and pilgrimage, particularly through the efforts of sources (hagiographies, chronicles, typika etc.)
the former Georgian royal prince and later bishop show that even if Byzantium became an enemy
Peter the Iberian, putative author of the Corpus and rival, it always remained a source of cultural
Areopagiticum [8]. fascination, seen as the exemplary fount of Chris-
Georgian epigraphy of the 5th–8th centuries tian civilization. Towards the end of the 10th cen-
illustrates the powerful Byzantine influence on tury, the Georgian monastery of Iviron, on Mount
the country at this period: the emperors are seen Athos, became in religious, spiritual, cultural – and
showering the aristocracy of Kartli (which the diplomatic – respects one of the most important
Byzantines called Iberia) with titles and honours centres of the day [6]. These Georgian contacts
(e.g. patrikios, hypatos) with increasing frequency, with the spiritual centres of Byzantium, nurtured
seeking to affirm and reinforce the kingdom’s over long periods of time, were also reflected in
political alliance with the empire. The only distur- the artistic life of the country. The influence is
bance to the Georgian alignment with Byzantium, seen first in manuscripts for ecclesiastical litera-
which was severe but brief, came as a result of the ture, which inspired the treatment of a variety of
Arab invasion in the second half of the 7th cen- material and subjects, and later also in visual art,
tury, but the status quo was restored [5]. which embraced Byzantine iconography.
Georgia aligned itself very closely with Byzan- Relations between Byzantium and Georgia
tium in the 9th and 10th centuries. The foundation during the reign of Queen Tamar (1184–1207/1213)
of the Kingdom of Tao-Klarjeti (Upper Iberia) in were dominated by the establishment of the
the 9th century by Ashot I, a kouropalates of the Empire of Trebizond. After the occupation and
Bagratid Dynasty, was followed by the liberation Sack of →  Constantinople (8.10.) during the
of much of Georgia from Arab dominance (partic- Fourth Crusade (1204), Tamar sent her troops to
ularly Kartli and Abkhazia), and its political unifi- the southern shore of the Black Sea to seize the
cation under the Bagratids. This brought Georgia territories of Trebizond, Amisus and Sinope and
back into the Byzantine orbit [1]. The country installed Alexios Megas Komnenos (1204–1222)
adopted the liturgy of Constantinople in the 10th as anti-emperor at the head of this new state.
century. Even so, relations between the kingdom The political and cultural florescence Georgia
and the empire were not without complications now enjoyed lasted until the 14th century. It was
[11]. interrupted only briefly by the Mongol invasion,
Tao-Klarjeti, which bordered directly on Byzan- then ended for good by the Fall of Constantinople
tine territory, was one of the most powerful Geor- (1453). Georgia now stood utterly alone against the
gian princedoms in the 10th century. Its princes, Muslim states, and the kingdom could do noth-
515 15.5. the east: the turks

ing to prevent its political and economic decline (a) nomadic Turkic groups (Pechenegs, Cumans,
or alleviate what became a protracted period of Golden Horde) or (b) sedentary Turkic states
isolation. (Seljuks and Ottomans). Hybrids also frequently
Maps: Map 3, Map 7, Maps 16–17; BNP Suppl. 3, emerged along the continuum between the two
237, 241, 243 forms (early Seljuks, Beyliks, early Ottomans).

Bibliography A.2. Anatolian Seljuk (Persai, Tourkoi)

[1] A. Eastmond, Royal Imagery in Medieval Geor- Sporadic Seljuk raids into Byzantine Anatolia
gia, 1998 [2] N. Garsoïan et al. (eds.), L’Arménie reached a climax with the epic Battle of Manzik-
et Byzance. Histoire et culture, 1996 [3] T. W. ert (1071), at which the Byzantines were defeated
Greenwood, Armenian Neighbours (600–1045), [25698–701]. The Turks encountered almost no orga-
in: J. Shepard (ed.), The Cambridge History of the
Byzantine Empire, c. 500–1492, 2008, 333–364 [4]
nized resistance in Anatolia. Although the invad-
R. G. Hovannisian (ed.), The Armenian People ers numbered less than one tenth of the entire
from Ancient to Modern Times, vol. 1, 1997 [5] Anatolian population [13111], they destroyed the
N. Iamanidzé, From Byzantium to the Caucasus, Byzantine power structures across the entire
in: N. Asutay-Effenberger / F. Daim (eds.), peninsula. At first, the Turks conducted nomadic
Φιλοπάτιον. Spaziergang im kaiserlichen Garten, attacks, but they soon began using towns as stra-
2012, 229–246 [6] J. Lefort / D. Papachrys- tegic fortresses [42111–113]. The influx of sedentary
santhou, Les premiers Géorgiens à l’Athos dans Iranian population groups led to the emergence
les documents byzantins, in: Bedi K’art’lisa 41, 1983, of urban state structures [1312–21].
27–33 [7] B. Martin-Hisard, Le roi géorgien
→ Alexios I Komnenos (2.5.; 1081–1118) suc-
Vaxt’ang Gorgasal dans l’histoire et dans la légende,
in: Temps, mémoire, tradition au Moyen Âge (Actes ceeded in recapturing some Byzantine territory,
du 13e congrès de la société des historiens médiévistes so that by the end of his reign, the region under
de l’enseignement supérieur public, Aix-en-Provence Muslim control was limited to the Central Ana-
1982), 1983, 207–242 [8] P. Peeters, Histoire tolian Plateau. John II (1118–1143) continued this
monastique géorgienne, in: AnBoll 36–37, 1922, policy of confining the Muslims to the Anatolian
69–159 [9] J. Preiser-Kapeller, Vom Bosporus interior by strengthening his own position in
zum Ararat. Aspekte der Wirkung und Wahrnehmung northern and southern Anatolia. Manuel I (1143–
des Byzantinischen Reiches in Armenien vom 4. bis 1180) then embarked on a campaign to destroy the
zum 10. Jahrhundert, in: C. Gastgeber / F. Daim Muslim Anatolian states altogether, but his defeat
(eds.), Byzantium as Bridge between West and East,
2015, 179–215 [10] W. Seibt (ed.), Die Christian-
at Myriokephalon in 1176 put an end to the plan
isierung des Kaukasus, 2002 [11] G. Tcheishvili, [42114–127]; [25708–717].
Georgian Perceptions of Byzantium, in: A. East- The Byzantines built a sophisticated system of
mond (ed.), Eastern Approaches to Byzantium, 2000, fortresses in Anatolia to thwart the nomads’ raids
199–209 [12] R. W. Thomson, Armenia (400–600), [20], but the Crusaders’ occupation of → Constan-
in: J. Shepard (ed.), The Cambridge History of the tinople (8.10.) in 1204 altered the balance of power
Byzantine Empire, c. 500–1492, 2008, 156–172. here too. The Seljuks took Attaleia in 1207, giving
them strategic access to the Mediterranean, and in
Nina Iamanidzé 1214 Sinope provided them with a Black Sea port,
Johannes Preiser-Kapeller
as well [3978–92]; [26111–159].

15.5. The East: the Turks A.3. Beyliks (Persai, Tourkoi)

A new wave of nomadic migration into Anato-
A. History lia began in the 1240s ahead of the Mongol advance
B. Exchange in art and culture [2712–16]. The pressure of the nomadic influx
exhausted the empire’s defences in the reign of
A. History Andronikos II (1282–1328). Attempts to seize back
the strategic initiative, including the campaigns of
A.1. Introduction the general Alexios Philanthropenos (1293–1295)
A.2. Anatolian Seljuk (Persai, Tourkoi) [26264–269] and the actions of the Catalan Company
A.3. Beyliks (Persai, Tourkoi) (1303–1305) [1953–87], only brought fleeting success.
A.4. Ottomans (Tourkoi, Othmanoi, Persai) By the second decade of the 14th century, the Byz-
A.5. Byzantine attitudes to the Turks antines had lost almost the whole of western Ana-
tolia to the Turkic beylikler (‘beyliks’, i.e. emirates)
A.1. Introduction [4584–122]. The Turks of the Aegean, who had fallen
Relations between the Byzantine Empire and heir to the Byzantine maritime infrastructure, duly
the Turkic world fell into two categories accord- began raiding the Byzantine islands and the → Bal-
ing to the dominant social form of the latter. The kans (15.3.) from the sea. Andronikos III (1328–1341)
Byzantines found themselves dealing either with and John VI Kantakouzenos (1341–1354) attempted
15.5. the east: the turks 516

a mixed policy of alliance with the beyliks and of Turkic troops in the Byzantine army led to
military resistance [4716 f., 37–40]; [32149–250]. the adoption of some of their battle techniques
In the 1250s, the Empire of Trebizond rec- [851, 54, 62]. A plethora of Oriental expressions were
ognized Ilkhanid suzerainty, sparing it almost adopted in Greek in the spheres of commerce,
entirely from the second wave of nomad attacks. the household, foodstuffs etc. [30]. Knowledge of
However, Trebizond came under increased pres- Turkish became ever more prevalent in the Byzan-
sure from the Turks of inner Anatolia in the 1330s. tine population in the 14th century [7 41, 106], until
The Megaloi Komnenoi succeeded in forging polit- in the 1440s, most of the population of Constanti-
ical and commercial alliances with the Muslims nople could speak it [40359–380]. Turks were settled
between the 1340s and 1390s, thereby securing throughout the imperial territories as Byzantine
peace on the empire’s borders [38260–292]. subjects [43]; [11]; [24333–338]; [40].

A.4. Ottomans (Tourkoi, Othmanoi, B. Exchange in art and culture

Persai)
The Ottomans conquered Byzantine Bithynia as B.1. Seljuk Anatolia
far as Scutari (Skoutarion) between 1302 and 1338 B.2. Constantinople
[10147–164]. The alliance between them and John VI B.3. Other centres in Anatolia
Kantakouzenos secured victory for the latter in
the Byzantine civil war. However, the Ottomans B.1. Seljuk Anatolia
embarked on an independent strategy in 1354, Diplomatic relations were opened between
aimed at conquering the Balkans [10 69–71]. John Byzantium and the Turkic Great Seljuks in Persia
VII was forced to accept the status of an Ottoman in the mid-11th century, bringing a flurry of gift
vassal in 1372 [3450 f.]. The Byzantines’ attempts to exchange. Gifts from the east included valuable
stem the Ottoman advance by making alliances garments and silken fabrics [21121 f.]. A miniature in
with European powers produced no practical ben- the Homilies of John Chrysostom (Paris, BnF, Ms.
efit [31149–183]. The fall of Constantinople, which Coislin 79, fol. 2 r: [41107–118, figs. 69–76]) shows Nike-
was under constant siege by the forces of Sultan phoros III Botaneiates clad in a sakkos with tiraz
Bayezid I beginning in 1394, seemed inevitable. (honorific armband) and a senior court official
However, Bayezid’s defeat at the hands of wearing a kaftan decorated with Persian designs.
Timur at the Battle of Ankara in 1402 and the ensu- Other objects from Persia must have come to
ing Ottoman interregnum enabled Byzantium to Byzantium through trade or via Seljuk soldiers
regain some of its possessions [28]; [23]; [40147–156]. serving in the empire [11]. The Battle of Man-
But the Ottomans had recovered their strength zikert (1071) and the establishment of a Seljuk
by 1421, and Sultan Mehmed II took Constanti- state in Anatolia created a state of coexistence
nople on May 29, 1453 [36]. Upon the defeat of between Greeks and Turks (see above, A.) that
the Despotate of the Morea in 1460 [31259–284] and promoted close collaboration, particularly in art.
the Empire of Trebizond in 1461, the Ottomans Seljuk architecture now switched from brick con-
had completed the destruction of the Byzantine struction to construction in double walls of ash-
Empire [22429–442]; [12vol. 1, 60–65]. lar blocks, sometimes employing the emplekton
technique (core of opus caementicium between
A.5. Byzantine attitudes to the Turks the walls), suggesting the involvement of Greek
The Byzantines classified the Turks accord- builders [37139]. The Seljuk city walls at Konya
ing to geographical criteria, calling those from (Iconium) contained not only Byzantine spolia,
the Kipchak Steppe ‘Scythians’ (Skythai), and the but also decorative sculptures inspired by Byzan-
Iranian and Anatolian Turks ‘Persians’ (Persai) tine models, such as the 13th-century winged genii
[4017–42]. Byzantine literature calls the Turks cul- (İnce Minareli Medrese, inv.-no. 883 f.) [18].
turally inferior ‘barbarians’ and describes them Aside from the many rock churches of Cappa-
in derogatory terms [33]; [4448 f.]. The Byzantines docia, the only testimonies about contemporary
evolved an enemy stereotype of the Turks as foes artistic tendencies in Seljuk Anatolia are a few sur-
of Christendom in the 12th century [9]. viving additive churches. The façade design of the
Byzantine attitudes to the Turks began taking Çanlı Kilise at Aksaray (Archelais, probably 13th
a more positive turn in the 14th century [793–99, cent.), with its decorative use of brickwork, blind
111–178]. In diplomatic discourse, Turkic leaders were arches and vertical and horizontal subdivision,
initially called philos (‘friend’), oikeios (‘kinsman’, proves – contrary to the general assumption –
‘confidant’) and hyios (‘son’), all of which empha- that Greek artists were not cut off from other
sized the asymmetry of the relationship, but Otto- Byzantine centres after 1071, and that the build-
man rulers in the 15th century were addressed as ers here were familiar with trends in Byzantium
adelphos (‘brother’) [16]; [29]. The employment at the time [35]; [1811]. Elsewhere, the use of the
517 15.5. the east: the turks

pendentive known as the ‘Turkish triangle’ in the Ayn-ül Devle or the architect Kaloyan-ül Konevi). It
‘Trikonchos’ of Tağar/Cappadocia [6145] shows that is possible that Kaloyan, who designed the famous
Seljuk motifs also found their way into church Gök Medrese at Sivas, took part in the project to
architecture. build or renovate a mosque at Constantinople in
A blend of Byzantine and genuinely Seljuk the reign of Michael VIII Palaiologios (1259–1282)
motifs is also seen in architectural sculpture, for [5]. Islamic decorative elements in some Late Byz-
instance in a screen found at Konya that undoubt- antine churches of the capital, such as the keel
edly originated in a church (İnce Minareli Medrese, arches on the southern façade of the parekklesion
inv. no. 893: [15]; [1813 f.]). An inscription on a sar- at the Church of the Theotokos Pammakaristos
cophagus found in the same city shows collabora- (1302/03 and 1305/08; → 11.2. Architecture, fig. 2)
tion between Greek and Seljuk stonemasons (İnce and on the Chora Church (1316–1321), or the con-
Minareli Medrese Museum, inv. no. 99, formerly centric polychromatic arches on the former, may
in the Archaeological Museum). The Greek owner be explained as eastern inspirations [6150 f.].
of the sarcophagus, which is made in the Seljuk Urban migration from Anatolia to the capital
design, is called ‘Ahi’. It appears that he was a seems to have accelerated after the Byzantines’
member of the Islamic guild of ‘Ahi’, whose remit recapture of Constantinople (1261), and espe-
included the training of aspiring artists [1815 f.]. cially after the onset of the Mongol Storm in 1243.
Greek artists were also active in other fields. The Turko-Mongol headgear variously called the
The survival of Byzantine enamelwork in Anatolia kaftan, turban or skiadion became a firm fixture
is attested by the ‘Artukid Bowl’ made by order of of the Late Byzantine elite wardrobe (cf. e.g. the
a Seljuk sultan between 1114 and 1144 [4]. A tetrae- founder portrait of Theodore Metochites in the
vangelia made at Kayseri (Caesarea) in 1226 (Gen- Chora Church: [6152 f.]; → 11.3. Art, fig. 6).
nadios Library, Athens) mentions the name of the
Seljuk sultan Alaeddin Keykubad I (1219–1236), B.3. Other centres in Anatolia
and proves that Byzantine manuscripts were being Cultural exchange is also evident in other
produced in Seljuk Anatolia [1805 f.]. Greek centres of Anatolia, like Trebizond, the cap-
The most important examples of this genre ital of the empire of the Megaloi Komnenoi. The
include the manuscript De materia medica pro- muqarnas niches and geometrical compositions
duced for an Islamic client in 1229 (Topkapı Sarayı, in the northern portico of the city’s Hagia Sophia
inv. no. 2127, fol. 1 b). The frontispiece has a por- were clearly made under Seljuk influence or even
trait of the author, the physician Dioscurides, and by Seljuk artists [1777–96].
it betrays the first hints of three-dimensionality, Several small Turkic emirates were founded in
a technique that reached its zenith under the Anatolia towards the end of the 13th century, and
Palaiologoi. This also proves that Greek artists they pursued relations of various kinds with Byzan-
were in contact with Byzantine artistic centres tium (commerce, dynastic marriage). Palaiologan
[1807 f.]. Epigraphically dated wall paintings in Cap- and Western influence is particularly apparent (in
padocian churches (some of which were founded features like double windows with tympanon or
by Greek elites working at the Seljuk court, e.g. prominent brick courses in masonry) in the archi-
St. George’s Church in Belisırma) [1799 f.] attest to tecture of the Ottoman emirate founded on the
the same phenomenon in monumental paint- southern shore of the Propontis in 1299/1302, e.g.
ing. Apart from paintings in more naive, popular Nilüfer Hatun İmareti (dervish hospice; 1388/89)
styles, there are also examples showing consider- at İznik (Nicaea) or the Orhan Camii (1339/40)
able artistry, for instance in the New Tokalı Kilise and the Hüdavendigar Camii (ca. 1366/1385) at
at Göreme (Matiana; 13th cent.) [46], where artists Bursa (Prusa). Astonishingly, none of these emir-
from Constantinople may have been working. ates adopted the symbol of Seljuk rule, the double-
headed eagle, which became the state symbol of
B.2. Constantinople the Byzantine Empire in the late period [14397].
This vigorous exchange also left traces in Con- Maps and plans: Map 6, Map 8, Maps 17–18;
stantinople. ‘Muchrutas’, for instance, a show Plan 2; BNP Suppl. 3, 249, 251
pavilion in the Great Palace complex, was built
shortly before 1176 by specialist Seljuk builders Bibliography
and tilers in their own decorative style [2]. The [1] N. Asutay-Effenberger, Byzantinische
residential turret modelled on the Kiosk of Sultan (griechische) Künstler und ihre Auftraggeber im
Kılıç Arslan II (1156–1192) at Konya was added to seldschukischen Anatolien, in: A. Speer / P.
the wall of the Blachernae Palace by order of Isaac Steinkrüger (eds.), Knotenpunkt Byzanz. Wissens-
formen und kulturelle Wechselbeziehungen, 2002,
II Angelos (1185–1195 and 1203/04). It later inspired 799–818 [2] N. Asutay-Effenberger, Muchru-
other Byzantine buildings [3]. tas. Der seldschukische Schaupavillon im Großen
Written sources report visits by Greek Seljuk Palast von Konstantinopel, in: Byzantion 74, 2004,
artists to Constantinople after 1261 (e.g. the painter 313–324 [3] N. Asutay-Effenberger, Spuren
 10º 20º 30º 40º 50º 60º

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Marakanda

s
Samarkand
Ravenna n (B C
la H
ah as
Cherson A (W ephthalites
40º .r p

a
a
hite
k Sea Huns)
Blac Iberia

i l- ˘
Trapezus /

n Ha
Constantinople Trebizond Marv Balh

Se za
Merv ˘

a r)
Armen
ia
Ghazni
15.5. the east: the turks

ire ¯ ¯
Naisabur
Athens Emp
n Caesarea Rayy Nishapur
S a
o m a Ephesus Nisibis s a
t e rnR n i
s Antioch on
d E
Ea
the Orontes Callinicon
m p i r e
Me
dit
err Damascus Ctesiphon

s
ane
30º
an Se
a ( B a h r a-l - Tyre
Rum)

nid
La
Persepolis

sa
Gaza Istahr
kh
..

s
˘
mi
Alexandria
ds (P Ba

ha
Faz Ta m e r h. r
Babylon Aila īm si a

G
zān an l-
yiʾ F
Ta y G a-r
ul s
s f) Az
antian d ʾ
Garam Um
ā n
Thebes ¯
Yatrib/al-Madına Yamāma

B
¯
Medina

ah
.

r
Berenice

al
20º

-Q
Ki
nd

ul
Tibesti a
tia Makka

zu
Noba Mecca

m
(
Re
d
Dongola ria t
˘¯
al-ʿAguz ku

Se
a au
a)
m

M
Meroë ¯
Maʾrib
ḍ ra
n a
Born Soba Adulis ma ) Ḥ
u-K Ya m e n
anem Sennar Axum e
(Y
Alwa ˁAdan
10º Aden
Darfur

The eastern neighbours of the Eastern Roman Empire

in the 6th and 7th centuries 0 500 1000 1500 2000 km
518

Map 15: The eastern neighbours of the Eastern Roman Empire in the 6th and 7th centuries
 0º 10º 20º 30º 40º 50º 60º 70º 80º

519

kers
Islamicth attac .)
(10 cent
50º
Kašgar - -
Kotan
A -
Se ral
Khamlij a
Itil -

s
Kath

ar
Ḫwārezm Samarkand

az
- -
B r e to ns
(Chorasmia) Buhara

Kh
˘
Goths (B Ca
Franks ah sp Balh
. r ia Marv ˘ - Dihlı-
Kabul
l

Abchasia al n
a

d om Merv
Venice n g -H S

Pr
i -
al-Multan
K Tiflis / Tbilisi .

in
˘ a ze a
.
Is ca.

ov
cs

g
Leon ea ar

K of
Bas ques en d Sl ) -
Harat
ett

ce It om av ck S Trapezus niame s ¯ ¯
Naisabur
40º Bla
mi 1000

oba of Ar
ler

rd s Trebizond Nisapur
˘
s

al jid
Co y -
Ardabıl -
d of ars Sa Qandahar
ya Constantinople Gurgan -
ˇ ˇ - (Jurjan)
ay ate Bulg ʿA
Barcelona Rayy
Sīstān

ds
Rajput

.
lῑds
U ma l i p h Tulaytula - ʿUjjayn
C (Toledo) al-Mansura
.
al-Mausil
. -
-
e Hamadan
- Zarangˇ

āni
Qurtuba
. ir Mosul
- -
Kambayat
(Cordoba) mp -
Isfahan Daybul -
E .
Yazd

Sām
ine Aleppo Baghdad
-
Tahart
ant . -
Fas
- (Fez) Byz Halab
. Bagdad a t e - -
Sumanat/
al-Qayrawan
- (Kairouan) ˇ
l i p h Giruft
Damascus - -
Somnat
¯
al-Kufa C a Tiz
Aġlabid
Idrīsids s al-Mahdiyya Dimašq Širaz (Jiruft)
Med C r et e - ) i d al-Basra B -
Siraf
iterra
-
Sijilmasa n e a n S e a ( B a h. r a l - R u m ā s ( P ea h. r
30º -
rsi al-
Alexandria
b a n F a- Suhar
. .
. -
Gadamis al-Iskandarıya
¯
b Gurs
-
Tarabulus
Ǧu
. Barqa/Barke ʿA lf) lān
al-Fustat
ids
. .
ean

Q
Oc

a
- -

Tū
r Ya m
Sıwa -
an

Yatrib/al-Madına
-
āma
i

lū
F a z z aˉ n Medina

n
m
nd

B
I

id
ah i

s
.r
al ṭ
-Q a
Kufra u Makka
lz
Mecca
u

a
m

20º eg
B
(R
ed
Se
a)

The Islamic world, c. 900–920 0 500 1000 1500 2000 km

15.5. the east: the turks

Map 16: The Islamic world, c. 900–920

 10 20 30 40 50 60 70
The Great Seljuk Empire, the Sultanate
of Rūm and Byzantium, 11th-12th centuries
Great Seljuk Empire (1040-1197)

Anatolian Seljuk Sultanate /

Sultanate of Rūm (1077-1377)
40

Byzantine Empire, 11th/12th centuries

Syr
Dar
ya
capital, residence
15.5. the east: the turks

Se
l
Araa
other city
Am
uD
ar y
Samarkand
a

C
as
p
Bukhara

ia
Sea

n
Black
Sinope

Se
Constantinople Sinop Trebizond

a
Adrianople Istanbul Trabzon Merv
Edirne Kabul
Nicaea/ Iznik Sebastea Manzikert
(1204– 1261) Sivas ¯ ¯
Naisabur 30
Ghazna
Myriocephalum Caesarea Nishapur Herat
Smyrna Iconium Kayseri
Izmir Konya Rayy
Attaleia Mosul
Antalya Iran
Med Damascus Baghdad Isfahan Ind
us
iterranean Sea
Sam
ˇ
Siraz
Basra Shiraz
Jerusalem
30
Pe
Kudüs rs
ian n
Oma
Gu
lf G ulf of
an

20
ce
O

E
Re
d
n

gy
ia

Se
pt a bia
Ara d
0 250 500 750 1000 km In
520

Map 17: The Great Seljuk Empire, the Sultanate of Rum and Byzantium, 11th–12th centuries
 521
The Byzantine Empire and the Turkish Emirates
around the mid-14th century
Danu
be
0 100 200 300 km

Kin ia a
gdom of Bulgar ck Se Sinop
Bla Sinope

Amasra
Amastris

Kastamaonu te
Adrianople . Kastramoni ira
By Istanbul Em
ğlu Amasya
zan
Constantinople
aro
tine
d Amasea
an
Empire
C
Izmit
Nicomedia

Kingdom of Ser
bi
Iznik

a
Nicaea
re
pi
Bursa Em rate
Ankara Emi
Prusa an Sögüt
˘ E retna
om Ancyra
Ott
Kütahya
Cotyaeum

Lesbos K
ar
ir ate rate am
Kayseri

Aegean Sea
S aruhanoğlu Em mi an
lu E oğ Caesarea
Manisa iy anoğ lu
Magnesia Germ Em
Chios at e ira
te
Izmir mir
Smyrna ate lu E
Aydınoğlu Emir idoğ
H am

Map 18: The Byzantine Empire and the Turkish Emirates around the mid-14th century
15.5. the east: the turks
15.6. the south 522

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R. P. Lindner, Nomads and Ottomans in Medieval
523 15.6. the south

were of strategic and economic importance to tories at sea and brought the Byzantine monopoly
both sides. on the eastern Mediterranean to an end. The Arab
Following inconclusive trials of strength in the fleet even laid siege to → Constantinople (8.10.)
first Byzantine centuries, a supposedly ‘perpetual between 674 and 678 and in 717/18 [16].
peace’ was agreed in 532 following an initiative While for the most part the Muslim Arabs’ for-
by → Justinian (2.3.). Chosroes I, however, soon ays on land remained limited to regular summer
resumed hostilities, and major offensives, in most raiding in Byzantine Asia Minor, even after the
of which he personally participated, won him Abbasids came to power at Baghdad (750), Arab
important victories over the Byzantine Empire, superiority at sea inflicted heavy territorial losses
which was affected by military weakness on its on the Byzantines over the two centuries that fol-
eastern frontier (conquest of Antioch in 540). Jus- lowed. Crete was conquered between 823 and 828,
tinian accordingly agreed to the ‘fifty-year peace’ while almost the whole of Sicily was taken by the
negotiated by the imperial official Peter the Patri- Aghlabids and Fatimids of North Africa over the
cian in 562. Dealings between Byzantium and course of the 9th century [9]. Many coastal Byz-
Chosroes II Parvez (590–628) were cordial at first, antine cities suffered plunder and devastation at
because Chosroes owed his restoration following a the hands of Arab naval detachments, including
coup to assistance provided by Emperor Maurice → Thessalonica (8.11.) in 904.
(582–602). The balance of power between Byzantium and
Relations cooled again, however, on Maurice’s the Muslims shifted again when the emperors of
death. Numerous military offensives during the the Macedonian Dynasty – Nikephoros II Phokas
reigns of Phokas (602–610) and especially Herak- (963–969), John Tzimiskes (969–976) and → Basil
leios (610–641) brought vast territories under Sasa- II (2.4.; 976–1025) – pushed back as far as Syria,
nid occupation, including Mesopotamia, Armenia, Palaestina and trans-Euphratic Mesopotamia and
Syria, Palaestina (614 removal of the True Cross to conquered strategically important cities, including
Ctesiphon) and Egypt (619), culminating in incur- Aleppo (962), Mopsuestia and Tarsus (both 994).
sions into Asia Minor itself and even a combined They established a Byzantine doukaton at Antioch
Sasanid and Avar siege of Constantinople (626), after retaking it in 969 [10]; [37].
although this was repelled by the Byzantines. The growth of Byzantine power in the Arab
Chosroes’ success was short-lived, however. After frontier lands during the 10th century is also
repeated forays, Herakleios inflicted a crushing apparent from the variety of military alliances and
defeat on the Sasanids at the Battle of Nineveh in tribute treaties by means of which an array of local
December 627, leading to the signing of a peace Syrian rulers bound themselves to Constantinople,
treaty in 628. Just a few years later, the Muslim such as the Turkic emir Alftikīn of Damascus (975)
Arabs would conquer the fatally weakened Sasa- or the Hamdanid emirs of Aleppo (969–1014) [5];
nid Empire [19]; [31]. [10]. One major reason for this growing Byzantine
influence on the eastern frontier was the disinte-
B. The Muslim Arabs gration of the Abbasid Caliphate that began in the
The history of Byzantine-Arab relations began early 10th century. The Byzantines now no longer
long before the Muslim conquests of the 7th cen- had a single caliph at Baghdad to deal with, but a
tury. Until the advent of Islam, however, the Arabs plethora of local tribal leaders and other Muslim
represented neither an external threat nor a seri- potentates, any of whom could be an enemy, an
ous cultural rival, because they were fragmented ally or a party to negotiation depending on their
into many rival tribal groupings. Their main sig- political interests at the time. The most influen-
nificance to Byzantium was their tendency to ally tial of these local lords were the Hamdanids under
with one side or the other during the wars with Saif ad-Daula and his family in the mid-10th cen-
the Sasanids. While Persian support came pre- tury, based at Aleppo, and later the Buyids at
dominantly from the Lakhmid tribe, the mono- Baghdad (949–987) [4], the Ikhshidid Dynasty of
physite Ġassanids became the most important Egypt (935–969) [38vol. 2/1]; [2], the Aghlabids of
Arab foederati of the Byzantines during the reign North Africa, Sicily and Calabria (800–909) [35],
of Justinian I (527–565) [11]. the Umayyad Caliphate at Cordoba (929–1031)
The conversion of the Arab tribes to Islam dras- [24] and especially the Ismaili Fatimids, who con-
tically altered matters. United by faith following quered North Africa and Sicily in 910 and estab-
the death of the prophet Mohammed in 632, they lished themselves in Egypt in 969, expanding from
succeeded in less than two decades in conquering there into Palaestina and Syria [17].
Syria, Palaestina and Egypt – provinces that had Even by the mid-11th century, however, entirely
been Roman and Byzantine for centuries – as well new powers were entering the fray, challeng-
as Armenia and Persia [22]; [20]. The Umayyad ing both the Arabs and the Byzantines for these
Caliphs (660–750) residing at Damascus quickly contested territories. The eastern provinces were
built a large naval force that won important vic- now assailed by Seljuk tribes, while the Normans
15.6. the south 524

invaded Southern Italy and Sicily (→ 15.2. The nople. These monks made a name for themselves
West; → 15.5. The East). on account of their ascetic rigour and institution-
From the outset, relations between the Byzan- alized monastic philanthropy [18143–150]. As told in
tines and the Muslims consisted to a great extent the Lives of the Eastern Saints (6th cent.) by John of
of a lively diplomatic traffic to negotiate truces, Ephesus, Syriac Orthodox figures were in the van-
peace treaties and prisoner exchanges [21]. The guard of missionary activity into the last bastions
exchange of cultural goods was particularly impor- of paganism in the interior of Asia Minor.
tant in this context, showing that relations were The Arab conquests of the 7th century (see
not simply dominated by self-interest on both above, B.), coupled with the decline of the West
sides, but also by mutual respect and mutual admi- Syriac monastic community at Constantinople,
ration for one another’s cultural achievements. now meant that there would be few Syriac Ortho-
Byzantine influence is unmistakable, for instance, dox Christians on imperial soil for some centuries.
in many prestigious Muslim buildings still extant The Byzantine reconquest of northern Syria in
today (e.g. the Umayyad Mosque in Damascus, the 10th century, which culminated in the recov-
Dome of the Rock in Jerusalem). There was also ery of Antioch in 969, went hand in hand with a
cultural exchange in the fields of arts and crafts, government policy of resettling depopulated fron-
literature and science with the Abbasid Caliphate tier regions in the southeast with Syriac Orthodox
in the 8th and 9th centuries, and with the Caliph- Christians [8]. This community then flourished
ate of Cordoba in the 10th [14]; [23]. until the death of → Basil II (2.4.) in 1025, during a
After losing much of Asia Minor after the late phase of relative religious toleration.
11th century, the Byzantine Empire no longer had The Syriac Orthodox Christians finally incurred
a direct border with the Arab-speaking Islamic the wrath of the central government, but it was
regions. Even so, diplomatic exchange continued as a result of their economic success at Meli-
between Constantinople and the Ayyubids and tene. A series of synods convened by Alexios
Mamluks, who ruled over Syria and Egypt between Stoudites, Patriarch of Constantinople (1025–1043),
1171 and 1250 and from 1250 to 1517. Negotiations demanded the enforcement of the Justinianic pro-
revolved around political alliances, commercial visions against heretics, which appear to have
relations (e.g. the Mamluk slave trade) and the been applied only sporadically beforehand [6]. For
status of Christians in the East [25]; [29]. all practical purposes, the Seljuk attacks of the late
11th century spelt the end of Byzantine rule over
C. Western and Eastern Syrians any Syriac Orthodox population group worthy of
The perceived theological deviations of the the name. A church for the Syriac Orthodox mer-
West and East Syriac Churches from Ortho- chant quarter (metaton) at Constantinople, which
dox doctrines were essentially Christological in had served the liturgical needs of West Syriac
nature and particularly concerned the relation- and Armenian traders in the capital, closed down
ship between the divine and human nature(s) around 1090 [3104–106].
(physis) of Christ. While the tradition of the East Unlike the Syriac Orthodox community, the
Syriac Church stressed the separateness of the two East Syriac Christians, or members of the ‘Church
natures, West Syriac Orthodoxy (along with other of the East’, never represented a substantial
opponents of the Christological formula devised minority within the Byzantine Empire. Because
at the Council of Chalcedon in 451) emphasized the headquarters of this church was in Sasanid
the unity of the two natures, leading to its classi- territory, near Seleucia/Ctesiphon, and because it
fication as ‘monophysite’ (‘single nature’) or, more focused its attention mostly on India, Central Asia
accurately, ‘miaphysite’ (‘united nature’; → 7.1. and China, it was never compelled to negotiate
Doctrinal history B.2.). a modus vivendi with the Byzantine authorities,
Although the emergence of a distinctive Syriac unlike its western cousin. Even so, its members,
Orthodox or West Syriac (the general expression in whom the Byzantines called ‘Nestorians’, contin-
older literature is ‘Jacobite’) religious identity can ued throughout Byzantine history to be evoked
thus be traced back to the Council of Chalcedon, as theological bogeymen. They are often men-
it was not until the reign of → Justinian I (2.3.; 527– tioned in Byzantine legal texts, where their legal
565) that a complete and permanent break with status as second-class citizens was already clearly
imperial Orthodoxy ensued [26]. Most of the West established by the legislation of Justinian, and this
Syriac population throughout the 6th century and verdict on them was affirmed in religious polemic
the first third of the 7th lived in the parts of Syria and hagiography [1].
that were under the jurisdiction of the patriarch-
ate of Antioch. Particularly during the lifetime of D. Melchites
Empress Theodora, a large and dynamic commu- The conquest of Syria and Egypt by the Mus-
nity of West Syriac monks became established at lim Arabs in the 630s and 640s (see above, B.)
Sykai, a suburb on the Asian side of Constanti- also brought the eastern, Chalcedonian patriarch-
525 15.6. the south

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then increasingly adopted Arabic, subsequently Nestorianer, 2000 [2] C. E. Bosworth, Byzan-
came to be known as ‘Melchites’ (or ‘Melkites’), tium and the Arabs. War and Peace between Two
World Civilisations, in: JOS 3–4, 1991–1992, 1–24 [3]
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They were, in other words, ‘people of the king’, i.e. byzantinischer Herrschaft im 10. und 11. Jahrhun-
the Byzantine emperor [7]; [15]. dert, 1989 [4] H. Busse, Chalif und Großkönig. Die
How far the Melchites should still be seen Buyiden im Iraq (945–1055), 1969 [5] M. Canard,
as members of the Byzantine Imperial Church Histoire de la dynastie des H’amdanides de Jazîra
after the Muslim conquests is a matter of debate. et de Syrie, 1953 [6] Z. Chitwood, The Patriarch
It would seem that only very limited contact Alexios Stoudites and the Reinterpretation of Justini-
between them and Byzantium can have been anic Legislation against Heretics, in: GRBS 54, 2014,
possible during the 8th and 9th centuries. Some 293–312 [7] I. Dick, Les Melkites. Grecs-ortho-
doxes et Grecs-catholiques des patriarcats d’Antioche,
therefore suggest that the Melchites constituted
d’Alexandrie et de Jérusalem, 1994 [8] G. Dragon,
a distinct ‘Arabian Orthodox’ community with its Minorités ethniques et religieuses dans l’Orient byz-
own cultural identity [13139]. However, the ‘letter antin à la fin du Xe et au XIe siècle. L’immgration
of the three patriarchs’ (of Antioch, Jerusalem and syrienne, in: TM 6, 1976, 177–216 [9] E. Eickhoff,
Alexandria) to Emperor Theophilos (829–842), Seekrieg und Seepolitik zwischen Islam und Aben-
which in essence appears to be authentic, shows dland, 1966 [10] W. Felix, Byzanz und die isla-
that relations with the eastern patriarchates were mische Welt im früheren 11. Jahrhundert, 1981 [11] G.
already gathering momentum again in the 9th Fisher, Between Empires. Arabs, Romans, and Sasa-
century, as the Byzantine Empire gradually stabi- nians in Late Antiquity, 2011 [12] D. Galadza, Litur-
lized [34365–408]. gical Byzantinization in Jerusalem. Al-Bīrūnī’s Melkite
Calendar in Context, in: BollGrott (terza serie) 7,
The restoration of Byzantine rule over Antioch 2010, 69–85 [13] S. H. Griffith, The Church in the
in 969 and the treaties signed with the Fatimids Shadow of the Mosque, 2008 [14] D. Gutas, Greek
restored Byzantine influence in the region, leading Thought, Arabic Culture. The Graeco-Arabic Transla-
to the Byzantinization of the Melchite Church. Its tion Movement in Baghdad and Early ʿAbbāsid Society
senior clergymen were now dispatched from Byz- (2nd–4th/8th–10th Centuries), 1998 [15] W. Hage,
antium, and the liturgy and law of the Melchite Das orientalische Christentum, 2007, 69–126 [16]
patriarchate were increasingly aligned with the J. F. Haldon, Byzantium in the Seventh Century,
Byzantine tradition [12]; [33]; [28]. 2003 [17] H. Halm, Die Kalifen von Kairo. Die
The foundation of the Crusader States in Syria Fatimiden in Ägypten (979–1074), 2003 [18] P. Hat-
lie, The Monks and Monasteries of Constantinople,
and Palaestina that began in 1099 had far-reach-
ca. 350–850, 2007 [19] J. D. Howard-Johnston,
ing consequences for the Melchites. The Latins East Rome, Sasanian Persia and the End of Antiquity,
incorporated the existing Melchite ecclesiastical 2006 [20] J. D. Howard-Johnston, Witnesses to
structure into their newly created Latin Church, a World Crisis. Historians and Histories of the Middle
sidelining the Orthodox hierarchy. The Melchite East in the Seventh Century, 2010 [21] A. Kaplony,
patriarchs of Antioch and Jerusalem were forced Konstantinopel und Damaskus. Gesandtschaften
into exile at Constantinople, while the lesser und Verträge zwischen Kaisern und Kalifen 639–750,
Melchite clergy had to accept the supremacy of 1996 [22] H. Kennedy, The Great Arab Conquests,
Latin bishops and patriarchs [27]. The Melchites 2008 [23] B. Krönung, Ein Schreiben des Kon-
were unable to recover anything approaching stantinos VII. Porphyrogennetos an den umayya-
dischen Prinzen al-Ḥakam in Cordoba, in: BZ 105/1,
their former status and possessions until the 13th 2012, 93–99 [24] E. Lévi-Povençal, Histoire de
century, as the crusader states declined and fell. l’Espagne musulmane, vol. 2: Le califat umaiyade de
The eastern patriarchates remained closely Cordoue (912–1031); vol. 3: Le siècle du califat de Cor-
aligned with the Byzantine Imperial Church in doue, 1950–1953 [25] M. T. Mansouri, Recherches
the 14th and 15th centuries. The emperors and sur les relations entre Byzance et l’Égypte (1259–1453),
the patriarchs of Constantinople stayed in regular 1992 [26] V. L. Menze, Justinian and the Mak-
contact with them, and newly elected patriarchs ing of the Syrian Orthodox Church, 2008 [27] J.
had to go to the capital to be confirmed in office Pahlitzsch, Graeci und Suriani im Palästina der
[29]. Overall, the Melchites benefited from the Kreuzfahrerzeit, 2001 [28] J. Pahlitzsch, Der ara-
bische Procheiros Nomos, 2014 [29] J. Pahlitzsch,
generally good relations between the Byzantine
Networks of Greek Orthodox Monks and Clerics
Empire and the Mamluks, despite frequent attacks between Byzantium and Mamluk Syria and Egypt,
and persecutions [30]. in: S. Conermann (ed.), Everything is on the Move.
Maps: Maps 3–4, Maps 6–8, Map 10, Maps The Mamluk Empire as a Node in (Trans-)Regional
15–16; BNP Suppl. 3, 237, 241, 243, 249, 251 Networks, 2014, 127–144 [30] J. Pahltitzsch,
Mediators between East and West. Christians under
15.7. minorities in the empire 526

Mamluk Rule, in: Mamluk Studies Review 9/2, 2005, mercenaries demonstrated, according to Byzan-
31–47 [31] P. Pourshariati, Decline and Fall of tine sources, not only valour, but also unimpeach-
the Sasanian Empire, 2008 [32] I. Shahid, Byz- able loyalty towards the emperor (Anna Komnene,
antium and the Arabs in the Sixth Century, 2 vols., Alexiad 2,9,4). Some of them were chosen to serve
1995–2009 [33] J. Shepard, Holy Land, Lost Lands,
Realpolitik. Imperial Byzantine Thinking about Syria
in his personal bodyguard [445, 141 f.].
and Palestine in the Later 10th and the 11th Centu- Overall, the number of Latin mercenaries in
ries, in: Al-Qantara 33, 2012, 505–545 [34] J. Signes Byzantine service began increasing in the 11th
Codoñer, The Emperor Theophilos and the East, century. Emperors granted successful Latin mer-
829–842, 2014 [35] M. Talbi, L’émirat aghlabide, cenary leaders titles and estates in Byzantine ter-
184–296/800–909. Histoire politique, 1966 [36] J. ritory (e.g. Hervé Phrangopoulos) [24114]; [31287 f.],
Thomas, The Imprint of Sabaitic Monasticism on and some Latin (especially Norman) noblemen
Byzantine Monastic Typica, in: J. Patrich (ed.), The even managed to establish their families in elite
Sabaite Heritage in the Orthodox Church from the society. Once such a nobleman had mastered
Fifth Century to the Present, 2001, 73–83 [37] K.-P.
the Greek language and adopted the Orthodox
Todt, Region und griechisch-orthodoxes Patriarchat
von Antiocheia in mittelbyzantinischer Zeit und im faith, his permanent integration and acceptance
Zeitalter der Kreuzzüge (969–1204), 2 vols., 2005 (first required him to marry a Byzantine woman [24119].
published 1998) [38] A. A. Vasiliev, Byzance et Members of originally Latin families (e.g. Raoul/
les Arabes, vol. 1: La dynastie d’Amorium (820–867); Ralles, Petraliphas, Rogerios) acquired prestigious
vol. 2/1: Les relations politiques de Byzance et des Byzantine titles and offices, and their kinship net-
Arabes à l’époque de la dynastie macédonienne, works even extended to the ruling houses. In the
1935–1968. 12th century, particularly during the reign of Man-
uel I, political and religious conflicts with the West
Bettina Krönung (e.g. the fallout from the ‘schismatic’ dispute of
Zachary Chitwood
Johannes Pahlitzsch
1054 or the Crusades; → 15.2. The West) meant that
the competencies of Latins like Hugo Etherianus
were much in demand at → court (1.3.), although
15.7. Minorities in the empire there was Byzantine criticism of this eagerness
to consult foreigners (e.g. Niketas Choniates,
A. Latins Historia 7,2).
B. Armenians and Georgians A permanent and growing presence of Latin
C. Jews merchants began take root in the 10th century
D. Muslims (Amalfitans, Venetians). A century later, the Vene-
tians (1082), Pisans (1111) and Genoese (1155) were
A. Latins granted commercial privileges in Constantinople
The Byzantines generally used the word ‘Latins’ (and sometimes other parts of the empire) that
(Latinoi) to denote followers of the Roman Church gave them their own quarters in the city. After 1261,
and people of Western and Northern European the Genoese even had their own self-governing
background. The term becomes common in Byz- city-state, Galata/Pera on the Golden Horn, which
antine sources as a general word for Western Euro- they continued to expand (→ 15.2. The West) [22];
peans around the 11th century. As a concept, ‘Latin’ [3140–146, 233–235]; [30].
was not purely religious in connotation, but was Despite their privileged position, however, the
also used to describe Western peoples in general Latins of Byzantium were in a precarious position.
[2031]. Its use shows that the Byzantines in the 11th Attacks on them multiplied in the second half of
century increasingly viewed the Western world as the 12th century, partly as a result of growing anti-
a single entity, although finer distinctions were Latin sentiments (e.g. arrest of the Venetians in
still made on the basis of geographical, cultural 1171, the ‘Latin pogrom’ in 1182) [7195–221]. Further-
and linguistic criteria (e.g. Italoi, Germanoi) [18]. more, rivalry among the Italian inhabitants of the
Most ‘Latin’ individuals and groups living in the capital (especially Venetians, Pisans and Geno-
Byzantine Empire had either had their home region ese) manifested itself in attacks on each other’s
absorbed into it (e.g. parts of Croatia) or migrated districts. The Fourth Crusade (1202–1204) and the
there and settled permanently. Even in the Early creation of Latin states on former Byzantine ter-
Byzantine period, there were already Latin emis- ritory encouraged a further influx of Latin mer-
saries, traders, pilgrims, travellers and especially chants, mercenaries – and settlers. Genoese and
mercenaries in Byzantine territories. One notable Venetian groups were particularly dominant after
mercenary group was the ‘Varangian Guard’, made the Byzantine recapture of Constantinople in 1261
up of Scandinavians, Rus’ and later Anglo-Saxons. [21101–114]; [3274–276].
First sent to Byzantium by Grand Prince Vladimir Dynastic marriages between Byzantine rul-
I of Kiev in 988 to support → Basil II (2.4.) in his ers and Latins who had converted to Orthodoxy
struggle against internal uprisings, the Varangian were already common in the 12th century. Latin-
527 15.7. minorities in the empire

Byzantine marriages became more frequent on all the → Caucasus (15.4.), for instance for diplomatic
social levels in the Late Byzantine people, particu- missions [27].
larly between Italian men and Byzantine women. Dogmatic reservations tended to be dropped
The term gasmouloi was coined to describe the far from the capital on the eastern frontier, where
offspring of these predominantly Venetian-Byzan- Armenian soldiers and settlers were courted to
tine mixed marriages [2165]. populate and occupy the desolate no-man’s-land
During the final centuries before the Ottoman bordering on the Arab territories in the 9th–11th
conquest of Constantinople in 1453, the number of centuries. On many occasions, however, such
Latins operating in Byzantine territories swelled groups displayed a penchant for changing sides,
further. Catalans, Aragonese, Occitans and Floren- which appeared to confirm the stereotype of their
tines flooded in both as merchants and as merce- unreliability. In the 11th century, the mass-settle-
naries fighting the advancing Ottomans (e.g. the ment of several thousand families from annexed
Catalan Company) [3]; [21]. regions of Armenia in Cappadocia, where they
submitted to the rule of their own prince (cf.
B. Armenians and Georgians → 15.4. The Caucasus A.), combined with a now
Since time immemorial, the Byzantine prov- stricter Byzantine ecclesiastical policy, led to vio-
inces of eastern Asia Minor had been home to lent confrontations (→ 7.6. Relations with other
an abundant Armenian population, which was churches B.) [14].
continually boosted by further immigration, as The Georgian presence, by contrast, took a
well as by deportation, even as far afield as Italy peaceful turn (→ 15.4. The Caucasus B.) around
and the Balkans. The presence of people from the 980, when Georgian nobles founded the monas-
various territories that today make up Georgia tery ton Iberon (‘of the Iberians’, i.e. Georgians)
was smaller, although some groups like the Lazi of on Mount Athos. Even here, however, conflicts
western Georgia began settling in greater numbers between Georgian and Greek monks broke out
in imperial territory in the 7th century [8]; [11]. over the centuries that followed [33].
In terms of religious and legal status, the Geor- Georgian and Armenian communities
gians were certainly better placed in the 7th cen- remained a presence in the empire even after
tury and thereafter, being in communion with the the loss of eastern Asia Minor to the Seljuk Turks
Byzantine Church, which the Armenians were after 1071. The Armenians continued to thrive in
not. In theory, the Armenians were forbidden to settlements previously established in the Bal-
integrate into Byzantine society, for instance by kans and elsewhere, and new groupings also took
marrying Byzantines, because they were ‘heretics’. shape in the Armenian diaspora. The community
In practice, however, there was often a readiness at Constantinople was particularly large, with its
to overlook such regulations, and the Armenian own church. Its existence drew the ire of some,
aristocracy in the 6th century became one of the including Patriarch Athanasios I, around 1300.
most valuable recruiting grounds for officers and This Armenian community long survived the fall
troops [14]. Georgian nobles also began reaching of the city in 1453. The main Georgian presence
the Byzantine military elite in greater numbers in was now in the Byzantine exile empire established
the 10th century, and an estimate for the 11th and at Trebizond (Trapezuntine Empire, 1204–1461),
12th centuries suggests that around 25% of senior which nurtured close relations with the Georgian
military families were of Armenian or Georgian kingdom [16].
background [19333–338].
Although newcomers were constantly being C. Jews
received at Constantinople, their permanent inte- Jewish settlements in the eastern provinces
gration into the Byzantine → elite (1.4.) invariably of the Roman Empire were attested throughout
presupposed their willingness to adapt in lan- Antiquity, particularly in cities and along the
guage and religion. Some families achieved a rapid shores of the Mediterranean, and this continued
rise, and occasionally individuals even reached uninterrupted in the Byzantine era. Jewish com-
the imperial throne, such as Leo V (813–820). Leo, munities were thus a minority in Byzantine terri-
however, made many enemies with his ecclesi- tories that predated Byzantium. Maintaining the
astical policy, and they seized on his ‘barbarian’, provisions of Roman law, the Byzantine Empire
‘heterodox’ Armenian origins for their polemic. guaranteed Jews protection and, at first, the right
This was not the only instance in which an to practice their religion unmolested. Their status
adversary (e.g. Patriarch Photios) used an indi- as a minority was reflected in special legal provi-
vidual’s non-Byzantine background against him, sions that defined their status as secondary to that
even after several generations. Be that as it may, of their Christian neighbours. Since the reign of
the authorities gladly made use of ability of such → Constantine I (2.2.; 324–337), those provisions
people to mediate, linguistically and culturally, had governed contact between Jews and Chris-
between Byzantium and neighbouring princes in tians (prohibition of mixed marriage, proselytism,
15.7. minorities in the empire 528

circumcision of non-Jewish slaves, acquisition and unknown. There was also Jewish anti-Christian
possession of Christian slaves) and the building of polemic, e.g. in the genres of liturgical poetry and
synagogues [23]. exegesis. Aside from this mutual religious vilifi-
In 438, Theodosius II banned Jews from public cation, however, the Jewish minority was largely
service, that is, from working in the civil service or integrated into the majority society. Like their
the military. → Justinian I (2.3.) then stipulated in Christian neighbours, Jews called themselves Rho-
his novella 146 (553) that Jews must read the Bible maeans or Romaniots, and they adopted Byzan-
in Greek during worship, and only from the Septu- tine cultural elements into their own tradition.
agint or the version by Aquila. He also prohibited Despite its appropriation by the Christians, the
all dealings with the deuterosis, the non-biblical Septuagint was used in Jewish worship and exege-
Jewish writings. This represented the first direct sis (see above). Jews shared the spoken language
intervention in Jewish ritual practices [29]. of their environment, which they wrote down in
Even so, Byzantine Jews enjoyed the legal status Hebrew characters. A great many such ‘Judaeo-
of citizens, albeit of second rank. Various decrees Greek’ texts are preserved [13]; [10].
in both imperial and canon law were designed to Because of the diversity of immigration move-
sharpen social segregation. The Quinisext Council ments, Jewish communities were not homoge-
of 691/92 forbade Christians to visit synagogues, neous. Alongside the Romaniots, there were also
take part in Jewish festivals, bathe with Jews or large groups of Karaites, as well as Venetians, Ash-
consult Jewish physicians. The degree to which kenazim and Sephardim. Overall, the accultura-
such provisions actually affected daily dealings tion of Jews in Byzantium resembles that in other
between Jews and Christians is debatable, espe- geographical regions of the diaspora. A compari-
cially since such bans were constantly reiterated son with Central Europe in particular, however,
in legislation. The Jews’ Italian brethren also shows that only very rarely in the long history of
sharply criticized the lax attitudes of Byzantine the Byzantine Empire did Christian polemic and
Jewish scholars, who approved visits to the pub- efforts at social segregation lead to actions like
lic baths in Byzantium as fulfilling the command- persecution or forcible conversion. It appears that
ment of ritual immersion (Hebrew tevilah, ‫) ְט ִב ָילה‬, the multi-ethnic character of Byzantium fostered a
although this ran counter to the rabbinical rule. more tolerant relationship to the Jewish minority.
Moreover, little is yet known about everyday con-
tact or the effects of cohabitation on the internal D. Muslims
structures of Jewish society [12]. Muslims were unique among all the minori-
A few attempts were made to convert the Jews ties of the Byzantine Empire insofar as neither the
of the Byzantine Empire forcibly in the reigns Church nor the state made any effort to define their
of Herakleios (630/32), Leo III (721/22), Basil I proper place in society. The legal system essen-
(873/74), Leo VI (late 9th cent.) and Romanos I tially reflected the assumptions of 6th-century
Lakapenos (932). Two more attempts are known Byzantium, defining categories for recognized
to have been made in the 13th century (1229 and non-Orthodox groups – i.e. Jews, (Christian) her-
1254). There are also records of sporadic local anti- etics and pagans – but not for Muslims [28149]. It
Jewish riots and evictions. appears that later scholars of Byzantine and canon
There were no occupational restrictions in the law were content to leave the status of Muslims
Byzantine economy. Many Jews worked as crafts- within the empire indeterminate. Byzantine theo-
men, especially in the silk industry and as dyers logians, meanwhile, perpetuated the influential
and weavers, but also as tanners, smiths and views of John of Damascus and Niketas of Byzan-
stonemasons. Although the Book of the Eparch tium regarding Islam, seeing Muslims as followers
(911/12) prohibited Jews from joining craft guilds, of a heretical sect that combined Christian, Jewish
they still belonged to them, either as employees and especially pagan elements [15]. Texts treating
or as the partners of Christians. They also worked Islam as a religion in its own right did not appear
in medicine, agriculture, in the mercantile trade until the last century of the Byzantine Empire’s
and in the money business. In contrast to Western existence.
Europe, the last of these was not entirely off limits Byzantine sources tend to depict Muslim-set-
to Christians, so the stereotype of the ‘Jewish usu- tled regions reconquered by Byzantium, such as
rer’ had little traction in Byzantium. In its place, Crete, Cyprus and northern Syria, as if the major-
derogatory comments were made about the mal- ity of their Muslim populations had simply ceased
odorous by-products of the work of Jewish dyers to exist. However, it has been established that
and tanners [17]. syncretistic religious practices as well as religious
Theological polemic drew on the familiar anti- conversions took place in these liminal regions.
Jewish arguments of the Church Fathers. How- Nikon of the Black Mountain, a canonist and
ever, the stereotypical accusations of desecrating monastic reformer who was active in the monastic
the host, ritual murder and well-poisoning were communities of the hinterland of Antioch in the
529 15.7. minorities in the empire

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Muslim prisoners of war in Byzantine territories, Armenians in the Byzantine Empire, in: BSl 22, 1961,
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tration in Asia Minor.
Dönitz, Forderung nach physischer Distanz. Jüdische
The best-documented Muslim contingent is und christliche Kritik am gemeinsamen Bad, in: Netz-
the large one held at Constantinople [2]; [28126–130]. werk Transkulturelle Verflechtungen (ed.), Transkul-
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who were put to work in workshops, lived in part Begegnungen in verschiedenen Kulturräumen des
of the Praetorian Prison, where a mosque served Mittelalters. Byzanz und Ashkenaz im Vergleich, in:
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carefully regulated in treaties between Byzantium N. G. Garsoïan, The Problem of Armenian Integra-
and Muslim rulers. The administrative manual of tion into the Byzantine Empire, in: H. Ahrweiler /
A. E. Laiou (eds.), Studies on the Internal Diaspora
Constantine VII, De administrando imperio, rather of the Byzantine Empire, 1998, 53–124 [15] R. Glei,
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the request of the Muslim general Maslama on Byzantium, in: B. Crostini / S. La Porta (eds.),
the lifting of the Siege of Constantinople in 718. Negotiating Co-Existence. Communities, Cultures and
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result of a planned policy [34]. 2011 [17] D. Jacoby, The Jews in the Byzantine
Muslim merchants were also working in the Economy. Seventh to Mid-Fifteenth Century, in: R.
Bonfil et al. (eds.), Jews in Byzantium. Dialectics of
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required to deposit their goods, which included Muslim World (Symposium, Dumbarton Oaks 1997),
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Late Byzantine period. Michael VIII Palaiologos Image of the Other according to Greek Sources, in:
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Venezia e il mondo franco-greco (XIII–XV secolo)
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tan Bayezid in 1393/94 demanded that a Muslim 2002, 25–39 [21] A. E. Laiou, Constantinople and
quarter be built with its own mosque, and a kadi the Latins. The Foreign Policy of Andronicus II,
(‘judge’) be appointed to serve there. The Byzan- 1282–1328, 1972 [22] R.-J. Lilie, Handel und Poli-
tines initially acceded to this demand, but later tik zwischen dem byzantinischen Reich und den ital-
reversed their decision [28147]. ienischen Kommunen Venedig, Pisa und Genua in der
Map: Map 19 Epoche der Komnenen und der Angeloi (1081–1204),
1984 [23] A. Linder, The Legal Status of Jews in
 Salona

k Sea
Ragusa Blac
Ad
ri
at
i

c
Dyrrhachium
Drama

Se
Durazzo Trapezunt

a
Selymbria Trebizond?
Oria Christopolis Constantinople
Rhaedestos/Rodosto
Demetrizzi
Kastoria Thessalonica
Strobelos? Gangra
15.7. minorities in the empire

Otranto Gagri
40º Athos Callipolis Nicaea
Kilia
Krania
Corcyra Cotyaeum
Bissina
Corfu Arta Zagora?

Aeg
Halmyros Lesbos
Amorion

ea
Lamia Gardiki(a) Afyonkarahisar?
Achelous Rabenika Mytilene
Iabustrissa
Angelokastron?

n S
Krissa Chalcis
Naupactus

e
Negroponte Chios
Lepanto Patras

a
Thebes Mastaura Synnada
Andravida
Andréville Samos Ephesus
Corinth
Chonai
Mistra? Attaleia
Strobelos? Antalya
Sparta
Seleucia
Palaia
Rhodes

Rhodes
Heracleum Jewish settlements in the Byzantine Empire
35º Candia
Chania/Canea
(12th/13th cents.)
Crete

a Afyonkarahisar? contemporary reference not confirmed/

Se location or identification not confirmed
an
Mediter rane
0 100 200 300 400 500 km
20º 25º 30º 35º

Map 19: Jewish settlements in the Byzantine Empire (12th/13th cents.)

530
531 15.7. minorities in the empire

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